Vol. 81 Friday, No. 131 July 8, 2016
Pages 44489–44758
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 81, No. 131
Friday, July 8, 2016
Agriculture Department Employee Benefits Security Administration See Food Safety and Inspection Service NOTICES See Forest Service Requests for Nominations: See National Agricultural Statistics Service Advisory Council on Employee Welfare and Pension Benefit Plans, 44662 Bureau of Safety and Environmental Enforcement NOTICES Energy Department Agency Information Collection Activities; Proposals, See Federal Energy Regulatory Commission Submissions, and Approvals: Oil and Gas Well-Workover Operations, 44657–44659 Engineers Corps Centers for Medicare & Medicaid Services NOTICES Environmental Impact Statements; Availability, etc.: NOTICES Proposed Rota Harbor Modifications Project, Island of Agency Information Collection Activities; Proposals, Rota, Commonwealth of the Northern Mariana Submissions, and Approvals, 44610–44611 Islands, 44600 Civil Rights Commission Proposed Tinian Harbor Modifications Project, Island of NOTICES Tinian, Commonwealth of the Northern Mariana Meetings: Islands, 44599–44600 Michigan Advisory Committee, 44583–44584 Meetings; Sunshine Act, 44584 Environmental Protection Agency RULES Coast Guard Air Quality State Implementation Plans; Approvals and RULES Promulgations: Drawbridge Operations: New Hampshire; Infrastructure Requirements for the 2010 Housatonic River, Stratford, CT, 44541–44542 Sulfur Dioxide National Ambient Air Quality Standards, 44542–44554 Commerce Department NOTICES See International Trade Administration Environmental Impact Statements; Availability, etc.; See National Oceanic and Atmospheric Administration Weekly Receipts, 44608 NOTICES Guidance for Industry: Privacy Act; Systems of Records, 44584–44587 Progress Tracking Metrics, Long-term Strategies, Reasonable Progress Goals and Other Requirements Committee for Purchase From People Who Are Blind or for Regional Haze State Implementation Plans for the Severely Disabled Second Implementation Period, 44608–44609 NOTICES Procurement List; Additions and Deletions, 44596–44598 Federal Aviation Administration RULES Defense Department Airworthiness Directives: See Engineers Corps Airbus Airplanes, 44489–44492, 44496–44499 NOTICES Beechcraft Corporation (Type Certificate Previously Held Environmental Impact Statements; Availability, etc.: by Hawker Beechcraft Corporation; Raytheon Aircraft East Campus Integration Program, Fort Meade, MD, Company) Airplanes, 44494–44496 44598–44599 Pacific Aerospace Limited Airplanes, 44492–44494 The Boeing Company Airplanes, 44499–44508 Education Department NOTICES Agency Information Collection Activities; Proposals, Federal Deposit Insurance Corporation Submissions, and Approvals: NOTICES IES Research Training Program Surveys, 44602–44603 Terminations of Receivership: Magnet Schools Assistance Program Application for 10293, Haven Trust Bank Florida, Ponte Vedra Beach, FL, Grants, 44602 44609 Native American Career and Technical Education Program Performance Reports, 44603–44604 Federal Election Commission Program for the International Assessment of Adult NOTICES Competencies 2017 National Supplement, 44600– Meetings; Sunshine Act, 44609–44610 44601 Study of the Title III Native American and Alaska Native Federal Energy Regulatory Commission Children in School Program, 44601–44602 NOTICES Applications for New Awards: Environmental Assessments; Availability, etc.: Promise Neighborhoods Program—Implementation Grant FFP Missouri 12, LLC; Allegheny Lock and Dam 2 Competition, 44742–44758 Hydroelectric Project, 44607
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Environmental Reviews; Certificates of Public Convenience Meetings: and Necessity: International Council for Harmonization of Technical Orion Project; Tennessee Gas Pipeline Company, LLC, Requirements for Pharmaceuticals for Human Use 44607–44608 Q3D Implementation of Guideline for Elemental Initial Market-Based Rate Filings Including Requests for Impurities; Workshop, 44628–44629 Blanket Section 204 Authorizations: Innovative Solar 43, LLC, 44607 Food Safety and Inspection Service Preliminary Permit Applications: NOTICES Owyhee Pumped Storage Project, Owyhee Hydro LLC; Agency Information Collection Activities; Proposals, Lake Owyhee, Malheur County, OR, 44604 Submissions, and Approvals: Seminoe Pumped Storage Project, Black Canyon Hydro, Accredited Laboratory Contact Update Form, 44580– LLC; Seminoe Reservoir, Carbon County, WY, 44606 44581 Staff Attendances, 44604–44606 Industry Responses to Noncompliance Records, 44581– 44582 Federal Highway Administration NOTICES Forest Service Environmental Impact Statements; Availability, etc.: NOTICES King County, WA, 44673–44674 Meetings: Kenai Peninsula-Anchorage Borough Resource Advisory Federal Motor Carrier Safety Administration Committee, 44582–44583 NOTICES Agency Information Collection Activities; Proposals, Health and Human Services Department Submissions, and Approvals: See Centers for Medicare & Medicaid Services CMV Driver Medication Form, 44675–44680 See Food and Drug Administration Qualification of Drivers; Exemption Applications: See National Institutes of Health Skill Performance Evaluation; Virginia Department of RULES Motor Vehicles; Exemption Renewal for Virginia Medication Assisted Treatment for Opioid Use Disorders, Department of Motor Vehicles, 44674–44675 44712–44739 Vision, 44680–44682 PROPOSED RULES Medication Assisted Treatment for Opioid Use Disorders Reporting Requirements, 44576–44579 Federal Railroad Administration NOTICES NOTICES Requests for Information: Discontinuances or Modifications of Railroad Signal Opioid Analgesic Prescriber Education and Training Systems; Applications for Approvals: Opportunities to Prevent Opioid Overdose and Norfolk Southern Railway, 44682–44683 Opioid Use Disorder, 44640–44642 Use of Blockchain in Health IT and Health-related Federal Reserve System Research; Requirements and Registration, 44639–44640 NOTICES Formations of, Acquisitions by, and Mergers of Bank Homeland Security Department Holding Companies, 44610 See Coast Guard See U.S. Citizenship and Immigration Services Fiscal Service See U.S. Customs and Border Protection NOTICES Companies Holding Certificates of Authority as Acceptable Housing and Urban Development Department Sureties on Federal Bonds and Acceptable Reinsuring NOTICES Companies, 44690–44710 Federal Property Suitable as Facilities to Assist the Homeless, 44651 Food and Drug Administration NOTICES Information Security Oversight Office Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Meetings: Medical Devices; Third-Party Review Under the Food and State, Local, Tribal, and Private Sector Policy Advisory Drug Administration Modernization Act, 44627– Committee, 44665 44628 Authorizations of Emergency Use: Interior Department In Vitro Diagnostic Device for Detection of Ebola Zaire See Bureau of Safety and Environmental Enforcement Virus, 44616–44626 See Land Management Bureau In Vitro Diagnostic Device for Detection of Zika Virus, See National Park Service 44629–44639 See Reclamation Bureau Guidance for Industry: See Surface Mining Reclamation and Enforcement Office Use of Public Human Genetic Variant Databases to Support Clinical Validity for Next Generation Internal Revenue Service Sequencing-Based In Vitro Diagnostics, 44611–44614 RULES Use of Standards in the Food and Drug Administration’s Method of Accounting for Gains and Losses on Shares in Regulatory Oversight of Next Generation Sequencing- Money Market Funds: Based In Vitro Diagnostics Used for Diagnosing Broker Returns with Respect to Sales of Shares in Money Germline Diseases, 44614–44616 Market Funds, 44508–44515
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PROPOSED RULES National Agricultural Statistics Service Premium Tax Credit, 44557–44576 NOTICES NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals, 44583 Taxpayer Advocacy Panel Joint Committee, 44686 Taxpayer Advocacy Panel Notices and Correspondence National Archives and Records Administration Project Committee, 44687 See Information Security Oversight Office Taxpayer Advocacy Panel Tax Forms and Publications Project Committee, 44685 National Institutes of Health Taxpayer Advocacy Panel Taxpayer Assistance Center NOTICES Improvements Project Committee, 44685–44686 Agency Information Collection Activities; Proposals, Taxpayer Advocacy Panel Taxpayer Communications Submissions, and Approvals, 44642–44643 Project Committee, 44686 Agency Information Collection Activities; Proposals, Taxpayer Advocacy Panel Toll-Free Phone Line Project Submissions, and Approvals: Committee, 44686 National Institute of Neurological Disorders and Stroke Federal Interagency Traumatic Brain Injury Research International Trade Administration Data Access Request, 44644 NOTICES Meetings: Antidumping or Countervailing Duty Investigations, Orders, Center for Scientific Review, 44645 or Reviews: Iron Screening and Supplementation of Iron-replete Certain Passenger Vehicle and Light Truck Tires from the Pregnant Women and Young Children; Public People’s Republic of China, 44588–44591 Workshop, 44642 Floor-Standing, Metal-Top Ironing Tables and Certain National Institute of Diabetes and Digestive and Kidney Parts Thereof from the People’s Republic of China, Diseases, 44643–44644 44587–44588 National Oceanic and Atmospheric Administration International Trade Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Antidumping or Countervailing Duty Investigations, Orders, Submissions, and Approvals, 44592–44593 or Reviews: Meetings: Wooden Bedroom Furniture from China, 44659–44661 Fisheries of the South Atlantic; Southeast Data, Complaints: Assessment, and Review, 44592 Certain Access Control Systems and Components Pacific Fishery Management Council, 44591–44592 Thereof, 44661 Privacy Act; Systems of Records, 44593–44596 Meetings; Sunshine Act, 44659 Requests for Nominations: Justice Department International Whaling Commission Meeting, 44591 RULES National Park Service Victims of Crime Act Victim Assistance Program, 44515– 44535 NOTICES Agency Information Collection Activities; Proposals, Labor Department Submissions, and Approvals: See Employee Benefits Security Administration Cape Lookout National Seashore Cultural Resource Values and Vulnerabilities Assessment, 44654–44655 Land Management Bureau Commercial Use Authorizations, 44652–44654 NOTICES Meetings: Environmental Impact Statements; Availability, etc.: Alaska Region Subsistence Resource Commission Bull Mountain Unit Master Development Plan, Gunnison Program, 44656 County, CO, 44652 Cape Cod National Seashore Advisory Commission, 44655–44656 Maritime Administration NOTICES National Science Foundation Requests for Administrative Waivers of the Coastwise Trade NOTICES Laws: Charter Renewals: Vessel PINKY, 44683 Advisory Committees, 44665
National Aeronautics and Space Administration Nuclear Regulatory Commission NOTICES NOTICES Meetings: Dedication of Commercial-Grade Items for Use in Nuclear NASA Advisory Council; Ad Hoc Task Force on STEM Power Plants, 44670–44671 Education, 44662–44663 License Amendments: NASA Advisory Council; Aeronautics Committee, 44664– Completion Date of Cyber Security Plan Implementation 44665 Milestone 8; Tennessee Valley Authority; Sequoyah NASA Advisory Council; Human Exploration and Nuclear Plant, Units 1 and 2, 44665–44670 Operations Committee, 44663–44664 NASA Advisory Council; Institutional Committee, 44663 Pipeline and Hazardous Materials Safety Administration NASA Advisory Council; Science Committee, 44663 NOTICES NASA Advisory Council; Technology, Innovation and Hazardous Materials: Engineering Committee, 44664 Applications for Special Permits, 44683–44685
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Postal Service See Internal Revenue Service NOTICES PROPOSED RULES Product Changes: North American Free Trade Agreement: Priority Mail Negotiated Service Agreement, 44671 Preference Override, 44555–44557
Reclamation Bureau U.S. Citizenship and Immigration Services NOTICES NOTICES Environmental Impact Statements; Availability, etc.: Extension of the Designation of El Salvador for Temporary Mendota Pool Bypass and Reach 2B Improvements Protected Status, 44645–44651 Project, 44656–44657 U.S. Customs and Border Protection Securities and Exchange Commission PROPOSED RULES NOTICES North American Free Trade Agreement: Agency Information Collection Activities; Proposals, Preference Override, 44555–44557 Submissions, and Approvals, 44671–44673 Meetings; Sunshine Act, 44672–44673 Separate Parts In This Issue Surface Mining Reclamation and Enforcement Office RULES Part II Civil Penalties Inflation Adjustments, 44535–44541 Treasury Department, Fiscal Service, 44690–44710
Transportation Department Part III See Federal Aviation Administration Health and Human Services Department, 44712–44739 See Federal Highway Administration See Federal Motor Carrier Safety Administration Part IV See Federal Railroad Administration Education Department, 44742–44758 See Maritime Administration See Pipeline and Hazardous Materials Safety Administration Reader Aids NOTICES Applications: Consult the Reader Aids section at the end of this issue for LIMA NY Corp.; Commuter Air Carrier Authority, 44685 phone numbers, online resources, finding aids, and notice Orders to Show Cause: of recently enacted public laws. Tropic Ocean Airways, LLC, for Commuter Authority, To subscribe to the Federal Register Table of Contents 44685 LISTSERV electronic mailing list, go to http:// listserv.access.gpo.gov and select Online mailing list Treasury Department archives, FEDREGTOC-L, Join or leave the list (or change See Fiscal Service 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.
14 CFR 39 (6 documents) ...... 44489, 44492, 44494, 44496, 44499, 44503 19 CFR Proposed Rules: 102...... 44555 26 CFR 1...... 44508 Proposed Rules: 1...... 44557 301...... 44557 28 CFR 94...... 44515 30 CFR 723...... 44535 724...... 44535 845...... 44535 846...... 44535 33 CFR 117...... 44541 40 CFR 52...... 44542 42 CFR 8...... 44712 Proposed Rules: 8...... 44576
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Rules and Regulations Federal Register Vol. 81, No. 131
Friday, July 8, 2016
This section of the FEDERAL REGISTER ADDRESSES: For Airbus service in the Federal Register on October 23, contains regulatory documents having general information identified in this final rule, 2015 (80 FR 64375) (‘‘the NPRM’’). The applicability and legal effect, most of which contact Airbus, Airworthiness Office— NPRM was prompted by reports that are keyed to and codified in the Code of EIAS, 1 Rond Point Maurice Bellonte, additional OWS part numbers have been Federal Regulations, which is published under 31707 Blagnac Cedex, France; telephone affected. The NPRM proposed to retain 50 titles pursuant to 44 U.S.C. 1510. +33 5 61 93 36 96; fax +33 5 61 93 44 the requirements of AD 2012–18–12, The Code of Federal Regulations is sold by 51; email account.airworth-eas@ and to expand the applicability to all the Superintendent of Documents. Prices of airbus.com; Internet http:// Airbus Model A318, A319, and A320 new books are listed in the first FEDERAL www.airbus.com. series airplanes. We are issuing this AD REGISTER issue of each week. For Air Cruisers service information to prevent off-wing exits on the LH and identified in this final rule, contact Air RH sides of the fuselage from becoming Cruisers Company, Cage Code 70167, inoperative. During an emergency, DEPARTMENT OF TRANSPORTATION 1747 State Route 34, Wall Township, NJ inoperative off-wing exits could impair 07727–3935; telephone 732–681–3527; the safe evacuation of occupants, Federal Aviation Administration fax 732–681–9163; Internet http:// possibly resulting in personal injuries. www.zodiacaerospace.com/en/our- The European Aviation Safety Agency 14 CFR Part 39 activities/aerosafety/zodiac-evacuation- (EASA), which is the Technical Agent [Docket No. FAA–2015–4202; Directorate systems. for the Member States of the European Identifier 2014–NM–016–AD; Amendment For information on the availability of Union, has issued EASA Airworthiness 39–18583; AD 2016–14–02] this material at the FAA, call 425–227– Directive 2014–0025R1, dated May 26, 1221. It is also available on the Internet 2014 (referred to after this as the RIN 2120–AA64 at http://www.regulations.gov by Mandatory Continuing Airworthiness Airworthiness Directives; Airbus searching for and locating Docket No. Information, or ‘‘the MCAI’’), to correct Airplanes FAA–2015–4202. an unsafe condition on all Airbus Model A318, A319, and A320 series airplanes. Examining the AD Docket AGENCY: Federal Aviation The MCAI states: Administration (FAA), Department of You may examine the AD docket on One operator reported a torn out aspirator Transportation (DOT). the Internet at http:// during scheduled deployment (for on ground ACTION: Final rule. www.regulations.gov by searching for testing purposes) of the Left Hand (LH) off- and locating Docket No. FAA–2015– wing [escape] slide (OWS). Investigation SUMMARY: We are superseding 4202; or in person at the Docket results revealed that the aspirator of the OWS Airworthiness Directive (AD) 2012–18– Management Facility between 9 a.m. system interfered with the extrusion lip of 12 for certain Airbus Model A318, and 5 p.m., Monday through Friday, the OWS enclosure during the initial stage of A319, and A320 series airplanes. AD except Federal holidays. The AD docket the deployment sequence. contains this AD, the regulatory This condition, if not corrected, could lead 2012–18–12 required modifying the off- to an off-wing exit, either LH or Right Hand wing escape slide (OWS) enclosures on evaluation, any comments received, and (RH), becoming unserviceable, which, during the left-hand (LH) side and right-hand other information. The address for the an emergency situation, could impair the safe (RH) side of the fuselage. This new AD Docket Office (telephone 800–647–5527) evacuation of occupants, possibly resulting retains the requirements of AD 2012– is Docket Management Facility, U.S. in personal injuries. 18–12 and expands the applicability to Department of Transportation, Docket To address this potential unsafe condition, all Airbus Model A318, A319, and A320 Operations, M 30, West Building Airbus issued Service Bulletin (SB) A320– series airplanes. This AD was prompted Ground Floor, Room W12–140, 1200 25–1649 containing modification instructions New Jersey Avenue SE., Washington, for certain part number (P/N) OWS by reports that additional OWS part enclosures. Consequently, EASA issued numbers have been affected. We are DC 20590. [EASA] AD 2010–0210 [http:// issuing this AD to prevent off-wing exits FOR FURTHER INFORMATION CONTACT: ad.easa.europa.eu/ad/2010–0210, which on the LH and RH sides of the fuselage Sanjay Ralhan, Aerospace Engineer, corresponds to FAA AD 2012–18–12] to from becoming inoperative. During an International Branch, ANM–116, require modification of the affected OWS emergency, inoperative off-wing exits Transport Airplane Directorate, FAA, enclosures. could impair the safe evacuation of 1601 Lind Avenue SW., Renton, WA Since that [EASA] AD was issued, several other OWS P/N[s] have been identified as occupants, possibly resulting in 98057–3356; telephone 425–227–1405; personal injuries. potentially impacted. fax 425–227–1149. For the reason described above, this DATES: This AD becomes effective SUPPLEMENTARY INFORMATION: [EASA] AD retains the requirements of EASA August 12, 2016. AD 2010–0210, which is superseded, The Director of the Federal Register Discussion expands the Applicability to all A318, A319 approved the incorporation by reference We issued a notice of proposed and A320 aeroplanes, and expands the batch of certain publications listed in this AD rulemaking (NPRM) to amend 14 CFR of affected P/N[s] prohibited to be installed as of August 12, 2016. part 39 to supersede AD 2012–18–12, on an aeroplane. For the reason described above, EASA The Director of the Federal Register Amendment 39–17189 (77 FR 57003, issued AD 2014–0025, retaining the approved the incorporation by reference September 17, 2012) (‘‘AD 2012–18– requirements of EASA AD 2010–0210, which of a certain other publication listed in 12’’). AD 2012–18–12 applied to certain was superseded, expanding the Applicability this AD as of October 22, 2012 (77 FR Airbus Model A318, A319, and A320 to all A318, A319 and A320 aeroplanes, and 57003, September 17, 2012). series airplanes. The NPRM published expanding the batch of affected P/N[s]
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prohibited to be installed on an aeroplane. and minor editorial changes. We have detail the scope of the Agency’s That [EASA] AD also retained the determined that these minor changes: authority. requirements of * * * [an AD, which was • Are consistent with the intent that We are issuing this rulemaking under superseded], which required modification of was proposed in the NPRM for the OWS and its aspirator. the authority described in ‘‘Subtitle VII, correcting the unsafe condition; and Part A, Subpart III, Section 44701: This [EASA] AD is revised to amend • paragraphs (1) and (3) to restore the original Do not add any additional burden General requirements.’’ Under that applicability of [a Direction Ge´ne´rale de upon the public than was already section, Congress charges the FAA with l’Aviation Civile] DGAC France AD and proposed in the NPRM. promoting safe flight of civil aircraft in EASA AD 2010–0210, respectively, and to Related Service Information Under 1 air commerce by prescribing regulations correct paragraph (2) to give credit for certain CFR Part 51 for practices, methods, and procedures production modifications that were the Administrator finds necessary for equivalent for the in-service actions Airbus has issued the following safety in air commerce. This regulation previously required by [a] DGAC France AD. service information. • is within the scope of that authority You may examine the MCAI in the Airbus Service Bulletin A320–25– because it addresses an unsafe condition AD docket on the Internet at http:// 1156, Revision 03, dated December 5, that is likely to exist or develop on www.regulations.gov by searching for 2001. This service information describes products identified in this rulemaking and locating Docket No. FAA–2015– procedures for modifying OWS action. 4202. enclosures having P/Ns D31865–101, D31865–102, D31865–103, D31865–104, Regulatory Findings Comments D31865–105, D31865–106, D31865–107, We determined that this AD will not or D31865–108 of certain Airbus Model We gave the public the opportunity to have federalism implications under A319 and A320 series airplanes. participate in developing this AD. The Executive Order 13132. This AD will • Airbus Service Bulletin A320–25– following presents the comment not have a substantial direct effect on 1649, dated February 16, 2010. This received on the NPRM and the FAA’s the States, on the relationship between service information describes response to the comment. the national government and the States, procedures for modifying and installing or on the distribution of power and Request To Change Parts Installation OWS enclosures having P/Ns D31865– responsibilities among the various Prohibitions 109, D31865–110, D31865–209, or levels of government. D31865–210, on the LH and RH sides of United Airlines (United) asked for the fuselage on certain Airbus Model For the reasons discussed above, I clarification of the language in A318, A319, and A320 series airplanes. certify that this AD: paragraph (k) of the proposed AD, Air Cruisers has issued Service 1. Is not a ‘‘significant regulatory which would prohibit the installation of Bulletin A320 004–25–84, Revision 4, action’’ under Executive Order 12866; OWS part numbers (P/Ns) including dated November 9, 2012. This service 2. Is not a ‘‘significant rule’’ under the D31865–109, D31865–110, D31865–209, information describes procedures for DOT Regulatory Policies and Procedures and D31865–210, as identified in modifying the LH and RH OWS. (44 FR 11034, February 26, 1979); paragraph (h)(2) of the proposed AD, but This service information is reasonably also specifies accomplishing the 3. Will not affect intrastate aviation in available because the interested parties modification required by paragraph (g) Alaska; and have access to it through their normal of the proposed AD. United stated that 4. Will not have a significant course of business or by the means the modification converts those part economic impact, positive or negative, identified in the ADDRESSES section. numbers into D31865–309, D31865–311, on a substantial number of small entities D31865–310, and D31865–312, Costs of Compliance under the criteria of the Regulatory Flexibility Act. respectively. Therefore, United We estimate that this AD affects 851 suggested we remove any language airplanes of U.S. registry. List of Subjects in 14 CFR Part 39 allowing installation of P/Ns D31865– The actions required by AD 2012–18– 109, D31865–110, D31865–209, and 12 and retained in this AD take about Air transportation, Aircraft, Aviation D31865–210 from the proposed AD. 14 work-hours per product, at an safety, Incorporation by reference, We agree that clarification is average labor rate of $85 per work-hour. Safety. necessary. We have moved the language Required parts will cost $0 per product. Adoption of the Amendment in paragraph (h)(1) of the proposed AD Based on these figures, the estimated into paragraph (h) of this AD and cost of the actions that are required by Accordingly, under the authority removed paragraph (h)(2) from this AD. AD 2012–18–12 is $1,190 per product. delegated to me by the Administrator, We have also removed the language in We also estimate that it takes about 48 the FAA amends 14 CFR part 39 as paragraph (k) of the proposed AD which work-hours per product to comply with follows: specified ‘‘except as required by the basic requirements of this AD. The paragraph (h)(2) of this AD for the OWS PART 39—AIRWORTHINESS average labor rate is $85 per work-hour. DIRECTIVES enclosures identified in paragraph (h) of Required parts will cost $0 per product. this AD.’’ And where paragraph (l)(2) of Based on these figures, we estimate the ■ the proposed AD referred to ‘‘paragraph 1. The authority citation for part 39 cost of this AD on U.S. operators to be continues to read as follows: (h)(2),’’ we have changed this reference $3,472,080, or $4,080 per product. to paragraph (h) of this AD. Authority: 49 U.S.C. 106(g), 40113, 44701. Authority for This Rulemaking Conclusion § 39.13 [Amended] Title 49 of the United States Code We reviewed the relevant data, specifies the FAA’s authority to issue ■ 2. The FAA amends § 39.13 by considered the comment received, and rules on aviation safety. Subtitle I, removing Airworthiness Directive (AD) determined that air safety and the section 106, describes the authority of 2012–18–12, Amendment 39–17189 (77 public interest require adopting this AD the FAA Administrator. ‘‘Subtitle VII: FR 57003, September 17, 2012), and with the changes described previously, Aviation Programs,’’ describes in more adding the following new AD:
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2016–14–02 Airbus: Amendment 39–18583. (i) Exceptions to the Requirements of (l)(3)(ii), (l)(3)(iii), or (l)(3)(iv) of this AD, Docket No. FAA–2015–4202; Directorate Paragraphs (g) and (h) of This AD which is not incorporated by reference in this Identifier 2014–NM–016–AD. (1) Airplanes having Airbus Modification AD. (i) Air Cruisers Service Bulletin A320 004– (a) Effective Date 30088 embodied in production using an OWS enclosure having P/N D31865–111 or 25–84, dated February 5, 2010. This AD becomes effective August 12, D31865–112 are not affected by the (ii) Air Cruisers Service Bulletin A320 2016. requirements of paragraph (g) of this AD, 004–25–84, Revision 1, dated April 9, 2010. (iii) Air Cruisers Service Bulletin A320 (b) Affected ADs unless a replacement OWS enclosure, having a part number listed in paragraphs (k)(9) 004–25–84, Revision 2, dated February 11, This AD replaces (AD) 2012–18–12, through (k)(12) of this AD, has been installed 2011. Amendment 39–17189 (77 FR 57003, on that airplane since first flight. (iv) Air Cruisers Service Bulletin A320 September 17, 2012) (‘‘AD 2012–18–12’’). (2) Airplanes on which Airbus 004–25–84, Revision 3, dated October 28, 2011. (c) Applicability Modifications 24850, 25844, and 27275 have been embodied in production, or on which (m) Other FAA AD Provisions This AD applies to the Airbus airplanes modifications of the LH and RH OWS The following provisions also apply to this identified in paragraphs (c)(1), (c)(2), and enclosures and their aspirators have been AD: (c)(3) of this AD, certificated in any category, accomplished using Airbus Service Bulletin (1) Alternative Methods of Compliance all manufacturer serial numbers. A320–25–1156, Revision 01, dated February (AMOCs): The Manager, International (1) Model A318–111, –112, –121, and –122 2, 1999; or Revision 02, dated October 26, Branch, ANM–116, Transport Airplane airplanes. 1999; and Airbus Service Bulletin A320–25– Directorate, FAA, has the authority to (2) Model A319–111, –112, –113, –114, 1265, dated June 6, 2001, are compliant with approve AMOCs for this AD, if requested –115, –131, –132, and –133 airplanes. the modification requirement of paragraph using the procedures found in 14 CFR 39.19. (3) Model 320–211, –212, –214, –231, –232, (h) of this AD. and –233 airplanes. In accordance with 14 CFR 39.19, send your (j) Optional Method of Compliance for request to your principal inspector or local (d) Subject Paragraph (g) of This AD Flight Standards District Office, as appropriate. If sending information directly Air Transport Association (ATA) of Installing both LH and RH OWS that have to the International Branch, send it to ATTN: America Code 25, Equipment/furnishings. been modified in accordance with the Sanjay Ralhan, Aerospace Engineer, Accomplishment Instructions of Air Cruisers (e) Reason International Branch, ANM–116, Transport Service Bulletin A320 004–25–84, Revision Airplane Directorate, FAA, 1601 Lind This AD was prompted by reports that 4, dated November 9, 2012, is an acceptable Avenue SW., Renton, WA 98057–3356; additional OWS part numbers have been method of compliance with the modification telephone 425–227–1405; fax 425–227–1149. affected. We are issuing this AD to prevent required by paragraph (g) of this AD. off-wing exits on the left-hand (LH) and right- Information may be emailed to: 9-ANM-116- hand (RH) sides of the fuselage from (k) Part Installation Prohibition [email protected]. (i) Before using any approved AMOC, becoming inoperative. During an emergency, As of the effective date of this AD, do not notify your appropriate principal inspector, inoperative off-wing exits could impair the install on any airplane an OWS enclosure or lacking a principal inspector, the manager safe evacuation of occupants, possibly having a part number listed in paragraphs of the local flight standards district office/ resulting in personal injuries. (k)(1) through (k)(12) of this AD. certificate holding district office. The AMOC (1) D31865–101. (f) Compliance approval letter must specifically reference (2) D31865–102. this AD. Comply with this AD within the (3) D31865–103. (ii) AMOCs approved previously for AD compliance times specified, unless already (4) D31865–104. done. 2012–18–12 are approved as AMOCs for the (5) D31865–105. corresponding provisions of paragraph (g) of (g) Retained Modification (6) D31865–106. this AD. (7) D31865–107. This paragraph restates the requirements of (2) Contacting the Manufacturer: As of the (8) D31865–108. effective date of this AD, for any requirement paragraph (g) of AD 2012–18–12, with no (9) D31865–109. changes. For airplanes equipped with OWS in this AD to obtain corrective actions from (10) D31865–110. a manufacturer, the action must be enclosures having part number (P/N) (11) D31865–209. accomplished using a method approved by D31865–109, D31865–110, D31865–209, or (12) D31865–210. the Manager, International Branch, ANM– D31865–210, except as provided by 116, Transport Airplane Directorate, FAA; or paragraph (i)(1) of this AD: Within 36 months (l) Credit for Previous Actions the European Aviation Safety Agency after October 22, 2012 (the effective date of (1) This paragraph provides credit for the (EASA); or Airbus’s EASA Design AD 2012–18–12), modify the OWS actions specified in paragraph (h) of this AD, Organization Approval (DOA). If approved by enclosures and install an OWS enclosure if those actions were performed before the the DOA, the approval must include the having P/N D31865–309, D31865–311, effective date of this AD using the service DOA-authorized signature. D31865–310, or D31865–312 on the LH side information identified in paragraph (l)(1)(i) and RH side of the fuselage, in accordance or (l)(1)(ii) of this AD, which is not (n) Related Information with the Accomplishment Instructions of incorporated by reference in this AD. (1) Refer to Mandatory Continuing Airbus Service Bulletin A320–25–1649, (i) Airbus Service Bulletin A320–25–1156, Airworthiness Information (MCAI) EASA dated February 16, 2010. Revision 01, dated February 2, 1999. Airworthiness Directive 2014–0025R1, dated (ii) Airbus Service Bulletin A320–25–1156, May 26, 2014, for related information. This (h) New Modification of Affected OWS Revision 02, dated October 26, 1999. Enclosures and Aspirators MCAI may be found in the AD docket on the (2) This paragraph provides credit for the Internet at http://www.regulations.gov by For airplanes equipped with an OWS actions specified in paragraph (h) of this AD, searching for and locating Docket No. FAA– enclosure having P/N D31865–101, D31865– if those actions were performed before the 2015–4202. 102, D31865–103, D31865–104, D31865–105, effective date of this AD using Airbus Service (2) Service information identified in this D31865–106, D31865–107, or D31865–108, Bulletin A320–25–1265, dated June 6, 2001, AD that is not incorporated by reference is except as provided by paragraph (i)(2) of this which is not incorporated by reference in this available at the addresses specified in AD: Within 36 months after the effective date AD. paragraphs (o)(5), (o)(6), and (o)(7) of this AD. of this AD, modify the OWS enclosures and (3) This paragraph provides credit for the their aspirators in accordance with the actions specified in paragraph (j) of this AD, (o) Material Incorporated by Reference Accomplishment Instructions of Airbus if those actions were performed before the (1) The Director of the Federal Register Service Bulletin A320–25–1156, Revision 03, effective date of this AD using the service approved the incorporation by reference dated December 5, 2001. information identified in paragraph (l)(3)(i), (IBR) of the service information listed in this
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paragraph under 5 U.S.C. 552(a) and 1 CFR SUMMARY: We are superseding Discussion part 51. Airworthiness Directive (AD) 2006–13– (2) You must use this service information We issued a notice of proposed 05 for certain Pacific Aerospace Limited rulemaking (NPRM) to amend 14 CFR as applicable to do the actions required by Model 750XL (type certificate this AD, unless this AD specifies otherwise. part 39 by adding an AD that would (3) The following service information was previously held by Pacific Aerospace apply to certain Pacific Aerospace approved for IBR on August 12, 2016. Corporation Ltd.) airplanes. This AD Limited Model 750XL (type certificate (i) Airbus Service Bulletin A320–25–1156, results from mandatory continuing previously held by Pacific Aerospace Revision 03, dated December 5, 2001. airworthiness information (MCAI) Corporation Ltd.) airplanes. That NPRM (ii) Air Cruisers Service Bulletin A320 issued by an aviation authority of was published in the Federal Register 004–25–84, Revision 4, dated November 9, another country to identify and correct on April 12, 2016 (81 FR 21489), and 2012. an unsafe condition on an aviation (4) The following service information was proposed to supersede AD 2006–13–05, product. The MCAI describes the unsafe Amendment 39–14658 (71 FR 35509, approved for IBR on October 22, 2012 (77 FR condition as some critical rivets on the 57003, September 17, 2012). June 21, 2006) (‘‘AD 2006–13–05’’). wing not being fully age-hardened and (i) Airbus Service Bulletin A320–25–1649, Since we issued AD 2006–13–05, dated February 16, 2010. being installed in specific locations additional airplanes have been (ii) Reserved. where reduction in rivet strength identified that need to be added to the (5) For Airbus service information reduces wing strength. We are issuing applicability of the AD. identified in this AD, contact Airbus, this AD to require actions to address the The Civil Aviation Authority (CAA), Airworthiness Office—EIAS, 1 Rond Point unsafe condition on these products. Maurice Bellonte, 31707 Blagnac Cedex, which is the aviation authority for New France; telephone +33 5 61 93 36 96; fax +33 DATES: This AD is effective August 12, Zealand, has issued AD No. DCA/ 5 61 93 44 51; email account.airworth-eas@ 2016. 750XL/7B, dated February 25, 2016 airbus.com; Internet http://www.airbus.com. The Director of the Federal Register (referred to after this as ‘‘the MCAI’’), to (6) For Air Cruisers service information approved the incorporation by reference correct an unsafe condition for the identified in this AD, contact Air Cruisers specified products. The MCAI states: Company, Cage Code 70167, 1747 State of a certain publication listed in the AD Route 34, Wall Township, NJ 07727–3935; as of August 12, 2016. DCA/750XL/7B revised to introduce telephone 732–681–3527; fax 732–681–9163; PACSB/XL/018 issue 4, dated 20 January The Director of the Federal Register 2016, which reduces the applicability to S/ Internet http://www.zodiacaerospace.com/ approved the incorporation by reference en/our-activities/aerosafety/zodiac- N 101 through to 131 with no change to the of a certain other publication listed in requirements. Aircraft with S/N 132 onwards evacuation-systems. this AD as of July 31, 2006 (71 FR (7) You may view this service information have been modified in accordance with at the FAA, Transport Airplane Directorate, 35509, June 21, 2006). PACSB/XL/018 at manufacture, which is a 1601 Lind Avenue SW., Renton, WA. For terminating action for the requirements of ADDRESSES: You may examine the AD this AD. information on the availability of this docket on the Internet at http:// material at the FAA, call 425–227–1221. www.regulations.gov by searching for This AD requires you to remove rivets (8) You may view this service information that have not been fully age hardened that is incorporated by reference at the and locating Docket No. FAA–2016– 5578; or in person at the Docket and replace them with bolts, washers, National Archives and Records and nuts in specific locations where Administration (NARA). For information on Management Facility, U.S. Department the availability of this material at NARA, call of Transportation, Docket Operations, reduction in rivet strength affects 202–741–6030, or go to: http:// M–30, West Building Ground Floor, overall structural capability. The AD www.archives.gov/federal-register/cfr/ibr- Room W12–140, 1200 New Jersey retains the airplane weight AFM locations.html. Avenue SE., Washington, DC 20590. limitations until the rivets are replaced Issued in Renton, Washington, on June 23, with the bolts, washers, and nuts. You For service information identified in may examine the MCAI on the Internet 2016. this AD, contact Pacific Aerospace Dorr M. Anderson, at https://www.regulations.gov/ Limited, Airport Road, Hamilton, #!docketDetail;D=FAA-2016-5578-002. Acting Manager, Transport Airplane Private Bag 3027, Hamilton 3240, New Directorate, Aircraft Certification Service. Zealand; telephone: +64 7 843 6144; Comments [FR Doc. 2016–15902 Filed 7–7–16; 8:45 am] facsimile: +64 7 843 6134; email: We gave the public the opportunity to BILLING CODE 4910–13–P [email protected]; Internet: participate in developing this AD. We www.aerospace.co.nz. You may view received no comments on the NPRM (81 this referenced service information at DEPARTMENT OF TRANSPORTATION FR 21489, April 12, 2016) or on the the FAA, Small Airplane Directorate, determination of the cost to the public. 901 Locust, Kansas City, Missouri Federal Aviation Administration 64106. For information on the Conclusion availability of this material at the FAA, 14 CFR Part 39 We reviewed the relevant data and call (816) 329–4148. It is also available determined that air safety and the [Docket No. FAA–2016–5578; Directorate on the Internet at http:// public interest require adopting the AD Identifier 2016–CE–005–AD; Amendment www.regulations.gov by searching for as proposed except for minor editorial 39–18587; AD 2016–14–06] Docket No. FAA–2016–5578. changes. We have determined that these RIN 2120–AA64 FOR FURTHER INFORMATION CONTACT: Karl minor changes: • Schletzbaum, Aerospace Engineer, FAA, Are consistent with the intent that Airworthiness Directives; Pacific Small Airplane Directorate, 901 Locust, was proposed in the NPRM (81 FR Aerospace Limited Airplanes Room 301, Kansas City, Missouri 64106; 21489, April 12, 2016) for correcting the AGENCY: telephone: (816) 329–4123; fax: (816) unsafe condition; and Federal Aviation • Administration (FAA), Department of 329–4090; email: karl.schletzbaum@ Do not add any additional burden Transportation (DOT). faa.gov. upon the public than was already proposed in the NPRM (81 FR 21489, ACTION: Final rule. SUPPLEMENTARY INFORMATION: April 12, 2016).
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Related Service Information Regulatory Findings FAA–2016–5578; Directorate Identifier 2016–CE–005–AD. We reviewed Pacific Aerospace We determined that this AD will not (a) Effective Date Limited Service Bulletin PACSB/XL/ have federalism implications under 018, Issue 4, dated January 20, 2016. Executive Order 13132. This AD will This airworthiness directive (AD) becomes effective August 12, 2016. The service bulletin describes not have a substantial direct effect on procedures for removing rivets (part the States, on the relationship between (b) Affected ADs number (P/N) MS20470 DD6) and the national government and the States, This AD replaces AD 2006–13–05, installing bolts (P/N NAS 6203–7X or or on the distribution of power and Amendment 39–14658 (71 FR 35509, June NAS 6203–6X), washers (P/N AN960– responsibilities among the various 21, 2006) (‘‘AD 2006–13–05’’). levels of government. 10), and nuts (P/N MS21044N3) in place (c) Applicability For the reasons discussed above, I of the rivets to restore airplane to full This AD applies to the following Pacific take-off weight of 7,500 pounds. This certify this AD: (1) Is not a ‘‘significant regulatory Aerospace Limited Model 750XL airplanes service information is reasonably (type certificate previously held by Pacific available because the interested parties action’’ under Executive Order 12866, Aerospace Corporation Ltd.), that are have access to it through their normal (2) Is not a ‘‘significant rule’’ under certificated in any category. course of business or by the means the DOT Regulatory Policies and (1) Airplanes previously affected by AD identified in the ADDRESSES section of Procedures (44 FR 11034, February 26, 2006–13–05: Serial numbers 101, 102, 104 the AD. 1979), through 120, and 125. (3) Will not affect intrastate aviation (2) Airplanes new to this AD: Serial Costs of Compliance in Alaska, and numbers 103, 121, 122, 123, 124, and 126 to 131. (4) Will not have a significant We estimate that this AD will affect 9 economic impact, positive or negative, (d) Subject products of U.S. registry. We also on a substantial number of small entities Air Transport Association of America estimate that it will take about 32 work- under the criteria of the Regulatory (ATA) Code 57: Wings. hours per product to comply with the Flexibility Act. replacement requirements of this AD. (e) Reason The average labor rate is $85 per work- Examining the AD Docket This AD results from mandatory continuing airworthiness information (MCAI) hour. Required parts will cost about You may examine the AD docket on $519 per product. originated by an aviation authority of another the Internet at http:// country to identify and correct an unsafe Based on these figures, we estimate www.regulations.gov by searching for condition on an aviation product. The MCAI the cost of this AD on U.S. operators to and locating Docket No. FAA–2016– describes the unsafe condition as some be $29,151, or $3,239 per product. 5578; or in person at the Docket critical rivets on the wing not being fully age- hardened and being installed in specific AD 2006–13–05 affected 8 of the 9 Management Facility between 9 a.m. and 5 p.m., Monday through Friday, locations where reduction in rivet strength U.S.-registered airplanes reflected in the reduces wing strength. We are issuing this above cost information. This AD will except Federal holidays. The AD docket AD to add airplane serial numbers to the only increase the cost already required contains the NPRM, the regulatory Applicability section, paragraph (c) of this by AD 2006–13–05 by one additional evaluation, any comments received, and AD, and to ensure wing ultimate load airplane. The FAA has a report that the other information. The street address for requirements are met. If wing ultimate load additional airplane is already in the Docket Office (telephone (800) 647– requirements are not met, wing failure could result with consequent loss of control. compliance, thus this AD will impose 5527) is in the ADDRESSES section. no additional cost impact on U.S. Comments will be available in the AD (f) Actions and Compliance operators. docket shortly after receipt. Unless already done, do the following List of Subjects in 14 CFR Part 39 actions: Authority for This Rulemaking (1) Insert the following information into Air transportation, Aircraft, Aviation the Limitations section of the airplane flight Title 49 of the United States Code safety, Incorporation by reference, manual (AFM) at the compliance time specifies the FAA’s authority to issue Safety. specified in paragraphs (f)(1)(i) and (ii) of this rules on aviation safety. Subtitle I, AD. You may do this by inserting a copy of section 106, describes the authority of Adoption of the Amendment this AD into the Limitations section of the the FAA Administrator. ‘‘Subtitle VII: Accordingly, under the authority AFM: ‘‘The maximum takeoff weight is reduced from 7,500 pounds to 7,125 Aviation Programs,’’ describes in more delegated to me by the Administrator, detail the scope of the Agency’s pounds.’’ The owner/operator holding at the FAA amends 14 CFR part 39 as least a private pilot certificate as authorized authority. follows: by section 43.7 of the Federal Aviation We are issuing this rulemaking under Regulations (14 CFR 43.7) may do the flight the authority described in ‘‘Subtitle VII, PART 39—AIRWORTHINESS manual changes requirement of this AD. Part A, Subpart III, section 44701: DIRECTIVES Make an entry in the aircraft records showing General requirements.’’ Under that compliance with this portion of the AD ■ 1. The authority citation for part 39 following section 43.9 of the Federal section, Congress charges the FAA with continues to read as follows: Aviation Regulations (14 CFR 43.9). promoting safe flight of civil aircraft in (i) For airplanes previously affected by AD air commerce by prescribing regulations Authority: 49 U.S.C. 106(g), 40113, 44701. 2006–13–05: Before further flight after January 16, 2006 (the effective date retained for practices, methods, and procedures § 39.13 [Amended] the Administrator finds necessary for from AD 2005–26–53, Amendment 39–14451 safety in air commerce. This regulation ■ 2. The FAA amends § 39.13 by (71 FR 2453, January 17, 2006), which was is within the scope of that authority removing Amendment 39–14658 (71 FR replaced by AD 2006–13–05). 35509, June 21, 2006), and adding the (ii) For airplanes new to this AD: Before because it addresses an unsafe condition further flight after August 12, 2016 (the that is likely to exist or develop on following new AD: effective date of this AD). products identified in this rulemaking 2016–14–06 Pacific Aerospace Limited: (2) Remove rivets, part number (P/N) action. Amendment 39–18587; Docket No. MS20470 DD6, on the main spar web and
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replace with bolts, P/N NAS 6203–6X or –7X, paragraph under 5 U.S.C. 552(a) and 1 CFR SUMMARY: We are adopting a new as indicated for the position, assembled with part 51. airworthiness directive (AD) for certain washers, P/N AN960–10, and nut, P/N (2) You must use this service information Beechcraft Corporation Model BAe.125 MS21044N3, at the compliance time as applicable to do the actions required by Series 1000A and 1000B airplanes and this AD, unless the AD specifies otherwise. specified in paragraphs (f)(2)(i) and (ii) of this Model Hawker 1000 airplanes. This AD AD. (3) The following service information was (i) For airplanes previously affected by AD approved for IBR on August 12, 2016. was prompted by reports of inadvertent 2006–13–05: Within the next 100 hours time- (i) Pacific Aerospace Limited Service stowage of the thrust reversers, which in-service (TIS) after July 31, 2006 (the Bulletin PACSB/XL/018, Issue 4, dated can result in high forward engine thrust effective date retained from AD 2006–13–05). January 20, 2016. even though the throttle is commanding Do the removal and replacement actions (ii) Reserved. reverse thrust. This AD requires following Pacific Aerospace Corporation Ltd. (4) The following service information was installing kits that include relays, Service Bulletin PACSB/XL/018, Issue 3, approved for IBR on July 31, 2006 (71 FR associated wiring, and a thrust reverser dated December 23, 2005, and amended 35509, June 21, 2006). (i) Pacific Aerospace Corporation Ltd. fail annunciator. We are issuing this AD January 16, 2006. to prevent inadvertent stowage of the (ii) For airplanes new to this AD: Within Service Bulletin PACSB/XL/018, Issue 3, the next 100 hours TIS after August 12, 2016 dated December 23, 2005, and amended thrust reversers, which could cause a (the effective date of this AD) or within the January 16, 2006. runway overrun during a rejected next 12 months after August 12, 2016 (the (ii) Reserved. takeoff or landing, and consequent effective date of this AD), whichever occurs (5) For Pacific Aerospace Limited service structural failure and possible injury to first. Do the removal and replacement actions information identified in this AD, contact occupants. Pacific Aerospace Limited, Airport Road, following Pacific Aerospace Limited Service DATES: This AD is effective August 12, Bulletin PACSB/XL/018, Issue 4, dated Hamilton, Private Bag 3027, Hamilton 3240, New Zealand; telephone: +64 7 843 6144; 2016. January 20, 2016. The Director of the Federal Register (3) For all affected airplanes: Before further facsimile: +64 7 843 6134; email: pacific@ flight after doing the action required in aerospace.co.nz; Internet: approved the incorporation by reference paragraph (f)(2) of this AD, remove the www.aerospace.co.nz. of a certain publication listed in this AD restrictive information from the Limitations (6) You may view this service information as of August 12, 2016. section of the AFM that you were required at FAA, Small Airplane Directorate, 901 ADDRESSES: For service information to insert in paragraph (f)(1) of this AD. The Locust, Kansas City, Missouri 64106. For identified in this final rule, contact information on the availability of this owner/operator holding at least a private Beechcraft Corporation, TMDC, P.O. pilot certificate as authorized by section 43.7 material at the FAA, call (816) 329–4148. In addition, you can access this service Box 85, Wichita, KS 67201–0085; of the Federal Aviation Regulations (14 CFR telephone: 316–676–8238; fax: 316– 43.7) may do the flight manual changes information on the Internet at http:// requirement of this AD. www.regulations.gov by searching for and 671–2540; email: [email protected]; locating Docket No. FAA–2016–5578. Internet: http://pubs.beechcraft.com. (g) Other FAA AD Provisions (7) You may view this service information You may view this referenced service The following provisions also apply to this that is incorporated by reference at the information at the FAA, Transport AD: National Archives and Records Airplane Directorate, 1601 Lind Avenue (1) Alternative Methods of Compliance Administration (NARA). For information on SW., Renton, WA. For information on (AMOCs): The Manager, Standards Office, the availability of this material at NARA, call 202–741–6030, or go to: http:// the availability of this material at the FAA, has the authority to approve AMOCs FAA, call 425–227–1221. It is also for this AD, if requested using the procedures www.archives.gov/federal-register/cfr/ibr- found in 14 CFR 39.19. Send information to locations.html. available on the Internet at http:// www.regulations.gov by searching for ATTN: Karl Schletzbaum, Aerospace Issued in Kansas City, Missouri, on June Engineer, FAA, Small Airplane Directorate, 28, 2016. and locating Docket No. FAA–2016– 901 Locust, Room 301, Kansas City, Missouri 0460. Pat Mullen, 64106; telephone: (816) 329–4123; fax: (816) 329–4090; email: [email protected]. Acting Manager, Small Airplane Directorate, Examining the AD Docket Before using any approved AMOC on any Aircraft Certification Service. You may examine the AD docket on airplane to which the AMOC applies, notify [FR Doc. 2016–15864 Filed 7–7–16; 8:45 am] the Internet at http:// your appropriate principal inspector (PI) in BILLING CODE 4910–13–P www.regulations.gov by searching for the FAA Flight Standards District Office and locating Docket No. FAA–2016– (FSDO), or lacking a PI, your local FSDO. 0460; or in person at the Docket (2) Airworthy Product: For any requirement DEPARTMENT OF TRANSPORTATION in this AD to obtain corrective actions from Management Facility between 9 a.m. and 5 p.m., Monday through Friday, a manufacturer or other source, use these Federal Aviation Administration actions if they are FAA-approved. Corrective except Federal holidays. The AD docket contains this AD, the regulatory actions are considered FAA-approved if they 14 CFR Part 39 are approved by the State of Design Authority evaluation, any comments received, and (or their delegated agent). You are required [Docket No. FAA–2016–0460; Directorate other information. The address for the to assure the product is airworthy before it Identifier 2015–NM–078–AD; Amendment Docket Office (phone: 800–647–5527) is is returned to service. 39–18577; AD 2016–13–13] Docket Management Facility, U.S. (h) Related Information RIN 2120–AA64 Department of Transportation, Docket Refer to MCAI Civil Aviation Authority Operations, M–30, West Building (CAA) AD No. DCA/750XL/7B, dated Airworthiness Directives; Beechcraft Ground Floor, Room W12–140, 1200 February 25, 2016, for related information. Corporation (Type Certificate New Jersey Avenue SE., Washington, You may examine the MCAI on the Internet Previously Held by Hawker Beechcraft DC 20590. at https://www.regulations.gov/ Corporation; Raytheon Aircraft FOR FURTHER INFORMATION CONTACT: #!docketDetail;D=FAA-2016-5578-002. Company) Airplanes Jeffrey Englert, Aerospace Engineer, (i) Material Incorporated by Reference AGENCY: Federal Aviation Systems and Propulsion Branch, ACE– (1) The Director of the Federal Register Administration (FAA), DOT. 116W, FAA, Wichita Aircraft Certification Office (ACO), 1801 Airport approved the incorporation by reference ACTION: Final rule. (IBR) of the service information listed in this Road, Room 100, Dwight D. Eisenhower
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National Airport, Wichita, KS 67209; but leave the installation decision up to Hawker 1000 airplanes as well as phone: 316–946–4167; fax: 316–946– the individual owner/operator. Mr. Beechcraft Corporation Model BAe.125 4107; email: [email protected]. Rittenhouse stated that the NPRM Series 1000A and 1000B airplanes. We SUPPLEMENTARY INFORMATION: mentions that there have not been any might approve requests to revise the issues reported involving Model applicability of this AD if the request Discussion BAe.125 airplanes but does mention includes data that justifies such a We issued a notice of proposed that those airplanes have a similar revision and provides an acceptable rulemaking (NPRM) to amend 14 CFR engine/thrust reverser system to level of safety. We have not changed part 39 by adding an AD that would airplanes on which the problem was this AD in this regard. reported. Mr. Rittenhouse explained apply to certain Beechcraft Corporation Conclusion Model BAe.125 series 1000A and 1000B that if you examine the Learjet Model 60 airplanes and Model Hawker 1000 and the Model Hawker 1000 systems, We reviewed the relevant data, airplanes. The NPRM published in the the Hawker 1000 is much more robust considered the comments received, and Federal Register on January 21, 2016 with redundant capabilities. Mr. determined that air safety and the (81 FR 3348) (‘‘the NPRM’’). The NPRM Rittenhouse stated that he does not public interest require adopting this AD was prompted by reports of inadvertent believe the unsafe condition has ever as proposed, except for minor editorial stowage of the thrust reversers, which been an issue with the Model Hawker changes. We have determined that these can result in high forward engine thrust 1000 airplanes, and that it is extremely minor changes: even though the throttle is commanding unjust to force operators to comply with • Are consistent with the intent that reverse thrust. The NPRM proposed to this modification that costs 15 percent was proposed in the NPRM for require installing kits that include of the total value of the airplane. correcting the unsafe condition; and relays, associated wiring, and a thrust We do not agree with the commenter’s • Do not add any additional burden reverser fail annunciator. We are issuing request. We recognize that maintaining upon the public than was already this AD to prevent inadvertent stowage airplanes in an airworthy condition is proposed in the NPRM. of the thrust reversers, which could vital, but sometimes expensive. Installation of the service kit corrects a Related Service Information Under 1 cause a runway overrun during a CFR Part 51 rejected takeoff or landing, and potential unsafe condition that could consequent structural failure and cause a runway overrun during a We reviewed Beechcraft Service possible injury to occupants. rejected takeoff or landing, and Bulletin 78–4133, dated May 2015. The consequent structural failure and service information describes Comments possible injury to occupants. The procedures for installing kits having We gave the public the opportunity to service kit was designed and proposed part numbers 140–9005 and 140–9006, participate in developing this AD. The by the airplane original equipment which include relays, associated wiring, following presents the comments manufacturer as its best correction and a thrust reverser fail annunciator. received on the NPRM and the FAA’s option. The root cause of the unsafe This service information is reasonably response to each comment. condition is incorrect software logic available because the interested parties within the engine’s electronic control have access to it through their normal Support for the NPRM unit. We acknowledge the commenter’s course of business or by the means Mr. Kevin Maher expressed support statement indicating that ‘‘the Hawker identified in the ADDRESSES section. for the NPRM. 1000 is much more robust with redundant capabilities,’’ however, the Costs of Compliance Request To Revise NPRM Requirement commenter did not submit any We estimate that this AD affects 38 Mr. Kenneth Rittenhouse of Becker substantiating data to support that airplanes of U.S. registry. Aviation LLC requested that we not statement. We have determined that this We estimate the following costs to require installation of the service kits, unsafe condition exists on the Model comply with this AD:
ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Installation ...... 340 work-hours × $85 per hour = $28,900 ...... $100,000 $128,900 $4,898,200
Authority for This Rulemaking promoting safe flight of civil aircraft in substantial direct effect on the States, on air commerce by prescribing regulations the relationship between the national Title 49 of the United States Code for practices, methods, and procedures government and the States, or on the specifies the FAA’s authority to issue the Administrator finds necessary for distribution of power and rules on aviation safety. Subtitle I, safety in air commerce. This regulation responsibilities among the various section 106, describes the authority of is within the scope of that authority levels of government. the FAA Administrator. Subtitle VII: because it addresses an unsafe condition For the reasons discussed above, I Aviation Programs, describes in more that is likely to exist or develop on certify that this AD: detail the scope of the Agency’s products identified in this rulemaking (1) Is not a ‘‘significant regulatory authority. action. action’’ under Executive Order 12866, We are issuing this rulemaking under (2) Is not a ‘‘significant rule’’ under the authority described in Subtitle VII, Regulatory Findings DOT Regulatory Policies and Procedures Part A, Subpart III, Section 44701: This AD will not have federalism (44 FR 11034, February 26, 1979), ‘‘General requirements.’’ Under that implications under Executive Order (3) Will not affect intrastate aviation section, Congress charges the FAA with 13132. This AD will not have a in Alaska, and
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(4) Will not have a significant (f) Compliance 1601 Lind Avenue SW., Renton, WA. For economic impact, positive or negative, Comply with this AD within the information on the availability of this on a substantial number of small entities compliance times specified, unless already material at the FAA, call 425–227–1221. under the criteria of the Regulatory done. (5) You may view this service information that is incorporated by reference at the Flexibility Act. (g) Installation National Archives and Records List of Subjects in 14 CFR Part 39 Within 600 flight hours or 12 months after Administration (NARA). For information on the effective date of this AD, whichever the availability of this material at NARA, call Air transportation, Aircraft, Aviation occurs first: Install kits having part numbers 202–741–6030, or go to: http:// safety, Incorporation by reference, 140–9005 and 140–9006, in accordance with www.archives.gov/federal-register/cfr/ibr- Safety. the Accomplishment Instructions of locations.html. Beechcraft Service Bulletin 78–4133, dated Issued in Renton, Washington, June 22, Adoption of the Amendment May 2015, except as specified in paragraph 2016. (h) of this AD. Accordingly, under the authority Dorr M. Anderson, delegated to me by the Administrator, (h) Exception to Service Information Acting Manager, Transport Airplane the FAA amends 14 CFR part 39 as A note in the Accomplishment Instructions Directorate, Aircraft Certification Service. follows: of Beechcraft Service Bulletin 78–4133, dated [FR Doc. 2016–15622 Filed 7–7–16; 8:45 am] May 2015, instructs operators to contact BILLING CODE 4910–13–P PART 39—AIRWORTHINESS Beechcraft Corporation if any difficulty is DIRECTIVES encountered in accomplishing the service bulletin. However, any deviation from the DEPARTMENT OF TRANSPORTATION actions required by paragraph (g) of this AD ■ 1. The authority citation for part 39 must be approved as an alternative method Federal Aviation Administration continues to read as follows: of compliance (AMOC) under the provisions of paragraph (i)(1) of this AD. Authority: 49 U.S.C. 106(g), 40113, 44701. 14 CFR Part 39 (i) Alternative Methods of Compliance § 39.13 [Amended] [Docket No. FAA–2015–2964; Directorate (1) The Manager, Wichita Aircraft Identifier 2014–NM–206–AD; Amendment ■ 2. The FAA amends § 39.13 by adding Certification Office (ACO), FAA, has the 39–18584; AD 2016–14–03] the following new airworthiness authority to approve AMOCs for this AD, if RIN 2120–AA64 directive (AD): requested using the procedures found in 14 CFR 39.19. In accordance with 14 CFR 39.19, 2016–13–13 Beechcraft Corporation (Type send your request to your principal inspector Airworthiness Directives; Airbus Certificate Previously Held by Hawker or local Flight Standards District Office, as Airplanes Beechcraft Corporation; Raytheon appropriate. If sending information directly Aircraft Company): Amendment 39– to the manager of the ACO, send it to the AGENCY: Federal Aviation 18577; Docket No. FAA–2016–0460; attention of the person identified in Administration (FAA), Department of Directorate Identifier 2015–NM–078–AD. paragraph (j) of this AD. Transportation (DOT). (2) Before using any approved AMOC, ACTION: Final rule. (a) Effective Date notify your appropriate principal inspector, This AD is effective August 12, 2016. or lacking a principal inspector, the manager SUMMARY: We are adopting a new of the local flight standards district office/ airworthiness directive (AD) for all (b) Affected ADs certificate holding district office. Airbus Model A319, A320, and A321 None. (j) Related Information series airplanes. This AD is intended to (c) Applicability For more information about this AD, complete certain mandated programs intended to support the airplane This AD applies to Beechcraft Corporation contact Jeffrey Englert, Aerospace Engineer, (type certificate previously held by Hawker Systems and Propulsion Branch, ACE–116W, reaching its limit of validity (LOV) of Beechcraft Corporation; Raytheon Aircraft FAA, Wichita ACO, 1801 Airport Road, the engineering data that support the Company) airplanes, certificated in any Room 100, Dwight D. Eisenhower National established structural maintenance category, as identified in paragraphs (c)(1) Airport, Wichita, KS 67209; phone: 316–946– program. This AD requires reinforcing and (c)(2) of this AD. 4167; fax: 316–946–4107; email: the forward pressure bulkhead at a (1) Model BAe.125 series 1000A and 1000B [email protected]. certain stringer on both the left-hand airplanes, serial numbers 258151, 258159, (k) Material Incorporated by Reference and right-hand sides, and doing related and 259004 through 259042 inclusive. (1) The Director of the Federal Register investigative and corrective actions if (2) Model Hawker 1000 airplanes, serial approved the incorporation by reference necessary. We are issuing this AD to numbers 259003 and 259043 through 259052 (IBR) of the service information listed in this prevent fatigue cracking of the forward inclusive. paragraph under 5 U.S.C. 552(a) and 1 CFR pressure bulkhead, which could result (d) Subject part 51. in reduced structural integrity of the (2) You must use this service information airplane. Air Transport Association (ATA) of as applicable to do the actions required by America Code 78, Engine Exhaust. this AD, unless the AD specifies otherwise. DATES: This AD becomes effective August 12, 2016. (e) Unsafe Condition (i) Beechcraft Service Bulletin 78–4133, dated May 2015. The Director of the Federal Register This AD was prompted by reports of (ii) Reserved. approved the incorporation by reference inadvertent stowage of the thrust reversers, (3) For Beechcraft service information of a certain publication listed in this AD which can result in high forward engine identified in this AD, contact Beechcraft as of August 12, 2016. thrust even though the throttle is Corporation, TMDC, P.O. Box 85, Wichita, ADDRESSES: For service information commanding reverse thrust. We are issuing KS 67201–0085; telephone: 316–676–8238; this AD to prevent inadvertent stowage of the fax: 316–671–2540; email: tmdc@ identified in this final rule, contact thrust reversers, which could cause a runway beechcraft.com; Internet: http:// Airbus, Airworthiness Office—EIAS, 1 overrun during a rejected takeoff or landing, pubs.beechcraft.com. Rond Point Maurice Bellonte, 31707 and consequent structural failure and (4) You may view this service information Blagnac Cedex, France; telephone +33 5 possible injury to occupants. at the FAA, Transport Airplane Directorate, 61 93 36 96; fax +33 5 61 93 44 51; email
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[email protected]; Union, has issued EASA Airworthiness Airbus Service Bulletin A320–53–1268, Internet http://www.airbus.com. You Directive 2014–0209, dated September Revision 02, dated July 15, 2014. may view this referenced service 19, 2014 (referred to after this as the Request for Applicability Clarification information at the FAA, Transport Mandatory Continuing Airworthiness Airplane Directorate, 1601 Lind Avenue Information, or ‘‘the MCAI’’), to correct United Airlines (UAL) stated that the SW., Renton, WA. For information on an unsafe condition on all Model A319, effectivity of Airbus Service Bulletin the availability of this material at the A320, and Model A321 series airplanes. A320–53–1268, Revision 02, dated July FAA, call 425–227–1221. It is also The MCAI states: 15, 2014, does not match the NPRM available on the Internet at http:// applicability. UAL also stated that the During the A320 fatigue test campaign for NPRM applicability does not mention www.regulations.gov by searching for Extended Service Goal (ESG), it was and locating Docket No. FAA–2015– determined that fatigue damage could pre-modification 153832 airplanes, and 2964. develop on the forward pressure bulkhead at that Airbus Service Bulletin A320–53– Frame (FR) 35 on left hand (LH) side and 1268, Revision 02, dated July 15, 2014, Examining the AD Docket right hand (RH) side. is classified as Airbus Modification You may examine the AD docket on This condition, if not detected and 153832. the Internet at http:// corrected, could affect the structural integrity UAL stated that several alternative www.regulations.gov by searching for of the aeroplane. methods of compliance (AMOCs) may To address this potential unsafe condition, be needed because Airbus will add to and locating Docket No. FAA–2015– a reinforcement modification was developed, 2964; or in person at the Docket the effectivity of Airbus Service Bulletin which has been published through Airbus A320–53–1268, Revision 02, dated July Management Facility between 9 a.m. Service Bulletin (SB) A320–53–1268 for in- and 5 p.m., Monday through Friday, service application to allow aeroplanes to 15, 2014, after operators purchase an except Federal holidays. The AD docket operate up to the new ESG limit. extended design service goal from contains this AD, the regulatory For the reasons described above, this Airbus. evaluation, any comments received, and [EASA] AD requires reinforcement of the We agree to clarify the applicability. other information. The street address for centre fuselage forward pressure bulkhead at The requirements of this AD apply to all the Docket Office (telephone 800–647– FR35. airplanes identified in the applicability 5527) is Docket Management Facility, The forward pressure bulkhead of the AD. If there is any conflict U.S. Department of Transportation, reinforcement includes related between the AD applicability and the Docket Operations, M–30, West investigative actions of measuring the service information effectivity, then the Building Ground Floor, Room W12–140, diameters of certain fastener holes, and AD takes precedence. The applicability 1200 New Jersey Avenue SE., if they are not oversized, doing a of this AD also matches the applicability Washington, DC 20590. rotating probe inspection for cracking of of the corresponding MCAI AD. If operators are planning to operate FOR FURTHER INFORMATION CONTACT: the fastener holes. Required corrective actions include the airplane beyond the LOV of Sanjay Ralhan, Aerospace Engineer, engineering data approved for the International Branch, ANM–116, cold expanding crack-free holes or repairing oversize or cracked holes by original type design, the actions Transport Airplane Directorate, FAA, specified in this AD must be done in 1601 Lind Avenue SW., Renton, WA using a method approved by the FAA, EASA, or Airbus’s EASA Design order to address the identified unsafe 98057–3356; telephone 425–227–1405; condition. We acknowledge that fax 425–227–1149. Organization Approval (DOA). You may examine the MCAI in the AMOCs may be needed to allow the use SUPPLEMENTARY INFORMATION: AD docket on the Internet at http:// of future revisions of the service Discussion www.regulations.gov by searching for information. Therefore, we encourage and locating Docket No. FAA–2015– operators to coordinate with Airbus for We issued a notice of proposed 2964–0002. effective planning and compliance with rulemaking (NPRM) to amend 14 CFR the AD requirements if they intend to part 39 by adding an AD that would Comments operate their fleet beyond its LOV. We apply to all Airbus Model A319, A320, We gave the public the opportunity to have not changed this final rule in this and A321 series airplanes. The NPRM participate in developing this AD. The regard. published in the Federal Register on following presents the comments Request for Terminating Action July 30, 2015 (80 FR 45457) (‘‘the received on the NPRM and the FAA’s Clarification NPRM’’). The NPRM was intended to response to each comment. complete certain mandated programs UAL questioned why there is no intended to support the airplane Request To Reference Revised Service terminating action in the proposed AD. reaching its LOV of the engineering data Information UAL stated that the reinforcement that support the established structural American Airlines requested that we specified in this proposed AD is maintenance program. The NPRM reference Revision 03 of Airbus Service intended to prevent fatigue cracking of proposed to require reinforcing the Bulletin A320–53–1268, dated May 7, the forward pressure bulkhead but there forward pressure bulkhead at a certain 2015, as the appropriate source of is no reference to related inspection stringer on both the left-hand and right- service information. tasks or termination of existing hand sides, and doing related We agree with American Airlines’ Airworthiness Limitation Items (ALIs). investigative and corrective actions if request. No additional work is specified UAL noted that, for example, ALI necessary. We are issuing this AD to by this revision for airplanes modified 533186 is applicable for pre-Mod prevent fatigue cracking of the forward by any previous issue. We have revised 153832 (Airbus Service Bulletin A320– pressure bulkhead, which could result paragraphs (g) and (h) of this AD to refer 53–1268) airplanes. UAL stated this will in reduced structural integrity of the to Airbus Service Bulletin A320–53– cause confusion as to whether or not airplane. 1268, Revision 03, dated May 7, 2015; ALI inspections are required if there is The European Aviation Safety Agency and revised paragraph (i) of this AD to no terminating action paragraph. (EASA), which is the Technical Agent also give credit for previous actions In regard to UAL’s question on for the Member States of the European accomplished in accordance with terminating action, ALI inspections
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must be accomplished on an airplane to cost impact on affected individuals. We PART 39—AIRWORTHINESS be in compliance with the approved do not control warranty coverage for DIRECTIVES type design independent of the forward affected individuals. As a result, we pressure bulkhead reinforcement have included all costs in our cost ■ 1. The authority citation for part 39 required by this AD. Accomplishing the estimate. continues to read as follows: reinforcement does not preclude the Authority for This Rulemaking Authority: 49 U.S.C. 106(g), 40113, 44701. need for ALI inspections. § 39.13 [Amended] However, when the effectivity of an Title 49 of the United States Code ALI inspection identifies pre- specifies the FAA’s authority to issue ■ 2. The FAA amends § 39.13 by adding modification airplanes, then it is not rules on aviation safety. Subtitle I, the following new airworthiness applicable to airplanes in a post- section 106, describes the authority of directive (AD): modification configuration. Thus, ALI the FAA Administrator. ‘‘Subtitle VII: 2016–14–03 Airbus: Amendment 39–18584. inspections that are identified as pre- Aviation Programs,’’ describes in more Docket No. FAA–2015–2964; Directorate Mod 153832 (Airbus Service Bulletin detail the scope of the Agency’s Identifier 2014–NM–206–AD. A320–53–1268) do not affect airplanes authority. on which the reinforcement specified in (a) Effective Date We are issuing this rulemaking under Airbus Service Bulletin A320–53–1268 This AD becomes effective August 12, the authority described in ‘‘Subtitle VII, has been done. We have not changed 2016. Part A, Subpart III, Section 44701: this AD in this regard. General requirements.’’ Under that (b) Affected ADs Conclusion section, Congress charges the FAA with None. We reviewed the relevant data, promoting safe flight of civil aircraft in (c) Applicability considered the comments received, and air commerce by prescribing regulations This AD applies to the Airbus airplanes, determined that air safety and the for practices, methods, and procedures certificated in any category, identified in public interest require adopting this AD the Administrator finds necessary for paragraphs (c)(1), (c)(2), and (c)(3) of this AD, with the changes described previously safety in air commerce. This regulation all manufacturer serial numbers. and minor editorial changes. We have is within the scope of that authority (1) Airbus Model A319–111, –112, –113, –114, –115, –131, –132, and –133 airplanes. determined that these minor changes: because it addresses an unsafe condition • that is likely to exist or develop on (2) Airbus Model A320–211, –212, –214, Are consistent with the intent that –231, –232, and –233 airplanes. was proposed in the NPRM for products identified in this rulemaking action. (3) Airbus Model A321–111, –112, –131, correcting the unsafe condition; and –211, –212, –213, –231, and –232 airplanes. • Do not add any additional burden Regulatory Findings upon the public than was already (d) Subject proposed in the NPRM. We determined that this AD will not Air Transport Association (ATA) of We also determined that these have federalism implications under America Code 53, Fuselage. changes will not increase the economic Executive Order 13132. This AD will (e) Reason burden on any operator or increase the not have a substantial direct effect on This AD is intended to complete certain scope of this AD. the States, on the relationship between mandated programs intended to support the the national government and the States, Related Service Information Under 1 airplane reaching its limit of validity (LOV) or on the distribution of power and CFR Part 51 of the engineering data that support the responsibilities among the various established structural maintenance program. Airbus has issued Service Bulletin levels of government. We are issuing this AD to prevent fatigue A320–53–1268, Revision 03, dated May For the reasons discussed above, I cracking of the forward pressure bulkhead, which could result in reduced structural 7, 2015. The service information certify that this AD: describes procedures for reinforcing the integrity of the airplane. 1. Is not a ‘‘significant regulatory forward pressure bulkhead at frame 35, (f) Compliance action’’ under Executive Order 12866; stringer 30, on both the left-hand and Comply with this AD within the right-hand sides; and for doing repairs. 2. Is not a ‘‘significant rule’’ under the compliance times specified, unless already This service information is reasonably DOT Regulatory Policies and Procedures done. available because the interested parties (44 FR 11034, February 26, 1979); have access to it through their normal (g) Reinforcement, Related Investigative 3. Will not affect intrastate aviation in Actions, and Corrective Actions course of business or by the means Alaska; and Before the accumulation of 48,000 total identified in the ADDRESSES section of 4. Will not have a significant this AD. flight cycles or 96,000 total flight hours, economic impact, positive or negative, whichever occurs first: Reinforce the forward Costs of Compliance on a substantial number of small entities pressure bulkhead at frame 35, stringer 30, on both the left-hand and right-hand sides; and We estimate that this AD affects 48 under the criteria of the Regulatory Flexibility Act. do all applicable related investigative and airplanes of U.S. registry. corrective actions; in accordance with the We also estimate that it will take List of Subjects in 14 CFR Part 39 Accomplishment Instructions of Airbus about 21 work-hours per product to Service Bulletin A320–53–1268, Revision 03, comply with the basic requirements of Air transportation, Aircraft, Aviation dated May 7, 2015, except as provided by this AD. The average labor rate is $85 safety, Incorporation by reference, paragraph (h) of this AD. Do all applicable per work-hour. Based on these figures, Safety. related investigative and corrective actions before further flight. we estimate the cost of this AD on U.S. Adoption of the Amendment operators to be $85,680, or $1,785 per (h) Exception to Service Information product. Accordingly, under the authority Specifications According to the manufacturer, some delegated to me by the Administrator, Although Airbus Service Bulletin A320– of the costs of this AD may be covered the FAA amends 14 CFR part 39 as 53–1268, Revision 03, dated May 7, 2015, under warranty, thereby reducing the follows: specifies to contact Airbus for repair
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instructions, and specifies that action as the procedures and tests identified as RC can DEPARTMENT OF TRANSPORTATION ‘‘RC’’ (Required for Compliance), this AD be done and the airplane can be put back in requires repair before further flight using a an airworthy condition. Any substitutions or Federal Aviation Administration method approved by the Manager, changes to procedures or tests identified as International Branch, ANM–116, Transport RC require approval of an AMOC. 14 CFR Part 39 Airplane Directorate, FAA; or the European Aviation Safety Agency (EASA); or Airbus’s (k) Related Information [Docket No. FAA–2015–5808; Directorate EASA Design Organization Approval (DOA). (1) Refer to Mandatory Continuing Identifier 2015–NM–111–AD; Amendment 39–18585; AD 2016–14–04] (i) Credit for Previous Actions Airworthiness Information (MCAI) EASA AD This paragraph provides credit for actions 2014–0209, dated September 19, 2014, for RIN 2120–AA64 required by paragraph (g) of this AD, if those related information. This MCAI may be actions were performed before the effective found in the AD docket on the Internet at Airworthiness Directives; The Boeing date of this AD using any of the Airbus http://www.regulations.gov by searching for Company Airplanes service information specified in paragraphs and locating Docket No. FAA–2015–2964. AGENCY: Federal Aviation (i)(1) through (i)(3) of this AD. This service (2) Service information identified in this Administration (FAA), DOT. information is not incorporated by reference AD that is not incorporated by reference is in this AD. available at the addresses specified in ACTION: Final rule. (1) Airbus Service Bulletin A320–53–1268, paragraphs (l)(3) and (l)(4) of this AD. dated January 8, 2013, which is not SUMMARY: We are adopting a new incorporated by reference in this AD. (l) Material Incorporated by Reference airworthiness directive (AD) for certain (2) Airbus Service Bulletin A320–53–1268, (1) The Director of the Federal Register The Boeing Company Model 787–8 Revision 01, dated July 23, 2013, which is airplanes. This AD was prompted by not incorporated by reference in this AD. approved the incorporation by reference (IBR) of the service information listed in this reports of water leakage from the (3) Airbus Service Bulletin A320–53–1268, potable water system due to improperly Revision 02, dated July 15, 2014, which is paragraph under 5 U.S.C. 552(a) and 1 CFR not incorporated by reference in this AD. part 51. installed waterline couplings, and water (2) You must use this service information leaking into the electronics equipment (j) Other FAA AD Provisions as applicable to do the actions required by (EE) bays from above the floor in the The following provisions also apply to this this AD, unless this AD specifies otherwise. main cabin, resulting in water on the AD: (i) Airbus Service Bulletin A320–53–1268, equipment in the EE bays. This AD (1) Alternative Methods of Compliance Revision 03, dated May 7, 2015. requires replacing the potable waterline (AMOCs): The Manager, International (ii) Reserved. couplings above the forward and aft EE Branch, ANM–116, Transport Airplane bays with new, improved couplings. Directorate, FAA, has the authority to (3) For service information identified in approve AMOCs for this AD, if requested this AD, contact Airbus, Airworthiness This AD also requires sealing the main using the procedures found in 14 CFR 39.19. Office—EIAS, 1 Rond Point Maurice cabin floor areas above the aft EE bay, In accordance with 14 CFR 39.19, send your Bellonte, 31707 Blagnac Cedex, France; installing drip shields and foam blocks, request to your principal inspector or local telephone +33 5 61 93 36 96; fax +33 5 61 and rerouting the wire bundles near the Flight Standards District Office, as 93 44 51; email account.airworth-eas@ drip shields above the equipment in the appropriate. If sending information directly airbus.com; Internet http://www.airbus.com. aft EE bay. We are issuing this AD to to the International Branch, send it to ATTN: (4) You may view this service information prevent a water leak from an improperly Sanjay Ralhan, Aerospace Engineer, at the FAA, Transport Airplane Directorate, installed potable water system coupling, International Branch, ANM–116, Transport 1601 Lind Avenue SW., Renton, WA. For or main cabin water source, which Airplane Directorate, FAA, 1601 Lind information on the availability of this Avenue SW., Renton, WA 98057–3356; could cause the equipment in the EE telephone 425–227–1405; fax 425–227–1149. material at the FAA, call 425–227–1221. bays to become wet, resulting in an Information may be emailed to: 9-ANM-116- (5) You may view this service information electrical short and potential loss of [email protected]. Before using that is incorporated by reference at the system functions essential for safe flight. any approved AMOC, notify your appropriate National Archives and Records DATES: This AD is effective August 12, principal inspector, or lacking a principal Administration (NARA). For information on 2016. inspector, the manager of the local flight the availability of this material at NARA, call The Director of the Federal Register standards district office/certificate holding 202–741–6030, or go to: http:// district office. The AMOC approval letter approved the incorporation by reference www.archives.gov/federal-register/cfr/ibr- of certain publications listed in this AD must specifically reference this AD. locations.html. (2) Contacting the Manufacturer: For any as of August 12, 2016. requirement in this AD to obtain corrective Issued in Renton, Washington, on June 23, ADDRESSES: For service information actions from a manufacturer, the action must 2016. identified in this final rule, contact be accomplished using a method approved Dorr M. Anderson, Boeing Commercial Airplanes, by the Manager, International Branch, ANM– Acting Manager, Transport Airplane Attention: Data & Services Management, 116, Transport Airplane Directorate, FAA; or EASA; or Airbus’s EASA DOA. If approved Directorate, Aircraft Certification Service. P.O. Box 3707, MC 2H–65, Seattle, WA by the DOA, the approval must include the [FR Doc. 2016–15909 Filed 7–7–16; 8:45 am] 98124–2207; telephone 206–544–5000, DOA-authorized signature. BILLING CODE 4910–13–P extension 1; fax 206–766–5680; Internet (3) Required for Compliance (RC): Except https://www.myboeingfleet.com. You as required by paragraph (h) of this AD, if may view this referenced service any service information contains procedures information at the FAA, Transport or tests that are identified as RC, those Airplane Directorate, 1601 Lind Avenue procedures and tests must be done to comply SW., Renton, WA. For information on with this AD; any procedures or tests that are the availability of this material at the not identified as RC are recommended. Those procedures and tests that are not identified FAA, call 425–227–1221. It is also as RC may be deviated from using accepted available on the Internet at http:// methods in accordance with the operator’s www.regulations.gov by searching for maintenance or inspection program without and locating Docket No. FAA–2015– obtaining approval of an AMOC, provided 5808.
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Examining the AD Docket received on the NPRM and the FAA’s performed in a timely manner within You may examine the AD docket on response to each comment. the affected fleet, while still maintaining an adequate level of safety. Operators the Internet at http:// Support for the NPRM www.regulations.gov by searching for are always permitted to accomplish the The Airline Pilots Association and locating Docket No. FAA–2015– requirements of an AD at a time earlier International stated that it concurs with than the specified compliance time. 5808; or in person at the Docket the contents of the NPRM. Management Facility between 9 a.m. Operators wanting additional time to United Airlines (UAL) stated that it comply with the requirements of an AD and 5 p.m., Monday through Friday, supports the compliance time of 60 except Federal holidays. The AD docket may request adjustments to the months to accomplish the actions compliance time under the provisions of contains this AD, the regulatory proposed by the NPRM. evaluation, any comments received, and paragraph (k) of this AD. We will other information. The address for the Requests To Revise Compliance Times consider requests for an adjustment of Docket Office (phone: 800–647–5527) is the compliance time if data are Mr. Geoffrey Barrance requested that submitted to substantiate that such an Docket Management Facility, U.S. we revise the compliance times adjustment would provide an acceptable Department of Transportation, Docket specified in the NPRM to before further level of safety. We have not changed Operations, M–30, West Building flight. Mr. Barrance stated that, in view this AD in this regard. Ground Floor, Room W12–140, 1200 of the effect of common mode faults to New Jersey Avenue SE., Washington, nullify the safety design of critical Request To Use Alternative Moisture DC 20590. avionic systems housed in the avionics Barrier Tape FOR FURTHER INFORMATION CONTACT: bay, this matter needs to be treated with UAL requested that we approve the Susan L. Monroe, Aerospace Engineer, the greatest urgency and that the use of flame retardant (FR) moisture Cabin Safety and Environmental correction of the problem should be barrier tapes Nitto 11611–MB Systems Branch, ANM–150S, FAA, required with far greater urgency than polyurethane tape or BMS8–346 Type II, Seattle Aircraft Certification Office the timescales proposed in the NPRM. Class 4 tape (3M 8657) as alternates to (ACO), 1601 Lind Avenue SW., Renton, Mr. Barrance stated an example of the the BMS8–346 Type 1, Class 1 moisture WA 98057–3356; phone: 425–917–6457; automatic landing function of the barrier tape (Patco D9100) specified in fax: 425–917–6590; email: automatic flight control system that Boeing Alert Service Bulletin B787 [email protected]. does not and cannot take into account 81205 SB530029–00, Issue 001, dated SUPPLEMENTARY INFORMATION: common mode faults such as water March 26, 2015. UAL stated that during ingress into multiple line replaceable a supplemental type certificate test for Discussion units (LRUs), which are present to a Model 737 airplane, burn testing was We issued a notice of proposed provide functional redundancy and performed on the Patco D9100 tape by rulemaking (NPRM) to amend 14 CFR fault tolerance. Mr. Barrance stated that Zodiac Northwest Aerospace part 39 by adding an AD that would no probability can be assessed for Technologies, and it failed the 12- apply to certain The Boeing Company unwanted behavior resulting from water second vertical test. UAL stated that, Model 787–8 airplanes. The NPRM ingress into multiple redundant LRUs. therefore, the Patco D9100 tape could published in the Federal Register on UAL requested that we extend the not be certified to meet the 14 CFR November 19, 2015 (80 FR 72393), (‘‘the proposed compliance time from 24 25.853 flammability requirements. NPRM’’). The NPRM was prompted by months to 30 months for accomplishing We do not agree with UAL’s request. reports of water leakage from the the actions specified in Boeing Alert We have contacted Boeing who potable water system due to improperly Service Bulletin B787–81205– provided evidence that BMS8–346 Type installed waterline couplings, and water SB380009–00, Issue 001, dated March 1, Class 1 moisture barrier tape (Patco leaking into the EE bays from above the 26, 2015. UAL stated that if D9100) material passed the 12-second floor in the main cabin, resulting in maintenance requires an unforeseen vertical burn test. UAL did not submit water on the equipment in the EE bays. disassembly of the airplane for access or specific evidence to substantiate that The NPRM proposed to require to correct a test failure, a 30-month Nitto 11611–MB polyurethane tape or replacing the potable waterline period is required to schedule the clamp BMS8–346 Type II, Class 4 tape (3M couplings above the forward and aft EE inspection and replacement in a heavy 8657) is compliant and that BMS8–346 bays with new, improved couplings. check. Type 1, Class 1 moisture barrier tape The NPRM also proposed to require We do not agree to revise the (Patco D9100) material is non- sealing the main cabin floor areas above compliance times required by this AD. compliant. Under the provisions of the aft EE bay, installing drip shields In developing appropriate compliance paragraph (k) of this AD, we will and foam blocks, and rerouting the wire times for this AD, we considered not consider requests for approval of an bundles near the drip shields above the only the safety implications, including alternative method of compliance equipment in the aft EE bay. We are evaluation of the hazards associated (AMOC) if sufficient data are submitted issuing this AD to prevent a water leak with water ingress into multiple to substantiate that alternative tapes are from an improperly installed potable redundant LRUs, but the manufacturer’s compliant. We have not changed this water system coupling, or main cabin recommendations, the availability of AD in this regard. water source, which could cause the required parts, and the practical aspect Requests To Use Revised Service equipment in the EE bays to become of accomplishing the required actions Information wet, resulting in an electrical short and within an interval of time that potential loss of system functions corresponds to typical scheduled Boeing and UAL requested that we essential for safe flight. maintenance for affected operators. revise the NPRM to refer to Boeing Alert After considering all the available Service Bulletin B787–81205– Comments information, we have determined that SB380009–00, Issue 002, dated We gave the public the opportunity to the compliance times, as proposed, December 9, 2015; Boeing Alert Service participate in developing this AD. The represent appropriate intervals of time Bulletin B787–81205–SB530029–00, following presents the comments in which the required actions can be Issue 002, dated January 26, 2016; and
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Boeing Alert Service Bulletin B787– Request To Review Airplane We are continuously evaluating our 81205–SB530031–00, Issue 002, dated Certification Procedures certification system and procedures and March 16, 2016. Mr. Geoffrey Barrance requested that improving them when problems are We agree with the commenters’ we conduct an internal review and a found. In addition, if the FAA is made requests to use the most current service review with the manufacturer as to why aware of issues occurring on a information. We have revised this AD as the airplane equipment bay design was certificated product, we conduct an described below. not reviewed and required to protect the investigation, evaluate the • avionics LRUs from water ingress at the manufacturer’s root-cause analysis, and Boeing Alert Service Bulletin B787– make a determination whether or not an 81205–SB380009–00, Issue 002, dated time of certification. Mr. Barrance stated that this is not a new issue and must be unsafe condition exists. We then take December 9, 2015, adds notes, revises appropriate action to mitigate the unsafe the waiting time in the leak test, and a standard check item on design reviews and certification signoff. Mr. Barrance condition. We have not changed this AD corrects typographical errors. We have in this regard. revised paragraphs (c) and (g) of this AD stated that this is a design and to reference this service information. certification omission, not primarily a Conclusion problem with the quality of work by the • Boeing Alert Service Bulletin B787– people doing the installation of the We reviewed the relevant data, 81205–SB530029–00, Issue 002, dated potable waterlines. considered the comments received, and January 26, 2016, extends the 24-month We partially agree with Mr. Barrance’s determined that air safety and the compliance time for sealing floor panels request. We agree that this is a design public interest require adopting this AD and seat tracks to 60 months; clarifies issue that increased the likelihood of with the changes described previously installation of components, revises tape mis-installation, and not primarily a and minor editorial changes. We have requirements; revises sealant callouts; problem with the quality of work by determined that these minor changes: and corrects kit contents. We have personnel installing the potable • Are consistent with the intent that revised paragraphs (c) and (h)(1) of this waterlines. We asked the manufacturer was proposed in the NPRM for AD to reference this service information. to conduct a root-cause analysis to correcting the unsafe condition; and • Boeing Alert Service Bulletin B787– determine how it permitted design • Do not add any additional burden 81205–SB530031–00, Issue 002, dated issues that created the unsafe condition. upon the public than was already March 16, 2016, extends the 24-month We are working with the manufacturer proposed in the NPRM. compliance time for installing drip to determine if their company processes must be updated to better identify these We also determined that these shields and foam blocks to 60 months. changes will not increase the economic This service information also revises the hazards. The actions required by this AD address only the results of that burden on any operator or increase the airplane groups into configurations to scope of this AD. account for airplanes on which the drip analysis that directly relate to the shield between the floor beams at identified design issues, and mandate Related Service Information Under 1 station (STA) 1233 and STA 1257 was changes to correct those issues. CFR Part 51 not installed due to interference with We disagree that the EE bay design was not reviewed and required to We reviewed the following service wire bundles over the P100 panel. This protect the avionics LRUs from water information. service information also clarifies certain ingress at the time of certification. A • instructions, revises certain task hour Boeing Alert Service Bulletin B787– hazard analysis was completed for these estimates, and removes one airplane 81205–SB380009–00, Issue 002, dated systems, as part of the certification from the effectivity. This service December 9, 2015. process, which required known hazards • information erroneously specifies Boeing Alert Service Bulletin B787– to be addressed. This event shows that ‘‘Group 6, Configuration 1’’ airplanes 81205–SB530029–00, Issue 002, dated despite the hazard analysis during the where it should specify ‘‘Group 7, January 26, 2016. design and certification phase, further Configuration 1’’ airplanes for Task 29 • Boeing Alert Service Bulletin B787– improvement is needed to remove the 81205–SB530031–00, Issue 002, dated in multiple places. We have revised unsafe condition. Airplane March 16, 2016. paragraphs (c) and (h)(2) of this AD to manufacturers are responsible for the reference Boeing Alert Service Bulletin safety of their products and services, This service information describes B787–81205–SB530031–00, Issue 002, and must be in compliance with procedures for replacing the potable dated March 16, 2016. We have added applicable safety requirements. As a waterline couplings above the forward new paragraph (i) to specify an component of our safety management and aft EE bays with new, improved exception for Boeing Alert Service system, we verify that the safety systems couplings; sealing the floors, seat tracks, Bulletin B787–81205–SB530031–00, of the design approval holder meet and lavatories above the aft EE bay; Issue 002, dated March 16, 2016. applicable requirements. Working with installing drip shields and foam blocks; We have also added new paragraph (j) approval holders during the design and rerouting the wire bundles adjacent of this AD to provide credit for actions development process, we strive to avoid to the drip shields above the aft EE bay. done prior to the effective date of this unsafe conditions in the first place. The This service information is reasonably AD using Boeing Alert Service Bulletin design for this system was evaluated available because the interested parties B787–81205–SB380009–00, Issue 001, during the certification process and have access to it through their normal dated March 26, 2015; Boeing Alert found at the time to be compliant. We course of business or by the means Service Bulletin B787–81205– also verify that the approval holders’ identified in the ADDRESSES section. SB530029–00, Issue 001, dated March processes, products, and services Costs of Compliance 26, 2015; and Boeing Alert Service continue to maintain safety of their Bulletin B787–81205–SB530031–00, product during the operational phases We estimate that this AD affects 17 Issue 001, dated March 26, 2015; as of their service life. In this regard, we airplanes of U.S. registry. applicable. We have redesignated have evaluated the issues related to this We estimate the following costs to subsequent paragraphs accordingly. system and acted on them. comply with this AD:
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ESTIMATED COSTS
Cost on U.S. Action Labor cost Parts cost Cost per product operators
Replace waterline couplings ...... Up to 24 work-hours × $85 per hour = $3,195 Up to $5,235 Up to $88,995 up to $2,040 Seal floors and seat tracks ...... Up to 108 work-hours × $85 per hour = 137 Up to $9,317 Up to $158,389 up to $9,180 Install drip shields and reroute wiring .... Up to 42 work-hours × $85 per hour = 34,594 Up to $38,164 Up to $648,788 up to $3,570
According to the manufacturer, some under the criteria of the Regulatory improperly installed waterline couplings, of the costs of this AD may be covered Flexibility Act. and water leaking into the electronics under warranty, thereby reducing the equipment (EE) bays from above the floor in List of Subjects in 14 CFR Part 39 cost impact on affected individuals. We the main cabin, resulting in water on the do not control warranty coverage for Air transportation, Aircraft, Aviation equipment in the EE bays. We are issuing this safety, Incorporation by reference, AD to prevent a water leak from an affected individuals. As a result, we improperly installed potable water system Safety. have included all costs in our cost coupling, or main cabin water source, which estimate. Adoption of the Amendment could cause the equipment in the EE bays to Authority for This Rulemaking become wet, resulting in an electrical short Accordingly, under the authority and potential loss of system functions Title 49 of the United States Code delegated to me by the Administrator, essential for safe flight. the FAA amends 14 CFR part 39 as specifies the FAA’s authority to issue (f) Compliance rules on aviation safety. Subtitle I, follows: section 106, describes the authority of Comply with this AD within the PART 39—AIRWORTHINESS compliance times specified, unless already the FAA Administrator. Subtitle VII: DIRECTIVES done. Aviation Programs, describes in more (g) Replace Potable Waterline Couplings detail the scope of the Agency’s ■ 1. The authority citation for part 39 authority. continues to read as follows: Within 24 months after the effective date We are issuing this rulemaking under of this AD: Replace the existing potable the authority described in Subtitle VII, Authority: 49 U.S.C. 106(g), 40113, 44701. waterline couplings located above the forward and aft EE bays with new, improved Part A, Subpart III, Section 44701: § 39.13 [Amended] couplings, in accordance with the ‘‘General requirements.’’ Under that ■ section, Congress charges the FAA with 2. The FAA amends § 39.13 by adding Accomplishment Instructions of Boeing Alert Service Bulletin B787–81205–SB380009–00, promoting safe flight of civil aircraft in the following new airworthiness directive (AD): Issue 002, dated December 9, 2015. Before air commerce by prescribing regulations further flight after doing the replacement, do for practices, methods, and procedures 2016–14–04 The Boeing Company: a potable water system leak test and repair the Administrator finds necessary for Amendment 39–18585; Docket No. any leaks found before further flight, in safety in air commerce. This regulation FAA–2015–5808; Directorate Identifier accordance with the Accomplishment is within the scope of that authority 2015–NM–111–AD. Instructions of Boeing Alert Service Bulletin because it addresses an unsafe condition (a) Effective Date B787–81205–SB380009–00, Issue 002, dated that is likely to exist or develop on This AD is effective August 12, 2016. December 9, 2015. products identified in this rulemaking (b) Affected ADs (h) Seal Floor Panels and Seat Tracks/Install action. Drip Shields and Reroute Wiring None. Regulatory Findings Within 60 months after the effective date (c) Applicability of this AD: Do the actions specified in This AD will not have federalism This AD applies to The Boeing Company paragraphs (h)(1) and (h)(2) of this AD. implications under Executive Order Model 787–8 series airplanes, certificated in (1) Apply sealant to the main cabin floor 13132. This AD will not have a any category, as identified in the service areas located above the aft EE bay, in substantial direct effect on the States, on information specified in paragraphs (c)(1), accordance with the Accomplishment the relationship between the national (c)(2), and (c)(3) of this AD. Instructions of Boeing Alert Service Bulletin government and the States, or on the (1) Boeing Alert Service Bulletin B787– B787–81205–SB530029–00, Issue 002, dated distribution of power and 81205–SB380009–00, Issue 002, dated January 26, 2016. responsibilities among the various December 9, 2015. (2) Install drip shields and foam blocks, (2) Boeing Alert Service Bulletin B787– and reroute the wire bundles above the levels of government. equipment in the aft EE bay, in accordance For the reasons discussed above, I 81205–SB530029–00, Issue 002, dated January 26, 2016. with the Accomplishment Instructions of certify that this AD: (3) Boeing Alert Service Bulletin B787– Boeing Alert Service Bulletin B787–81205– (1) Is not a ‘‘significant regulatory 81205–SB530031–00, Issue 002, dated March SB530031–00, Issue 002, dated March 16, action’’ under Executive Order 12866, 16, 2016. 2016, except as specified in paragraph (i) of (2) Is not a ‘‘significant rule’’ under this AD. (d) Subject DOT Regulatory Policies and Procedures (i) Exception to Certain Service Information (44 FR 11034, February 26, 1979), Air Transport Association (ATA) of Where Boeing Alert Service Bulletin B787– (3) Will not affect intrastate aviation America Code 38, Water/Waste; and Code 53, Fuselage. 81205–SB530031–00, Issue 002, dated March in Alaska, and 16, 2016, specifies ‘‘Group 6, Configuration (4) Will not have a significant (e) Unsafe Condition 1’’ airplanes in reference to Task 29, the economic impact, positive or negative, This AD was prompted by reports of water correct airplane group identification is on a substantial number of small entities leakage from the potable water system due to ‘‘Group 7, Configuration 1’’ airplanes.
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(j) Credit for Previous Actions Systems Branch, ANM–150S, FAA, Seattle ACTION: Final rule. This paragraph provides credit for the Aircraft Certification Office (ACO), 1601 Lind corresponding actions specified in Avenue SW., Renton, WA 98057–3356; SUMMARY: We are adopting a new paragraphs (g) and (h) of this AD, if those phone: 425–917–6457; fax: 425–917–6590; airworthiness directive (AD) for all The actions were performed before the effective email: [email protected]. Boeing Company Model 737–600, –700, date of this AD using the applicable service (2) Service information identified in this –700C, –800, –900, and –900ER series information specified in paragraphs (j)(1), AD that is not incorporated by reference is airplanes. This AD was prompted by (j)(2), and (j)(3) of this AD. This service available at the addresses specified in reports of a manufacturing oversight, in paragraphs (m)(3) and (m)(4) of this AD. information is not incorporated by reference which a supplier omitted the required in this AD. (m) Material Incorporated by Reference protective finish on certain bushings (1) Boeing Alert Service Bulletin B787– installed in the rear spar upper chord on 81205–SB380009–00, Issue 001, dated March (1) The Director of the Federal Register 26, 2015. approved the incorporation by reference horizontal stabilizers, which could lead (2) Boeing Alert Service Bulletin B787– (IBR) of the service information listed in this to galvanic corrosion and consequent 81205–SB530029–00, Issue 001, dated March paragraph under 5 U.S.C. 552(a) and 1 CFR cracking of the rear spar upper chord. 26, 2015. part 51. This AD requires an inspection or (3) Boeing Alert Service Bulletin B787– (2) You must use this service information records check to determine if affected 81205–SB530031–00, Issue 001, dated March as applicable to do the actions required by horizontal stabilizers are installed, 26, 2015. this AD, unless the AD specifies otherwise. (i) Boeing Alert Service Bulletin B787– related investigative actions, and for (k) Alternative Methods of Compliance 81205–SB380009–00, Issue 002, dated affected horizontal stabilizers, repetitive (AMOCs) December 9, 2015. inspections for any crack of the (1) The Manager, Seattle Aircraft (ii) Boeing Alert Service Bulletin B787– horizontal stabilizer rear spar upper Certification Office (ACO), FAA, has the 81205–SB530029–00, Issue 002, dated chord, and corrective action if authority to approve AMOCs for this AD, if January 26, 2016. necessary. We are issuing this AD to requested using the procedures found in 14 (iii) Boeing Alert Service Bulletin B787– detect and correct cracking of the rear CFR 39.19. In accordance with 14 CFR 39.19, 81205–SB530031–00, Issue 002, dated March spar upper chord, which can result in send your request to your principal inspector 16, 2016. the failure of the upper chord and or local Flight Standards District Office, as (3) For Boeing service information consequent departure of the horizontal identified in this AD, contact Boeing appropriate. If sending information directly stabilizer from the airplane, which can to the manager of the ACO, send it to the Commercial Airplanes, Attention: Data & attention of the person identified in Services Management, P.O. Box 3707, MC lead to loss of control of the airplane. paragraph (l)(1) of this AD. Information may 2H–65, Seattle, WA 98124–2207; telephone DATES: This AD is effective August 12, be emailed to: 9-ANM-Seattle-ACO-AMOC- 206–544–5000, extension 1; fax 206–766– 2016. [email protected]. 5680; Internet https:// The Director of the Federal Register (2) Before using any approved AMOC, www.myboeingfleet.com. approved the incorporation by reference notify your appropriate principal inspector, (4) You may view this service information of a certain publication listed in this AD or lacking a principal inspector, the manager at the FAA, Transport Airplane Directorate, as of August 12, 2016. of the local flight standards district office/ 1601 Lind Avenue SW., Renton, WA. For ADDRESSES: certificate holding district office. information on the availability of this For service information (3) An AMOC that provides an acceptable material at the FAA, call 425–227–1221. identified in this final rule, contact level of safety may be used for any repair, (5) You may view this service information Boeing Commercial Airplanes, alteration, or modification required by this that is incorporated by reference at the Attention: Data & Services Management, AD if it is approved by the Boeing National Archives and Records P.O. Box 3707, MC 2H–65, Seattle, WA Commercial Airplanes Organization Administration (NARA). For information on 98124–2207; telephone 206–544–5000, Designation Authorization (ODA) that has the availability of this material at NARA, call extension 1; fax 206–766–5680; Internet been authorized by the Manager, Seattle ACO 202–741–6030, or go to: http:// https://www.myboeingfleet.com. You to make those findings. For a repair method www.archives.gov/federal-register/cfr/ibr- may view this referenced service to be approved, the repair method, locations.html. information at the FAA, Transport modification deviation, or alteration Issued in Renton, Washington, on June 23, Airplane Directorate, 1601 Lind Avenue deviation must meet the certification basis of 2016. the airplane, and the approval must SW., Renton, WA. For information on specifically refer to this AD. Dorr M. Anderson, the availability of this material at the (4) For service information that contains Acting Manager, Transport Airplane FAA, call 425–227–1221. It is also steps that are labeled as Required for Directorate, Aircraft Certification Service. available on the Internet at http:// Compliance (RC), the provisions of [FR Doc. 2016–15911 Filed 7–7–16; 8:45 am] www.regulations.gov by searching for paragraphs (k)(4)(i) and (k)(4)(ii) apply. BILLING CODE 4910–13–P and locating Docket No. FAA–2015– (i) The steps labeled as RC, including 6541. substeps under an RC step and any figures identified in an RC step, must be done to DEPARTMENT OF TRANSPORTATION Examining the AD Docket comply with the AD. An AMOC is required You may examine the AD docket on for any deviations to RC steps, including Federal Aviation Administration substeps and identified figures. the Internet at http:// (ii) Steps not labeled as RC may be www.regulations.gov by searching for deviated from using accepted methods in 14 CFR Part 39 and locating Docket No. FAA–2015– accordance with the operator’s maintenance [Docket No. FAA–2015–6541; Directorate 6541; or in person at the Docket or inspection program without obtaining Identifier 2015–NM–135–AD; Amendment Management Facility between 9 a.m. approval of an AMOC, provided the RC steps, 39–18581; AD 2016–13–16] and 5 p.m., Monday through Friday, including substeps and identified figures, can except Federal holidays. The AD docket still be done as specified, and the airplane RIN 2120–AA64 contains this AD, the regulatory can be put back in an airworthy condition. Airworthiness Directives; The Boeing evaluation, any comments received, and (l) Related Information Company Airplanes other information. The address for the (1) For more information about this AD, Docket Office (phone: 800–647–5527) is contact Susan L. Monroe, Aerospace AGENCY: Federal Aviation Docket Management Facility, U.S. Engineer, Cabin Safety and Environmental Administration (FAA), DOT. Department of Transportation, Docket
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Operations, M–30, West Building 184de9a71ec3fa5586257eae00707da6/ production airplane once it enters Ground Floor, Room W12–140, 1200 $FILE/ST00830SE.pdf) does not affect service. As specified in paragraph New Jersey Avenue SE., Washington, the ability to accomplish the actions 2.B.(2) of Chapter 6 of the AD Manual, DC 20590. specified in the NPRM. FAA–IR–M–8040.1C (http://rgl.faa.gov/ FOR FURTHER INFORMATION CONTACT: We concur with the commenter. We Regulatory_and_Guidance_Library/ Gaetano Settineri, Aerospace Engineer, have redesignated paragraph (c) of the rgOrders.nsf/0/ Airframe Branch, ANM–120S, FAA, proposed AD as paragraph (c)(1) and 66ddd8e1d2e95db3862577270062aabd/ Seattle Aircraft Certification Office added new paragraph (c)(2) to this AD $FILE/FAA-IR-M-8040_1C.pdf), when (ACO), 1601 Lind Avenue SW., Renton, to state that installation of STC the unsafe condition results from the WA 98057–3356; phone: 425–917–6577; ST00830SE (http://rgl.faa.gov/ installation of the appliance or part on fax: 425–917–6590; email: Regulatory_and_Guidance_Library/ an aircraft, the AD action is issued [email protected]. rgstc.nsf/0/ against the aircraft, not the appliance or SUPPLEMENTARY INFORMATION: 184de9a71ec3fa5586257eae00707da6/ part. Therefore, we have determined $FILE/ST00830SE.pdf) does not affect that it is appropriate for this AD to Discussion the ability to accomplish the actions apply to all airplanes of the specified We issued a notice of proposed required by this final rule. Therefore, for model types. We have made no changes rulemaking (NPRM) to amend 14 CFR airplanes on which STC ST00830SE is to the applicability of this AD. installed, a ‘‘change in product’’ part 39 by adding an AD that would Request To Allow Removal and apply to all The Boeing Company Model alternative method of compliance (AMOC) approval request is not Replacement of Affected Horizontal 737–600, –700, –700C, –800, –900, and Stabilizers –900ER series airplanes. The NPRM necessary to comply with the published in the Federal Register on requirements of 14 CFR 39.17. A4A requested that we revise November 30, 2015 (80 FR 74726) (‘‘the paragraph (h)(2) of the proposed AD to Request To Revise the Proposed allow removal of an affected horizontal NPRM’’). The NPRM was prompted by Applicability reports of a manufacturing oversight, in stabilizer, and replacement with an which a supplier omitted the required Airlines for America (A4A) requested unaffected or an affected horizontal protective finish on certain bushings that we revise the applicability of the stabilizer that is within the parameters installed in the rear spar upper chord on proposed AD to state ‘‘This AD applies of paragraph 1.E. ‘‘Compliance,’’ of horizontal stabilizers, which could lead to all horizontal stabilizers with serial Boeing Alert Service Bulletin 737– to galvanic corrosion and consequent numbers identified in Boeing SB 737– 55A1097, dated July 1, 2015. A4A cracking of the rear spar upper chord. 55A1097.’’ A4A explained that the explained that paragraph (g)(2) of the The NPRM proposed to require an proposed AD is applicable to all Boeing proposed AD requires that the inspection or records check to Model 737–600, –700, –700C, –800, inspection specified in Boeing Alert determine if affected horizontal –900, and –900ER series airplanes; Service Bulletin 737–55A1097, dated stabilizers are installed, related however, Boeing Alert Service Bulletin July 1, 2015, be accomplished on any investigative actions, and for affected 737–55A1097, dated July 1, 2015, horizontal stabilizer found to be within horizontal stabilizers, repetitive provides a list of affected horizontal the effectivity of Boeing Alert Service inspections for any crack of the stabilizers by serial number. A4A Bulletin 737–55A1097, dated July 1, horizontal stabilizer rear spar upper expressed that the physical plate 2015, and the compliance times found chord, and corrective action if inspections required by paragraph in paragraph 1.E., ‘‘Compliance.’’ A4A necessary. We are issuing this AD to (g)(1)(ii) of the proposed AD are expressed that if cracking is found, excessive and unneeded, as operators detect and correct cracking of the rear operators must repair in accordance normally track serialized components spar upper chord, which can result in with paragraph (h)(2) of the proposed without the need to physically inspect the failure of the upper chord and AD; paragraph (h)(2) of the proposed AD the airframe. A4A further reasoned that consequent departure of the horizontal requires repair in accordance with when paragraph (c) of the proposed AD stabilizer from the airplane, which can paragraph (j) of the proposed AD before is written against all Model 737 Next lead to loss of control of the airplane. further flight. Generation airframes, the complexity of We agree. We have determined that Comments compliance reporting becomes more removing a damaged horizontal We gave the public the opportunity to burdensome. The net result, stated A4A, stabilizer and replacing it with a participate in developing this AD. The is indefinite record keeping of AD serviceable horizontal stabilizer, as following presents the comments compliance for airplanes that are not provided in paragraph (i) of this AD, received on the NPRM and the FAA’s equipped with horizontal stabilizers addresses the identified unsafe response to each comment. affected by the manufacturing oversight. condition. We have revised paragraph We do not agree to revise the (h)(2) of this AD accordingly. Support for the NPRM applicability of this AD as requested by Request for Review of Other Inspection Air Line Pilots Association the commenter. Paragraph (g)(1) of this Methods International (ALPA) stated that it AD gives operators the option of supports the NPRM. Boeing stated that performing either a records check or an A4A requested that the FAA and is concurs with the NPRM. inspection. If the operator’s records are Boeing review other non-destructive test sufficient to determine the serial (NDT) inspection options such as an Effect of Winglets on Accomplishment number of the horizontal stabilizers on ultrasound process to satisfy the of the Proposed Actions the affected airplane, then a physical proposed inspection requirements. A4A Aviation Partners Boeing stated that inspection is not required. Furthermore, pointed out that paragraph (g)(2) of the installation of winglets per the affected horizontal stabilizers are proposed AD specifies a high frequency Supplemental Type Certificate (STC) rotable parts, so it is possible that an eddy current (HFEC) method for ST00830SE (http://rgl.faa.gov/ affected horizontal stabilizer could be inspection of the rear spar upper chord. Regulatory_and_Guidance_Library/ installed on numerous airplanes during A4A explained that the FAA should be rgstc.nsf/0/ its service life, even on a new aware that other methods, specifically
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ultrasound inspection, may be better the proposed AD to reduce the burden discovered, and that such action is to be NDT diagnostic techniques, and that an for operators. ANA explained that parts performed in accordance with ultrasound inspection, compared to the installation is restricted based on its paragraph (j) of the proposed AD, which proposed HFEC process, may detect serial number, and that paragraph is the AMOC section. A4A said that, early crack development from the fitting (i)(2)(i) of the proposed AD requires although no known inspections have holes versus cracking that has initial inspection specified in paragraph revealed cracking, we (the FAA) must propagated up to and near the surface of (g)(2) of the proposed AD before further believe that findings will occur, and that the rear spar upper chord. flight. ANA expressed that this operators would benefit by having We partially agree. We agree with the requirement is applicable if the flight guidance from Boeing without the need commenter that other inspection cycles and/or the date of issuance the for an AMOC request. Similarly, A4A methods may be better NDT diagnostic original certificate of airworthiness, or expressed, without a repair plan, there techniques and note that alternative the original export certificate of methods of compliance (AMOCs) have airworthiness for the horizontal should also be a means of terminating been granted to ADs when updated stabilizer are unknown or have already the inspections entirely. A4A pointed to service information containing exceeded the proposed compliance time a recent experience concerning seat improved procedures to address an specified in paragraph (g)(2) of the track cracking that exposed the unsafe condition becomes available. proposed AD. ANA reasoned that, if the difficulties of embarking upon a We disagree to include other flight cycles and the date of issuance of required inspection plan without a inspection options in this final rule, the original certificate of airworthiness defined recovery path. A4A referred to because the inspection technique or the original export certificate of AD 2013–23–04, Amendment 39–17659 required in this AD adequately airworthiness of the horizontal stabilizer (78 FR 68693, November 15, 2013) (‘‘AD addresses the unsafe condition and is are known, and the flight cycles and 2013–23–04’’), and stated that AD also accompanied by service information, years on the horizontal stabilizer are directed operators to the AMOC process. which includes detectable crack lengths less than the compliance times specified We do not agree. An AD is issued to and inspection intervals. If additional in paragraph 1.E., ‘‘Compliance,’’ of address an identified unsafe condition, service information that provides Boeing Alert Service Bulletin 737– as required by 14 CFR part 39. The alternative NDT inspection methods 55A1097, dated July 1, 2015, operators becomes available, under the provisions may conduct the inspection specified in determination of the unsafe condition, of paragraph (j) of this AD, we will paragraph (g)(2) of this AD at the time mitigating action, and compliance times consider requests for approval of an specified in paragraph (g)(2) of this AD. in this AD has all been coordinated with AMOC if sufficient data are submitted to We agree to clarify. An affected Boeing. This AD is being issued to substantiate that the inspection method horizontal stabilizer that has not address the lack of corrosion protection would provide an acceptable level of reached the inspection threshold or the on a critical structural element. As a safety. We have made no changes to this next repeat interval is still in result, dissimilar metal corrosion may AD in this regard. compliance with this AD at the time it cause cracking of the horizontal Requests for Clarification of Parts is installed on the airplane. We have stabilizer rear spar upper chord. With Installation Requirements revised paragraph (i)(2)(i) of this AD to no service history of cracking yet read ‘‘Initial and repetitive HFEC reported, it is expected that any A4A requested that we reword inspections specified in paragraph (g)(2) cracking will be limited and not result paragraphs (g) and (i) of the proposed of this AD are completed within the in a significant disruption to affected AD to allow operators to maintain or compliance times specified in paragraph operators. The inspections required by install any affected horizontal stabilizer (g)(2) of this AD.’’ We also agree to this AD provide an acceptable level of on any airplane, provided that the clarify that the 10-year compliance time horizontal stabilizer is, or will be, safety for the affected airplanes. We specified in paragraph 1.E. have reviewed with Boeing the inspected as specified in paragraph 1.E., ‘‘Compliance,’’ of Boeing Alert Service implementation issues associated with ‘‘Compliance,’’ of Boeing Alert Service Bulletin 737–55A1097, dated July 1, AD 2013–23–04 and expect that Boeing Bulletin 737–55A1097, dated July 1, 2015, is measured using the airplane the 2015. A4A explained that paragraphs affected horizontal stabilizer was will provide us with approvable data for (i)(1) and (i)(2) of the proposed AD delivered on. repair and terminating actions in a preclude installation of an affected timely manner to address any cracking horizontal stabilizer without Request for Specific Repair Instructions found. and Terminating Action accomplishing the required inspection. For these reasons, we do not consider A4A explained further that other A4A requested that repair instructions that delaying this action until after the maintenance activity could cause a be provided either in a revision to the possible release of revised service horizontal stabilizer to be removed and service information, or via the structural information is warranted, since reinstalled prior to reaching the repair manual (SRM). A4A also sufficient technology and service requested that the proposed AD be compliance times specified in Boeing information currently exist to Alert Service Bulletin 737–55A1097, revised to include a preventive, accomplish the required actions within dated July 1, 2015. With the potential terminating action including the option the compliance time. However, under interpretation of paragraph (g)(2) of the to remove and replace the subject the provisions of paragraph (j) of this proposed AD being to inspect bushings in the upper chord fitting immediately, the initial inspection during a heavy check schedule. A4A AD, we will consider requests for would be significantly accelerated, and expressed that the NPRM and Boeing approval of AMOCs for revised service the inspection schedule would be Alert Service Bulletin 737–55A1097, information, repairs, or terminating altered for the remaining life of the dated July 1, 2015, provide neither actions if sufficient data are submitted component. specific repair methods nor a means to to substantiate they would provide an All Nippon Airways (ANA) requested terminate the inspections. A4A acceptable level of safety. For these that we clarify the parts installation reasoned that the NPRM requires reasons, we have made no changes to restrictions specified in paragraph (i) of corrective action for any crack that is this AD in this regard.
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Request To Clarify Specific Parts of the condition, mitigating action, and with the changes described previously Service Information compliance times in this AD has all and minor editorial changes. We have ANA stated that paragraph (g)(1)(i) of been coordinated with Boeing. This AD determined that these minor changes: the proposed AD should refer to Part 1, is being issued to address the lack of • Are consistent with the intent that and paragraph (g)(1)(ii) of the proposed corrosion protection on a critical was proposed in the NPRM for AD should refer to Part 2 of the structural element. As a result, correcting the unsafe condition; and Accomplishment Instructions of Boeing dissimilar metal corrosion may cause • Do not add any additional burden Alert Service Bulletin 737–55A1097, cracking of the horizontal stabilizer rear upon the public than was already dated July 1, 2015. ANA did not provide spar upper chord. With no service proposed in the NPRM. history of cracking yet reported, it is a reason for this request. We also determined that these expected that any cracking will be From these statements, we infer that changes will not increase the economic limited and not be a significant ANA is requesting that we revise burden on any operator or increase the disruption to affected operators. We paragraphs (g)(1)(i) and (g)(1)(ii) of the scope of this AD. proposed AD. We agree that the changes understand that Boeing will make requested by ANA provide additional horizontal stabilizer parts and Related Service Information Under 1 clarity. We have added ‘‘Part 1 of’’ to assemblies available as necessary for CFR Part 51 operators to address possible on- paragraph (g)(1)(i) and ‘‘Part 2 of’’ to We reviewed Boeing Alert Service paragraph (g)(1)(ii) of this AD. condition actions. However, since it is unknown how many repairs or Bulletin 737–55A1097, dated July 1, Request for Assurance of Parts replacements may be necessary and 2015. The service information describes Availability what parts would be necessary for each procedures for an inspection or records A4A also requested that, prior to repair, we cannot estimate the type and check to determine if affected horizontal release of the AD, we assure that Boeing number of parts needed. If parts stabilizers are installed, related has sections of the rear spar available for availability becomes an issue, under the investigative actions, HFEC inspections the horizontal stabilizer including a provisions of paragraph (j) of this AD, for any crack of the horizontal stabilizer typical splice repair plan for each we may approve requests for rear spar upper chord, and corrective affected 737–NG fleet. A4A also adjustments to the compliance time for action if necessary. This service requested that Boeing also provide or doing a repair or replacement if data are information is reasonably available have available, horizontal stabilizers submitted to substantiate that such an because the interested parties have that are service ready prior to the release adjustment would provide an acceptable access to it through their normal course of the AD. level of safety. We have made no of business or by the means identified We do not agree. We do not consider changes to this AD in this regard. in the ADDRESSES section. that delaying this action until Boeing Costs of Compliance has assured that replacement parts will Conclusion be available is warranted. This AD is We reviewed the relevant data, We estimate that this AD affects 1,397 issued to address an identified unsafe considered the comments received, and airplanes of U.S. registry. condition, as required by 14 CFR part determined that air safety and the We estimate the following costs to 39. The determination of the unsafe public interest require adopting this AD comply with this AD:
ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Inspection or records check ...... 1 work-hour × $85 per hour = $85 ...... $0 $85 $118,745
We estimate the following costs to do inspection or records check. We have no aircraft that might need these any necessary inspections that would be way of determining the number of inspections: required based on the results of the
ON-CONDITION COSTS
Cost per Action Labor cost Parts cost product
Inspections ...... 4 work-hours × $85 per hour = $340 ...... $0 $340
According to the manufacturer, some estimates for the on-condition repairs detail the scope of the Agency’s of the costs of this AD may be covered specified in this AD. authority. under warranty, thereby reducing the Authority for This Rulemaking We are issuing this rulemaking under cost impact on affected individuals. We the authority described in Subtitle VII, do not control warranty coverage for Title 49 of the United States Code Part A, Subpart III, Section 44701: affected individuals. As a result, we specifies the FAA’s authority to issue ‘‘General requirements.’’ Under that have included all costs in our cost rules on aviation safety. Subtitle I, section, Congress charges the FAA with estimate. section 106, describes the authority of promoting safe flight of civil aircraft in We have received no definitive data the FAA Administrator. Subtitle VII: air commerce by prescribing regulations that would enable us to provide cost Aviation Programs, describes in more for practices, methods, and procedures
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the Administrator finds necessary for (2) Installation of Supplemental Type paragraph 1.E., ‘‘Compliance,’’ of Boeing safety in air commerce. This regulation Certificate (STC) ST00830SE (http:// Alert Service Bulletin 737–55A1097, dated _ _ _ is within the scope of that authority rgl.faa.gov/Regulatory and Guidance July 1, 2015, do a high frequency eddy current (HFEC) inspection for any crack of because it addresses an unsafe condition Library/rgstc.nsf/0/ 184de9a71ec3fa5586257eae00707da6/$FILE/ the horizontal stabilizer rear spar upper that is likely to exist or develop on ST00830SE.pdf) does not affect the ability to chord and do all applicable corrective products identified in this rulemaking accomplish the actions required by this AD. actions, in accordance with the action. Therefore, for airplanes on which STC Accomplishment Instructions of Boeing Alert ST00830SE is installed, a ’’change in Service Bulletin 737–55A1097, dated July 1, Regulatory Findings product’’ alternative method of compliance 2015, except as required by paragraph (h)(2) This AD will not have federalism (AMOC) approval request is not necessary to of this AD. Repeat the inspection thereafter implications under Executive Order comply with the requirements of 14 CFR at intervals identified in paragraph 1.E., 13132. This AD will not have a 39.17. ‘‘Compliance,’’ of Boeing Alert Service Bulletin 737–55A1097, dated July 1, 2015. substantial direct effect on the States, on (d) Subject the relationship between the national Air Transport Association (ATA) of (h) Exceptions to the Service Information government and the States, or on the America Code 55, Stabilizers. Specifications distribution of power and (1) Where Boeing Alert Service Bulletin responsibilities among the various (e) Unsafe Condition 737–55A1097, dated July 1, 2015, specifies a levels of government. This AD was prompted by reports of a compliance time ‘‘after the original issue date For the reasons discussed above, I manufacturing oversight, in which a supplier of this service bulletin,’’ this AD requires certify that this AD: omitted the required protective finish on compliance within the specified compliance (1) Is not a ‘‘significant regulatory certain bushings installed in the rear spar time after the effective date of this AD. upper chord on horizontal stabilizers, which (2) If any cracking is found during any action’’ under Executive Order 12866, could lead to galvanic corrosion and inspection required by this AD, and Boeing (2) Is not a ‘‘significant rule’’ under consequent cracking of the rear spar upper Alert Service Bulletin 737–55A1097, dated DOT Regulatory Policies and Procedures chord. We are issuing this AD to detect and July 1, 2015, specifies to contact Boeing for (44 FR 11034, February 26, 1979), correct cracking of the rear spar upper chord, appropriate action: Before further flight, (3) Will not affect intrastate aviation which can result in the failure of the upper repair using a method approved in in Alaska, and chord and consequent departure of the accordance with the procedures specified in (4) Will not have a significant horizontal stabilizer from the airplane, which paragraph (j) of this AD, or replace with a economic impact, positive or negative, can lead to loss of control of the airplane. serviceable horizontal stabilizer as specified in paragraph (i) of this AD. on a substantial number of small entities (f) Compliance under the criteria of the Regulatory Comply with this AD within the (i) Parts Installation Restrictions Flexibility Act. compliance times specified, unless already As of the effective date of this AD, no List of Subjects in 14 CFR Part 39 done. person may install a horizontal stabilizer on any airplane, except as specified in Air transportation, Aircraft, Aviation (g) Serial Number Check or Inspection To paragraphs (i)(1) and (i)(2) of this AD. safety, Incorporation by reference, Determine if Certain Horizontal Stabilizers (1) A horizontal stabilizer may be installed Safety. Are Installed, Related Investigative Actions, if the part is inspected in accordance with Repetitive Inspections for Cracks, and ‘‘Part 2: Horizontal Stabilizer Identification Adoption of the Amendment Corrective Action Plate Inspection’’ of the Accomplishments Accordingly, under the authority (1) Except as specified in paragraph (h)(1) Instructions of Boeing Alert Service Bulletin delegated to me by the Administrator, of this AD, within the compliance time 737–55A1097, dated July 1, 2015, and no the FAA amends 14 CFR part 39 as identified in paragraph 1.E., ‘‘Compliance,’’ affected serial number is found. of Boeing Alert Service Bulletin 737– (2) A horizontal stabilizer may be installed follows: 55A1097, dated July 1, 2015, do the actions if the part is inspected in accordance with specified in paragraph (g)(1)(i) or (g)(1)(ii) of PART 39—AIRWORTHINESS ‘‘Part 2: Horizontal Stabilizer Identification this AD. Plate Inspection’’ of the Accomplishments DIRECTIVES (i) Do a records check to determine if an Instructions of Boeing Alert Service Bulletin affected horizontal stabilizer is installed and 737–55A1097, dated July 1, 2015, and an ■ 1. The authority citation for part 39 if any horizontal stabilizer has been affected serial number is found, provided continues to read as follows: exchanged, and do all applicable related that the actions specified in paragraphs Authority: 49 U.S.C. 106(g), 40113, 44701. investigative actions, in accordance with Part (i)(2)(i) and (i)(2)(ii) of this AD are done, as 1 of the Accomplishment Instructions of applicable. § 39.13 [Amended] Boeing Alert Service Bulletin 737–55A1097, (i) Initial and repetitive HFEC inspections ■ 2. The FAA amends § 39.13 by adding dated July 1, 2015. Affected horizontal specified in paragraph (g)(2) of this AD are stabilizers are identified in the completed within the compliance times the following new airworthiness Accomplishment Instructions of Boeing Alert specified in paragraph (g)(2) of this AD. directive (AD): Service Bulletin 737–55A1097, dated July 1, (ii) All applicable corrective actions are 2016–13–16 The Boeing Company: 2015. done before further flight as required by Amendment 39–18581; Docket No. (ii) Do an inspection of the horizontal paragraph (h)(2) of this AD. stabilizer identification plate to determine if FAA–2015–6541; Directorate Identifier (j) Alternative Methods of Compliance 2015–NM–135–AD. any affected horizontal stabilizer is installed, in accordance with Part 2 of the (AMOCs) (a) Effective Date Accomplishment Instructions of Boeing Alert (1) The Manager, Seattle Aircraft This AD is effective August 12, 2016. Service Bulletin 737–55A1097, dated July 1, Certification Office (ACO), FAA, has the 2015. Affected horizontal stabilizers are authority to approve AMOCs for this AD, if (b) Affected ADs identified in the Accomplishment requested using the procedures found in 14 None. Instructions of Boeing Alert Service Bulletin CFR 39.19. In accordance with 14 CFR 39.19, 737–55A1097, dated July 1, 2015. send your request to your principal inspector (c) Applicability (2) If, during any action required by or local Flight Standards District Office, as (1) This AD applies to all The Boeing paragraph (g)(1)(i) or (g)(1)(ii) of this AD, any appropriate. If sending information directly Company Model 737–600, –700, –700C, affected horizontal stabilizer is found: Except to the manager of the ACO, send it to the –800, –900, and 900ER series airplanes, as specified in paragraph (h)(1) of this AD, attention of the person identified in certificated in any category. within the compliance time identified in paragraph (k) of this AD. Information may be
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emailed to: 9-ANM-Seattle-ACO-AMOC- www.archives.gov/federal-register/cfr/ibr- Release No. 33–9616, Investment [email protected]. locations.html. Advisers Act Release No. IA–3879, (2) Before using any approved AMOC, Issued in Renton, Washington, on June 23, Investment Company Act Release No. notify your appropriate principal inspector, 2016. IC–31166, Financial Reporting or lacking a principal inspector, the manager Codification No. FR–84 (August 14, of the local flight standards district office/ Dorr M. Anderson, certificate holding district office. Acting Manager, Transport Airplane 2014) (SEC MMF Reform Rules). The (3) An AMOC that provides an acceptable Directorate, Aircraft Certification Service. regulations also provide guidance level of safety may be used for any repair [FR Doc. 2016–15904 Filed 7–7–16; 8:45 am] regarding information reporting required by this AD if it is approved by the BILLING CODE 4910–13–P requirements for shares in MMFs. Boeing Commercial Airplanes Organization An MMF is a type of investment Designation Authorization (ODA) that has company registered under the been authorized by the Manager, Seattle Investment Company Act of 1940 (1940 ACO, to make those findings. For a repair DEPARTMENT OF THE TREASURY Act) and regulated as an MMF under method to be approved, the repair must meet Rule 2a–7 under the 1940 Act (17 CFR the certification basis of the airplane, and the Internal Revenue Service approval must specifically refer to this AD. 270.2a–7). MMFs have historically (4) For service information that contains 26 CFR Part 1 sought to keep stable the prices at which steps that are labeled as Required for their shares are distributed, redeemed, Compliance (RC), the provisions of [TD 9774] and repurchased. The securities that paragraphs (j)(4)(i) and (j)(4)(ii) of this AD Rule 2a–7 permits an MMF to hold RIN 1545–BM04 apply. generally result in no more than (i) The steps labeled as RC, including Method of Accounting for Gains and minimal fluctuations in the MMF’s net substeps under an RC step and any figures asset value per share (NAV).1 identified in an RC step, must be done to Losses on Shares in Money Market Funds; Broker Returns With Respect MMFs meeting the requirements of comply with the AD. An AMOC is required Rule 2a–7 have been permitted to value for any deviations to RC steps, including to Sales of Shares in Money Market substeps and identified figures. Funds their assets based on the assets’ cost, (ii) Steps not labeled as RC may be with certain adjustments (amortized deviated from using accepted methods in AGENCY: Internal Revenue Service (IRS), cost method), and to price their shares accordance with the operator’s maintenance Treasury. by rounding the resulting NAV to the or inspection program without obtaining ACTION: Final regulations. nearest 1 percent (penny rounding). approval of an AMOC, provided the RC steps, These methods have enabled MMFs to including substeps and identified figures, can SUMMARY: This document contains final maintain constant share prices in almost still be done as specified, and the airplane regulations that provide a simplified all circumstances. Because most MMFs can be put back in an airworthy condition. method of accounting for gains and target a $1.00 share price, an MMF that (k) Related Information losses on shares in money market funds fails to maintain a constant share price For more information about this AD, (MMFs). The final regulations also is said to ‘‘break the buck.’’ contact Gaetano Settineri, Aerospace provide guidance regarding information The SEC MMF Reform Rules generally Engineer, Airframe Branch, ANM 120S, FAA, reporting requirements for shares in bar the use of the amortized cost method Seattle Aircraft Certification Office (ACO), MMFs. The final regulations respond to and penny rounding for certain MMFs 1601 Lind Avenue SW., Renton, WA 98057– Securities and Exchange Commission (floating-NAV MMFs) and require a 3356; phone: 425–917–6577; fax: 425–917– (SEC) rules that change the amount for floating-NAV MMF to value its assets 6590; email: [email protected]. which certain MMF shares are using market factors and to round its (l) Material Incorporated by Reference distributed, redeemed, and repurchased. price per share to the nearest basis point (1) The Director of the Federal Register The final regulations affect MMFs and (the fourth decimal place, in the case of approved the incorporation by reference their shareholders. a fund with a $1.0000 share price). (IBR) of the service information listed in this DATES: Effective date: These regulations Certain government-security-focused paragraph under 5 U.S.C. 552(a) and 1 CFR are effective on July 8, 2016. MMFs (government MMFs) and certain part 51. Applicability dates: For the dates of MMFs the beneficial owners of which (2) You must use this service information applicability, see §§ 1.446–7(e) and are limited to natural persons (retail as applicable to do the actions required by 1.6045–1(c)(3)(vi)(B). MMFs) may continue to use the this AD, unless the AD specifies otherwise. amortized cost method and penny (i) Boeing Alert Service Bulletin 737– FOR FURTHER INFORMATION CONTACT: 55A1097, dated July 1, 2015. Grace Cho at (202) 317–6895 (not a toll- rounding. (A government MMF or retail (ii) Reserved. free number). MMF that continues to use the amortized cost method and penny (3) For Boeing service information SUPPLEMENTARY INFORMATION: identified in this AD, contact Boeing rounding is called a stable-NAV MMF.) Commercial Airplanes, Attention: Data & Background The SEC MMF Reform Rules also Services Management, P.O. Box 3707, MC establish circumstances under which an 2H–65, Seattle, WA 98124–2207; telephone This document contains amendments MMF is permitted or required to impose 206–544–5000, extension 1; fax 206–766– to 26 CFR part 1 (Income Tax a liquidity fee or is permitted to impose 5680; Internet https:// Regulations) under sections 446 and a redemption gate. When an MMF has www.myboeingfleet.com. 6045 of the Internal Revenue Code a liquidity fee in effect, the liquidity fee (4) You may view this service information (Code). The regulations provide a reduces the proceeds received by all at the FAA, 1601 Lind Avenue SW., Renton, method of accounting for gain or loss on WA. For information on the availability of redeeming shareholders. A redemption shares in MMFs and are intended to gate is the temporary suspension of this material at the FAA, call 425–227–1221. simplify tax compliance for holders of (5) You may view this service information redemptions of shares in the MMF. shares in MMFs affected by SEC that is incorporated by reference at the Liquidity fees and redemption gates National Archives and Records regulations that impose liquidity fees or Administration (NARA). For information on change how certain MMF shares are 1 Note that the term ‘‘NAV’’ is used throughout the availability of this material at NARA, call priced. See Money Market Fund Reform; this document to indicate the per-share amount that 202–741–6030, or go to: http:// Amendments to Form PF, Securities Act may be described elsewhere as ‘‘NAV per share.’’
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may be imposed by both floating-NAV Although stable-NAV MMFs seek to simpler computations than traditional MMFs and stable-NAV MMFs. An MMF maintain constant share prices, there are accounting, even if there are no wash other than a government MMF is circumstances in which shares in a sales. For the years after an MMF breaks required to impose a liquidity fee in stable-NAV MMF will give rise to gain the buck or imposes a liquidity fee, the certain circumstances, unless the fund’s or loss. On rare occasions, shares in a NAV method simplifies recordkeeping, board of directors determines that such stable-NAV MMF may be redeemed at a because the gain or loss for each year is a fee is not in the best interests of the price other than the target price, such as based on changes in the NAV during fund. when the MMF breaks the buck. In that year. Therefore, the final The Treasury Department and the IRS addition, a stable-NAV MMF may regulations permit taxpayers to apply published a notice of proposed impose liquidity fees, which will the NAV method to shares in stable- rulemaking and notice of public hearing generally result in the realization of a NAV MMFs. loss by a redeeming shareholder. If the (REG–107012–14) in the Federal 2. Consistency Requirement Register on July 28, 2014 (79 FR 43694). acquisition of other shares causes such The proposed regulations described a a redemption to be a wash sale under The proposed regulations would simplified method of accounting for section 1091, section 1091(d) will provide that if a taxpayer applies the gain or loss on shares in a floating-NAV generally cause the basis of the acquired NAV method to shares in any MMF for MMF (the net asset value method, or shares to exceed the cost of the shares. a taxable year, the taxpayer must apply NAV method). Under the NAV method, Because the price of a stable-NAV MMF the NAV method to its shares in all a taxpayer’s gain or loss on shares in an share rarely changes, any disposition of MMFs for which that method is MMF is based on the change in the those acquired, higher-basis shares will permissible. aggregate value of the taxpayer’s shares likely result in another loss, which also Commenters requested that the final during a computation period selected by may be deferred by the wash sale rules. regulations permit taxpayers to apply the taxpayer and on the net amount of Therefore, even if a liquidity fee is in different methods to shares in different the purchases and redemptions during effect for only one redemption by a MMFs or to shares in a single MMF held the computation period. The proposed shareholder and the share price of the in different accounts. Commenters said regulations also provided guidance MMF remains constant, that fee may that some taxpayers may receive regarding information reporting cause a difference between the basis and sufficient information about their shares requirements for shares in MMFs. value of the shareholder’s MMF shares in certain MMFs to compute gain or loss A request for a public hearing was that persists indefinitely. Determining realized on each transaction and that received, and the hearing was held on gain or loss and basis on each those taxpayers should be permitted to November 19, 2014. The IRS received transaction in a stable-NAV MMF, compute gain or loss realized on each written comments responding to the taking into account the wash sale rules, transaction for those MMFs. proposed regulations regarding the would impose significant burdens on Commenters also noted that taxpayers method of accounting for gains and shareholders under these circumstances. may hold shares in a single MMF losses on shares in MMFs. The written To eliminate those burdens, a through different kinds of accounts (for comments are available for public shareholder might need to terminate the example, an account with a broker and inspection at http:// shareholder’s entire interest in the an account with the MMF itself) and www.regulations.gov or upon request. affected MMF (and not initiate a new may receive different information for After considering the comments, the position until after the end of the period the different accounts. The commenters Treasury Department and the IRS adopt described in section 1091(a)). recommended that, because of that the proposed regulations regarding the Commenters recommended that the possibility, taxpayers should be method of accounting as final NAV method be applicable not only to permitted to use different accounting regulations with the modifications shares in floating-NAV MMFs but also methods for shares held in different described in this Treasury decision. No to shares in stable-NAV MMFs. The accounts. Commenters also noted that comments were received on the portion commenters added that many many MMF shareholders will be large of the proposed regulations that would shareholders of stable-NAV MMFs may institutional investors, which might revise § 1.6045–1(c)(3)(vi) to clarify that be retail shareholders (generally, hold shares in the same MMF through the exceptions under sections 6045, individuals) who are likely to rely upon separate accounts controlled by 6045A, and 6045B continue to apply to the cost basis reporting provided by different divisions. In response to these comments, the all MMFs, including floating-NAV funds or brokers for their other mutual final regulations permit MMF MMFs. The Treasury Department and funds. Those individuals are unlikely to shareholders to use different methods of the IRS adopt the proposed regulations have the systems necessary to record gains and losses and to track wash sales accounting for shares in different MMFs revising § 1.6045–1(c)(3)(vi) as final and the resulting basis adjustments. or for shares in a single MMF held in regulations without substantive change. The NAV method would reduce the different accounts. Summary of Comments and complexity, and any tax-based 3. Choosing NAV Method Computation Explanation of Revisions motivation to terminate investments in MMFs, that would result from the Periods for RIC Excise Tax Purposes 1. Application of the NAV Method to imposition of a liquidity fee by a stable- Under the NAV method, computation Stable-NAV MMFs NAV MMF. Under the NAV method, periods are the periods that a taxpayer Under the proposed regulations, the any loss that resulted from the selects for computing gain and loss for NAV method would apply only to imposition of a liquidity fee by an MMF an MMF. The proposed regulations floating-NAV MMF shares. In the would be determined for a shareholder’s would provide that computation periods preamble to the proposed regulations, entire interest in the MMF (or in an may be the taxpayer’s taxable year or a the Treasury Department and the IRS account) for the appropriate taxable year shorter period, provided that (i) requested comments regarding whether (or computation period) rather than for computation periods are of the NAV method should be a a single transaction. Therefore, the wash approximately equal duration, (ii) every permissible method of accounting for sale rules would not defer the loss. The day during the taxable year falls within stable-NAV MMF shares. NAV method also requires fewer and one, and only one, computation period,
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and (iii) each computation period distribution under section 4982(b).2 The of the end of the relevant day (or the contains days from only one taxable RIC, however, may not use the section next trading day, if the day in question year. 4982 period as a computation period for is not a trading day). A second Most regulated investment companies excise tax purposes if the section 4982 commenter suggested that, because (RICs) must pay an excise tax under period contains days from more than MMFs may strike several NAVs section 4982 if they do not make the one income tax year.3 Instead, in this throughout the day, the fair market required distribution described in situation, the RIC must divide the value should be the next published section 4982(b) for a calendar year. The section 4982 period into at least two NAV after a transaction. required distribution is generally 98 computation periods so that each In response to these comments, the percent of the RIC’s ordinary income for computation period contains days from final regulations clarify that the fair the calendar year, plus 98.2 percent of only one income tax year. Similarly, the market value of a share in an MMF at the RIC’s capital gain net income for the RIC may not use its full income tax year the time of a transaction is presumed to one-year period ending on October 31 of as a computation period for income tax be the published NAV (or other the calendar year. A commenter purposes if the year contains days from published amount for which the MMF requested clarification that a RIC that more than one section 4982 period. would redeem the share, determined holds MMF shares may use the NAV These consistency requirements without regard to any liquidity fees method for excise tax computations. simplify and clarify the interaction of (other redemption amount)). For That commenter also requested that the sections 852(b) and 4982. purposes of computing the ending value Treasury Department and the IRS The final regulations eliminate the for a computation period, the confirm that a RIC that uses the NAV requirement that computation periods presumption applies to the last method is permitted to use the one-year be of approximately equal duration. The published NAV (or other redemption period from November 1 to October 31 Treasury Department and the IRS do not amount) in that computation period. For as its computation period for excise tax believe that this requirement is essential purposes of determining the fair market purposes. The commenter explained to the operation of the NAV method, value of MMF shares surrendered or that RICs generally account for items and eliminating the requirement will received in a redemption or exchange, that are marked to market using two allow taxpayers more flexibility. In the presumption generally applies to the different one-year periods for income particular, permitting computation NAV (or other redemption amount) used tax and excise tax purposes. The periods of unequal duration will reduce to determine the consideration received commenter explained that, under the burden on RICs of complying with in the transaction, or if the section 4982(e)(2)(A), the term ‘‘capital the requirement of consistent consideration is not based on a gain net income’’ when used in section computation periods for income and published NAV (or other redemption 4982 is determined by treating the one- excise tax purposes. For example, a RIC amount), the first NAV (or other year period ending on October 31 of any that applies the NAV method to its redemption amount) published for the calendar year as the company’s taxable shares in an MMF (held as a capital MMF shares after the transaction. If no year. asset) and that has an income tax year NAV (or other redemption amount) is The Treasury Department and the IRS ending on January 31 may meet the published, or if facts and circumstances agree that the NAV method should be consistency requirements with two indicate that the NAV (or other applicable for purposes of the computation periods of unequal redemption amount) does not represent computations required by section 4982 duration—one ending on January 31 and the fair market value of a share in the the other on October 31. The RIC also MMF, the fair market value is and that the taxable year for purposes of may use additional computation periods determined on the basis of all the facts those computations should be the ending on other dates, such as and circumstances. relevant period under section 4982(e). December 31. The final regulations adopt this change. B. Aggregate Amount Received The final regulations, however, 4. Clarification of Certain Amounts Under the proposed regulations, a require a RIC to be consistent in A. Fair Market Value of MMF Shares taxpayer’s net investment in an MMF applying the NAV method to MMF for a computation period would equal Under the proposed regulations, gain shares for income tax and excise tax the aggregate cost of shares in the MMF and loss under the NAV method would purposes. For each MMF in each purchased during the computation be determined by reference to the fair account, the final regulations generally period, minus the aggregate amount market value of MMF shares. require a RIC to use the NAV method received during the computation period Commenters requested that the Treasury either for both income tax and excise tax in redemption of shares in the MMF, Department and the IRS clarify that the computations or for neither subject to certain adjustments. A fair market value of an MMF share for computation. The final regulations also commenter suggested that the final this purpose is the NAV reported by the clarify how a RIC may change to or from regulations clarify that the aggregate MMF. One commenter suggested that the NAV method. amount received is based on: (i) If cash the fair market value of a share in an The final regulations require a RIC to is received, the cash proceeds, (ii) if MMF should be the published NAV as use the same computation periods for shares in another MMF are received, the purposes of both excise tax and income published NAV of the shares received as tax computations. Therefore, under the 2 If a RIC has not made an election under section 4982(e)(4), the RIC’s section 4982 period is the one- of the end of the day on which the final regulations, a RIC using the NAV year period ending on October 31, because that is redemption or exchange occurs (or the method for its shares in an MMF the period for determining capital gain net income next trading day, if the day in question generally treats the one-year period for under section 4982(e)(2) and (because the final regulations concerning the NAV method constitute is not a trading day), or (iii) if other non- which gain or loss from the MMF would a specified mark to market provision for purposes cash property is received, the NAV of be included in the amount determined of section 4982(e)(6)(B)) ordinary income under the redeemed or exchanged shares as of under section 4982(e)(2) or (e)(6) (the 4982(e)(6)(A). the end of the day on which the 3 section 4982 period) like a taxable year The section 4982 period will contain days from redemption or exchange occurs (or the in applying the NAV method to only one income tax year if (i) the RIC has in effect a valid election under section 4982(e)(4) or (ii) the next trading day if the day in question determine the RIC’s required RIC’s income tax year ends on October 31. is not a trading day or, if the fund will
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not publish a NAV on or after the end acquired MMF shares and the person would address and the ability of of the day on which the redemption or from whom the shareholder acquired shareholders to prevent the treatment of exchange occurs, the fund’s last the shares used the NAV method, then all gain or loss as capital by using published NAV). the adjusted basis of the acquired shares separate accounts. Therefore, the final The final regulations include will be their fair market value at the regulations retain the simplifying rule provisions for determining the amount time of the acquisition, which value is for mixed-character accounts. received for purposes of computing a presumed to be the next NAV (or other taxpayer’s net investment in an MMF redemption amount) published by the 6. Other Requests and Comments for a computation period. If the MMF. A. Wash Sale Rules Exemption for consideration received in exchange for Stable-NAV MMFs an MMF share consists only of cash, 5. MMF Accounts With Shares of Mixed Concurrently with the release of the other MMF shares, or both, the amount Character received is the amount of any cash plus The proposed regulations would proposed regulations, the Treasury the fair market value of any MMF shares provide that if a taxpayer uses the NAV Department and the IRS released Rev. received. If the consideration includes method for shares in an MMF and each Proc. 2014–45 (2014–34 IRB 388), which any property other than cash or MMF of those shares otherwise would give provides that the wash sale rules in shares, the amount received is rise to capital gain or loss if sold or section 1091 will not be applied to determined by reference to the fair exchanged in a computation period, redemptions of shares in floating-NAV market value of the surrendered MMF then the gain or loss from the shares in MMFs. Commenters requested that the shares. the MMF is treated as capital gain or wash sale exemption, which is limited The same commenter recommended loss under the NAV method. Likewise, to floating-NAV MMFs, be extended to that a phrase in § 1.446–7(b)(5)(i)(B) of if each of the shares otherwise would stable-NAV MMFs that impose liquidity the proposed regulations, ‘‘if the give rise to ordinary gain or loss if sold fees. transaction is one in which gain or loss or exchanged in a computation period, The final regulations permit would be recognized,’’ be clarified to then the gain or loss is treated as shareholders of stable-NAV MMFs to indicate that it refers to recognition of ordinary gain or loss. If, however, the use the NAV method. A shareholder gain or loss other than pursuant to the sale of all of the shares in the MMF who uses the NAV method would not NAV method. The final regulations would give rise to a combination of require an exemption from the wash make this clarification. ordinary gain or loss and capital gain or sale rules because under the NAV loss if sold or exchanged in a method, net gain or loss is determined C. Substituted Basis computation period, then all gain or loss for each computation period, and no Under the proposed regulations, a from the shares in the MMF is treated gain or loss is determined for any taxpayer’s net investment would as capital gain or loss. particular redemption of a taxpayer’s increase if, during the computation A commenter noted that the proposed shares in an MMF. Without a period, the taxpayer acquired any shares regulations do not explain why all gain determination of loss for a particular in an MMF other than by purchase. In or loss should be treated as capital in redemption, that redemption does not such cases, the net investment increases the case of an account containing MMF implicate the wash sale rules. Because by the adjusted basis (for purposes of shares of mixed character. The taxpayers may use the NAV method to determining loss) of each such share commenter recommended that the prevent wash sales, the Treasury immediately after its acquisition. The character of gain or loss with respect to Department and IRS are not extending proposed regulations would also a mixed character account be bifurcated the exemption in Rev. Proc. 2014–45 to provide that if that adjusted basis would based on the portion of the shares that stable-NAV MMFs. be determined by reference to the basis would generate gain or loss of each B. Other Requests of one or more shares in an MMF that character. are being disposed of by the taxpayer in The Treasury Department and the IRS A commenter requested that the a transaction in which gain or loss is not believe that it is rare for a shareholder Treasury Department and the IRS issue recognized (exchanged basis), then the to hold shares of a single MMF the guidance regarding the tax treatment of basis of each such disposed share is disposition of which would produce a an MMF’s receipt of financial support treated as being the fair market value of mix of ordinary income and capital from an investment adviser to raise the that share at the time of its disposition. gain. Under that circumstance, a NAV of the MMF (determined without A commenter noted that the proposed taxpayer may use different accounts to the amortized cost method or penny regulations do not address a situation in preserve the character of the shares that rounding) to $1.0000. In addition, the which the shareholder receives a would produce ordinary income and commenter requested guidance transferred basis in MMF shares capital gain. The purpose of the NAV regarding the diversification acquired from another person. The method is to provide an alternative to requirements of section 817(h) for a commenter suggested that, in that traditional accounting for taxpayers segregated asset account that qualifies situation, if the person from whom the seeking simplicity. The rationale for as, or invests in, a government MMF. On shareholder acquired the shares used offering a method solely for MMFs is May 5, 2016, the Treasury Department the NAV method, then the adjusted that the value of MMFs fluctuates so and the IRS released guidance related to basis of the acquired shares should be little that simplicity is more important both of these requests. See Rev. Proc. treated as the published NAV applicable than tracking each individual gain or 2016–31 (2016–21 IRB 988); Notice to the acquisition date. loss. A rule that bifurcates gain or loss 2016–32 (2016–21 IRB 878). The final regulations clarify the effect based on the value of the shares in a The commenter also requested (and on net investment of a share acquired single account, when those values may later withdrew its request) that the from another person with a transferred change during a computation period, Treasury Department and the IRS issue basis. Similar to the commenter’s would make the NAV method more guidance providing tax-free treatment suggestion, the final regulations provide complex. That additional complexity is for certain divisions of MMFs into retail that, if a shareholder receives a not warranted in light of the rarity of the and institutional MMFs. The Treasury transferred basis in one or more circumstance the proposed bifurcation Department and the IRS have
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determined that this guidance does not procedures that require a short Form the Associate Chief Counsel (Financial appear essential to an orderly separation 3115. For example, these automatic Institutions and Products). However, of different types of shareholders into consent procedures apply to a taxpayer other personnel from the Treasury different MMFs. that (1) has adopted a realization Department and the IRS participated in The commenter also requested that method for shares in a floating-NAV their development. the Treasury Department and the IRS MMF and wants to change to the NAV List of Subjects in 26 CFR Part 1 issue guidance setting forth the proper method for shares in that MMF, or (2) tax treatment by an MMF of liquidity has adopted the NAV method for shares Income taxes, Reporting and fees that the MMF imposes. In addition, in a floating-NAV MMF and wants to recordkeeping requirements. the commenter requested guidance change to a permissible realization Adoption of Amendments to the providing that, if an MMF imposes method for shares in that MMF. Regulations liquidity fees and subsequently distributes to shareholders amounts that Effective/Applicability Dates Accordingly, 26 CFR part 1 is correspond to amounts that the MMF The final regulations concerning the amended as follows: retained as liquidity fees, the MMF will NAV method apply to taxable years be deemed to have sufficient earnings ending on or after July 8, 2016. For PART 1—INCOME TAXES and profits to treat the distribution as a taxable years ending on or after July 28, ■ Paragraph 1. The authority citation dividend. These requests do not relate 2014, and beginning before July 8, 2016, for part 1 is amended by adding an entry directly to the NAV method or to the however, shareholders of MMFs may in numerical order to read in part as information reporting provision in the rely either on the rules concerning the follows: proposed regulations and so are not NAV method in the proposed addressed in these final regulations. The regulations or on the final regulations. Authority: 26 U.S.C. 7805 * * * Treasury Department and the IRS may The final regulations concerning Section 1.446–7 also issued under 26 consider guidance on these questions in information reporting apply to sales of U.S.C. 446. the future. shares in calendar years beginning on or ■ Par. 2. Section 1.446–7 is added to 7. Accounting Method Changes after July 8, 2016. Taxpayers and read as follows: brokers (as defined in § 1.6045–1(a)(1)), As under the proposed regulations, a however, may rely on the rules in the § 1.446–7 Net asset value method for certain money market fund shares. taxpayer may adopt the NAV method for regulations concerning information shares in a floating-NAV MMF by use of reporting for sales of shares in calendar (a) In general. This section provides a the method in the Federal income tax years beginning before July 8, 2016. permissible method of accounting (the return for the first taxable year in which net asset value method, or NAV method) both (1) the taxpayer holds shares in Statement of Availability for IRS for gain or loss on shares in a money that MMF and (2) that MMF is a Documents market fund (or MMF). floating-NAV MMF. IRS Revenue Procedures cited in this (b) Definitions. For purposes of this The final regulations provide that a preamble are published in the Internal section— taxpayer seeking to change to or from Revenue Bulletin and are available from (1) Computation period. Computation the NAV method must secure the the Superintendent of Documents, U.S. periods are the periods (of either equal consent of the Commissioner in Government Printing Office, or varying length) that a taxpayer selects accordance with § 1.446–1(e). Washington, DC 20402, or by visiting for computing gain and loss under the Simultaneously with the publication of the IRS Web site at http://www.irs.gov. NAV method for shares in an MMF. these regulations, the Treasury Computation periods must possess all of Department and the IRS are issuing Rev. Special Analyses the following attributes: Proc. 2016–39 (2016–30 IRB), which Certain IRS regulations, including this (i) Every day during the taxable year provides the procedures by which a one, are exempt from the requirements falls within one, and only one, taxpayer may obtain automatic consent of Executive Order 12866, as computation period; to change to or from the NAV method supplemented and reaffirmed by (ii) Each computation period contains for shares in an MMF. Executive Order 13563. Therefore, a days from only one taxable year; and In certain circumstances, Rev. Proc. regulatory impact assessment is not (iii) If the taxpayer is a regulated 2016–39 permits taxpayers to change to required. It has also been determined investment company (RIC) that is not the NAV method on a federal tax return that section 553(b) of the Administrative described in section 4982(f)— without filing a Form 3115, Procedure Act (5 U.S.C. chapter 5) does (A) The same computation periods are ‘‘Application for Change in Accounting not apply to these regulations, and used for purposes of both income tax Method.’’ This simplified procedure because the regulations do not impose a accounting under chapter 1 and excise applies to a taxpayer that holds shares collection of information on small tax computations under section 4982; in a stable-NAV MMF and wants to entities, the Regulatory Flexibility Act and change to the NAV method for a taxable (5 U.S.C. chapter 6) does not apply. (B) The requirements in paragraphs year if (1) the taxpayer has not used the Pursuant to section 7805(f) of the Code, (b)(1)(i) and (ii) of this section are also NAV method for shares in the MMF for the proposed regulations preceding satisfied if applied by substituting the any taxable year prior to the year of these final regulations were submitted RIC’s section 4982 period for the RIC’s change, and (2) prior to the beginning of to the Chief Counsel for Advocacy of the taxable year. the year of change, either (a) the Small Business Administration for (2) Ending value. The ending value of taxpayer’s basis in each share of the comment on their impact on small a taxpayer’s shares in an MMF for a MMF has been at all times equal to the businesses. No comments were computation period is the aggregate fair MMF’s target share price, or (b) the received. market value of the taxpayer’s shares at taxpayer has not realized any gain or the end of that computation period. loss with respect to shares in the MMF. Drafting Information (3) Fair market value. The fair market For certain other changes, Rev. Proc. The principal author of the final value of a share in an MMF is 2016–39 provides automatic consent regulations is Grace Cho, IRS Office of determined as follows:
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(i) Presumption based on applicable company that is permitted to hold itself market value of that share at the time of published redemption amount. For out to investors as a money market fund its disposition. If the adjusted basis of purposes of this section, the fair market under Rule 2a–7 under the Investment an acquired share would be determined value of a share in an MMF is presumed Company Act of 1940 (17 CFR 270.2a– by reference to the basis of that share in to be the applicable published 7). See paragraph (c)(5) of this section the hands of the person from whom the redemption amount for the share. for the treatment of shares in a single share is acquired and that person was (ii) Published redemption amount. MMF held in more than one account. applying the NAV method to the share The published redemption amount for a (5) Net investment—(i) In general. The at the time of the transaction, then the share in an MMF is the published net investment in an MMF for a adjusted basis of the share in the hands amount for which the MMF would computation period may be a positive of the person from whom the share is redeem the share (usually, the net asset amount, a negative amount, or zero. acquired is treated for purposes of this value per share (NAV)), taking into Except as provided in paragraph section as being the fair market value of account any corrections and not taking (b)(5)(iii) of this section, the net that share at the time of the transaction. into account any liquidity fee described investment is equal to— (6) Section 4982 period. If a taxpayer in Rule 2a–7(c)(2) under the Investment (A) The aggregate cost of shares in the using the NAV method is a RIC to which Company Act of 1940 (17 CFR 270.2a– MMF purchased during the section 4982 applies, the section 4982 7(c)(2)). computation period (including period is the one-year period with (iii) Applicable published redemption purchases through reinvestment of respect to which gain or loss is amount. The applicable published dividends); minus determined for purposes of section redemption amount is— (B) The aggregate amount received 4982(e)(2) and (e)(6). The preceding (A) For purposes of determining the during the computation period in sentence is applied taking into account ending value of a taxpayer’s shares in an redemption of (or otherwise in exchange the application of section 4982(e)(4). MMF for a computation period under for) shares in the MMF in transactions See paragraph (c)(8) of this section paragraph (b)(2) of this section, the last in which gain or loss would be regarding the application of section published redemption amount on the recognized if the taxpayer did not apply 4982(e)(6). last day of that computation period; the NAV method to the shares. (7) Starting basis. The starting basis of (B) For purposes of determining the (ii) Aggregate amount received. For a taxpayer’s shares in an MMF for a value of MMF shares received in a purposes of paragraph (b)(5)(i)(B) of this computation period is— redemption or exchange described in section, the amount received in a (i) Except as provided in paragraph paragraph (b)(5)(ii)(A) of this section, redemption or exchange of an MMF (b)(7)(ii) of this section, the ending the published redemption amount for share is— value of the taxpayer’s shares in the such MMF shares used to determine the (A) If no property other than cash and MMF for the immediately preceding consideration received in the shares in one or more other MMFs is computation period; or redemption or exchange, or if the received, the amount of any cash plus (ii) For the first computation period in consideration received is not based on the fair market value of any MMF shares a taxable year, if the taxpayer did not a published redemption amount, the received; or use the NAV method for shares in the first published redemption amount for (B) If any property other than cash or MMF for the immediately preceding such MMF shares after the redemption shares in one or more other MMFs is taxable year, the aggregate adjusted or exchange; received, the fair market value of the basis of the taxpayer’s shares in the (C) For purposes of determining the redeemed MMF share. MMF at the end of the immediately amount received in a redemption or (iii) Adjustments—(A) Dispositions in preceding taxable year. exchange described in paragraph which gain or loss is not recognized. If, (c) NAV method—(1) Scope. A (b)(5)(ii)(B) of this section in which the during the computation period, any taxpayer may use the NAV method consideration received is based on a shares in an MMF are disposed of in described in this section to determine published redemption amount for the transactions in which gain or loss would the gain or loss for a taxable year on the redeemed shares, that published not be recognized if the taxpayer did not taxpayer’s shares in an MMF. A redemption amount; and apply the NAV method to the shares, taxpayer may have different methods of (D) For purposes of determining the the net investment in the MMF for the accounting, different computation amount received in an exchange computation period is decreased by the periods, and gains or losses of differing described in paragraph (b)(5)(ii)(B) of fair market value of each such share at character, for its shares in different this section that is not described in the time of its disposition. MMFs. See paragraph (c)(5) of this paragraph (b)(3)(iii)(C) of this section, or (B) Acquisitions other than by section for the treatment of shares in a the amount of any adjustment resulting purchase. If, during the computation single MMF held in more than one from a disposition transaction described period, any shares in an MMF are account. See paragraph (c)(6) of this in paragraph (b)(5)(iii) of this section, acquired other than by purchase, the net section for rules applicable to RICs to the first published redemption amount investment in the MMF for the which section 4982 applies. See for the exchanged or disposed of MMF computation period is increased by the paragraph (c)(8) of this section for rules shares after the exchange or other adjusted basis (for purposes of applicable to accounting method transaction. determining loss) of each such share changes. (iv) Facts and circumstances immediately after its acquisition. If the (2) Net gain or loss for a taxable determination. If there is no applicable adjusted basis of an acquired share year—(i) Determination for each published redemption amount or if would be determined by reference to the computation period. Subject to any circumstances indicate that the amount basis of a share or shares in an MMF adjustment under paragraph (c)(2)(ii) of does not represent the fair market value that are being disposed of by the this section, the net gain or loss for each of a share in the MMF, the fair market taxpayer in a transaction that is computation period with respect to the value is determined on the basis of all governed by paragraph (b)(5)(iii)(A) of shares in an MMF to which the NAV of the facts and circumstances. this section, then the adjusted basis of method applies equals the ending value, (4) Money market fund (or MMF). An each such disposed share is treated for minus the starting basis, minus the net MMF is a regulated investment purposes of this section as being the fair investment in the MMF for the
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computation period. If the computation (5) More than one account. If a each of which is treated as a separate produces a result that is greater than taxpayer holds shares in an MMF taxable year. The first portion begins on zero, the taxpayer has a gain for the through more than one account, the the first day of the section 4982 period computation period with respect to the taxpayer must treat its holdings in each and ends on the last day of the RIC’s shares in the MMF; if the computation account as a separate MMF for purposes income tax year that precedes the year produces a result that is less than zero, of this section. A taxpayer therefore may of change. The second portion begins on the taxpayer has a loss for the have different methods of accounting, the first day of the income tax year of computation period with respect to the different computation periods, and change and ends on the last day of the shares in the MMF; and if the gains or losses of differing character, for section 4982 period. computation produces a result that is its shares of a single MMF held in (B) Example. If a RIC that holds MMF equal to zero, the taxpayer has no gain different accounts. shares as capital assets changes from a or loss for the computation period with (6) Consistency requirement for MMF realization method to the NAV method respect to the shares in the MMF. shareholders that are RICs. If the for its income tax year ending January (ii) Adjustment of gain or loss to taxpayer is a RIC that is not described 31, 2019, the section 4982 period is reflect any basis adjustments. If, during in section 4982(f) (and therefore is bifurcated into two portions that are a computation period, there is any subject to the section 4982 excise tax), treated as separate taxable years solely downward (or upward) adjustment to then, for each MMF, the taxpayer must for purposes of applying this section. the taxpayer’s basis in the shares in the use the NAV method for both income For the portion starting on November 1, MMF under any provision of internal tax and excise tax computations or for 2017, and ending on January 31, 2018, revenue law, then the net gain or loss neither computation. See paragraph the RIC applies its realization method for the computation period on shares in (c)(5) of this section for the treatment of for excise tax purposes. For the portion the MMF determined under paragraph shares in a single MMF held in more starting on February 1, 2018, and ending (c)(2)(i) of this section is increased (or than one account. See paragraph on October 31, 2018, the RIC applies the decreased) by the amount of the (c)(8)(ii) of this section for changes to or NAV method for excise tax purposes, adjustment. from the NAV method by a RIC. treating February 1, 2018, as the first (7) Treatment of ordinary gains and (iii) Timing of gains and losses. Gain day of the RIC’s tax year for purposes of losses under section 4982(e)(6). Under or loss determined under the NAV paragraphs (b)(1) and (6) of this section. section 4982(e)(6)(B), this section is a method with respect to a taxpayer’s The RIC’s net gain or loss for this later specified mark to market provision, and shares in an MMF during a computation portion is determined under paragraph therefore any ordinary gains and losses period is treated as arising on the last (c)(2)(iii) of this section. This net gain or determined under the NAV method are day of the computation period. loss and any gains and losses for the governed by section 4982(e)(6)(A). earlier portion determined under the (iv) Determination of net gain or loss (8) Accounting method changes—(i) for each taxable year. The taxpayer’s net realization method are taken into In general. A change to or from the NAV account in determining the RIC’s capital gain or loss for a taxable year on shares method is a change in method of in an MMF is the sum of the net gains gain net income for the full one-year accounting to which the provisions of period described in section or losses on shares in the MMF for the section 446 and the accompanying computation period (or computation 4982(b)(1)(B). regulations apply. A taxpayer seeking to (d) Example. The provisions of this periods) that comprise the taxable year. change to or from the NAV method must section may be illustrated by the (3) Character—(i) In the case of a secure the consent of the Commissioner following example: taxpayer that applies the NAV method in accordance with § 1.446–1(e) and to shares in an MMF, the gain or loss follow the administrative procedures Example. (i) Fund is an MMF. Shareholder is a person whose taxable year is the calendar with respect to those shares for a issued under § 1.446–1(e)(3)(ii) for computation period is treated as gain or year. On January 1 of Year 1, Shareholder obtaining the Commissioner’s consent to owns 5,000,000 shares in Fund with an loss from a sale or exchange of a capital change the taxpayer’s accounting adjusted basis of $5,000,000.00. The price of asset provided the sale or exchange of method. Any such change will be made Fund shares has not varied from $1.00 from one or more of those shares during the on a cut-off basis. Because there will be the date Shareholder acquired the shares computation period would give rise to no duplication or omission of amounts through January 1 of Year 1. During that capital gain or loss if the taxpayer did as a result of such a change to or from period, Shareholder has engaged in multiple not apply the NAV method to the the NAV method, no adjustment under purchases and redemptions of Fund shares, shares. but Shareholder has reported no gains or section 481(a) will be required or losses with respect to the shares because (ii) In the case of a taxpayer that permitted. Shareholder realized an amount in each applies the NAV method to shares in an (ii) RICs—(A) In general. A RIC that is redemption equal to Shareholder’s basis in MMF, the gain or loss with respect to subject to the excise tax under section the redeemed shares. During Year 1, the price those shares for a computation period is 4982 and that changes to or from the of Fund shares begins to float. During Year treated as ordinary gain or loss provided NAV method for its shares in an MMF 1, Shareholder receives $32,158.23 in taxable the sale or exchange of every one of for income tax purposes must apply the dividends from Fund and makes 120 those shares during the computation new method for excise tax purposes purchases of additional shares in Fund (including purchases through the period would give rise to ordinary gain starting with the first day of the RIC’s reinvestment of those dividends) totaling or loss if the taxpayer did not apply the income tax year of change. If that first $1,253,256.37 and 28 redemptions totaling NAV method to the shares. day is not the first day of the RIC’s $1,124,591.71. The fair market value of (iii) See paragraph (c)(5) of this section 4982 period that ends in or with Shareholder’s shares in Fund at the end of section for the treatment of shares in a the RIC’s income tax year, then solely Year 1 is $5,129,750.00. All of Shareholder’s single MMF held in more than one for purposes of applying the NAV shares in Fund are held in a single account account. method to compute the RIC’s required and as capital assets. There is no adjustment to the basis in Shareholder’s shares in Fund (4) Holding period. Capital gains and distribution for the calendar year that under any provision of internal revenue law losses determined under the NAV ends with or within the RIC’s income during Year 1. method are treated as short-term capital tax year of change, the section 4982 (ii) Prior to Year 1, Shareholder has had no gains and losses. period is bifurcated into two portions, gains or losses to report with respect to the
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Fund shares under a realization method and sales of shares in calendar years annual Victim Assistance Program no changes in fair market value that would beginning before July 8, 2016. formula grants are used by the States to have been reported under the NAV method. * * * * * provide financial support to eligible Therefore, Shareholder may use the NAV crime victim assistance programs. See method for the shares in Fund for Year 1. John Dalrymple, 42 U.S.C. 10603. OVC promulgates this Shareholder uses the NAV method for the Deputy Commissioner for Services and rule pursuant to the rulemaking shares with its taxable year as the Enforcement. authority granted to the OVC Director by computation period. Shareholder’s net Approved: June 15, 2016. 42 U.S.C. 10604(a). This rule codifies investment in Fund for Year 1 equals Mark J. Mazur, and updates the existing Program $128,664.66 (the $1,253,256.37 in purchases, Assistant Secretary of the Treasury (Tax Guidelines to reflect changes in OVC minus the $1,124,591.71 in redemptions). Policy). policy, the needs of the crime victim Shareholder’s Year 1 gain therefore is [FR Doc. 2016–16149 Filed 7–7–16; 8:45 am] services field, and VOCA itself. $1,085.34, which is the ending value of BILLING CODE 4830–01–P Shareholder’s shares ($5,129,750.00), minus B. Summary of the Major Provisions of the starting basis of Shareholder’s shares the Final Rule ($5,000,000.00), minus Shareholder’s net DEPARTMENT OF JUSTICE Most provisions in this final rule are investment in the fund for the taxable year substantively the same as the ($128,664.66). The gain of $1,085.34 is 28 CFR Part 94 corresponding provisions of the treated as short-term capital gain. Guidelines. The final rule reorganizes [Docket No.: OJP (OVC) 1523] Shareholder’s starting basis for Year 2 is the program rules into six major $5,129,750.00. Shareholder also must include RIN 1121–AA69 divisions: (1) General Provisions; (2) the $32,158.23 in dividends in its income for State Administering Agency (‘‘SAA’’) Year 1 in the same manner as if Shareholder Victims of Crime Act Victim Assistance Program Requirements; (3) SAA Use of did not use the NAV method. Program Funds for Administration and Training; (iii) If Shareholder had instead adopted the (4) Sub-Recipient Program calendar month as its computation period, it AGENCY: Office for Victims of Crime, Requirements; (5) Sub-Recipient Project would have used the NAV method for every Justice. Requirements; and (6) Sub-Recipient month of Year 1, even though prices of Fund ACTION: Final rule. Allowable/Unallowable Costs. shares may have been fixed for some months. SUMMARY: The Office for Victims of The rules in the General Provisions (e) Effective/applicability date. Except Crime (‘‘OVC’’) of the U.S. Department heading do not depart substantively as provided in the following sentence, of Justice’s Office of Justice Programs from the Guidelines. OVC defines this section applies to taxable years (‘‘OJP’’), publishes this final rule to frequently-used terms, most of which ending on or after July 8, 2016. For implement the victim assistance are consistent with those in the taxable years ending on or after July 28, formula grant program (‘‘Victim Guidelines. OVC adds a new definition 2014, and beginning before July 8, 2016, Assistance Program’’) authorized by the of the statutory term ‘‘victim of child however, shareholders of MMFs may Victims of Crime Act of 1984 (‘‘VOCA’’). abuse’’ to make clear OVC’s existing rely either on this section or on § 1.446– VOCA authorizes OVC to provide an flexible approach of allowing States to annual grant from the Crime Victims address a broad variety of harm to 7 of the 2014 proposed regulations Fund to each State and eligible territory children. Additional technical changes REG–107012–14 (79 FR 43694). for the financial support of services to were made in response to comments, ■ Par. 3. Section 1.6045–1 is amended crime victims by eligible crime victim and are described below. by revising paragraph (c)(3)(vi) to read assistance programs. The rule codifies The SAA Program Requirements as follows: and updates the existing VOCA Victim heading sets forth general Assistance Program Guidelines considerations for SAA use of VOCA § 1.6045–1 Returns of information of (‘‘Guidelines’’) to reflect changes in funding under the VOCA Assistance brokers and barter exchanges. OVC policy, needs of the crime victim Program at the State level, and sets forth * * * * * services field, and VOCA itself. the rules SAAs must follow in meeting (c) * * * DATES: Effective Date: This rule is the statutory eligibility and certification effective August 8, 2016. requirements. OVC clarifies that pass- (3) * * * Compliance Date: See 28 CFR through funding is permissible, and sets (vi) Money market funds—(A) In 94.101(d), as added by this final rule. parameters for such funding general. No return of information is FOR FURTHER INFORMATION CONTACT: Toni arrangements. OVC explains how States required with respect to a sale of shares Thomas, Office for Victims of Crime, at must allocate VOCA funding among in a regulated investment company that (202) 307–5983. various types of victim service is permitted to hold itself out to SUPPLEMENTARY INFORMATION: programs, but does not change the investors as a money market fund under allocation percentages set out in the Rule 2a–7 under the Investment I. Executive Summary Guidelines. OVC adds a requirement Company Act of 1940 (17 CFR 270.2a– A. Purpose of the Regulatory Action that States maintain a documented 7). methodology for selecting all sub- The Victims of Crime Act of 1984 recipients. Finally, OVC maintains the (B) Effective/applicability date. (VOCA) authorizes the Office for default monitoring requirements of the Paragraph (c)(3)(vi)(A) of this section Victims of Crime (OVC) to provide an Guidelines, but now permits States to applies to sales of shares in calendar annual formula grant from the Crime seek a waiver from the OVC Director to years beginning on or after July 8, 2016. Victims Fund to each State and eligible use alternatives. Taxpayers and brokers (as defined in territory for the purpose of providing 1 § 1.6045–1(a)(1)), however, may rely on assistance to victims of crime. These otherwise, ‘‘the term ‘State’ includes the District of paragraph (c)(3)(vi)(A) of this section for Columbia, the Commonwealth of Puerto Rico, the 1 Pursuant to 42 U.S.C. 10603(d)(1), and as used United States Virgin Islands, and any other territory in this preamble and rule unless context indicates or possession of the United States.’’
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The revised State Administering wide grant rules at 2 CFR part 200, OVC 10603. This section of VOCA authorizes Agency Use of Funds for Administration makes allowable indirect organizational OVC to provide an annual grant from and Training heading updates the costs at the sub-recipient level, by the Crime Victims Fund to each State Guideline provisions regarding SAA use removing the provision in the for the financial support of services to of funds for administration and training Guidelines that prohibited sub- victims of crime by eligible crime victim to make those consistent with statutory recipients from charging these to VOCA assistance programs. This rule changes that occurred after the funds. supersedes the VOCA Guidelines Guidelines were issued in 1997. The C. Cost and Benefits (published at 62 FR 19607) that have rule lists allowable administrative and been in effect since April 22, 1997, and training costs at the SAA level, all of As discussed in more detail under the reflects changes in OVC policy, the which are consistent with those set out Executive Orders 12866 and 13563 (in needs of the crime victim services’ field, in the Guidelines. the Regulatory Review discussion and VOCA itself, as well as the The Sub-Recipient Program below), the rule clarifies and updates comments submitted in response to the Requirements heading sets out the existing Guidelines, but does not alter Notice of Proposed Rulemaking. eligibility and organizational the existing program structure. Updating requirements for sub-recipients. These the existing Guidelines to clearly and OVC’s Victim Assistance Program is provisions mostly track the Guidelines, accurately reflect the statutory funded from the Crime Victims Fund. except that OVC adds a provision parameters will facilitate State The Fund receives Federal criminal addressing non-disclosure of compliance with VOCA, and thus avoid fines, penalties, and assessments, as confidential or private information. potentially costly non-compliance well as certain gifts and bequests, but The Sub-Recipient Project findings. The rule makes only a few does not receive any general tax Requirements heading sets out rules that substantive changes to the existing revenue. The Crime Victims Fund is VOCA-funded victim service projects Guidelines, and most of the changes administered by OVC and amounts that must follow. These provisions generally expand State flexibility in the use of may be obligated therefrom are allocated are consistent with the Guidelines. OVC VOCA funding. Some changes, like each year according to the VOCA maintains the existing project match allowing more flexibility to coordinate formula at 42 U.S.C. 10601. The amount rules, requiring that sub-recipients and leverage community resources, and annually available for obligation provide a 20% project match, but adopt alternative monitoring strategies, through the VOCA formula allocations excepting U.S. territories (not including impose no costs but allow States to use typically has been set by statute, Puerto Rico). OVC adds an exception to existing funding more efficiently. Other through limits in the annual DOJ match for projects undertaken by changes, which allow States to allocate appropriation act, at less than the total American Indian and Alaskan Native funding to services not presently amount available in the Fund. The tribes, and projects that operate on tribal allowable under the Guidelines, could VOCA formula specifies that (in most lands, as these projects, like those expand the types of victim service years) the first $20M available in the operating in U.S. territories, often have organizations funded with VOCA funds Fund for that year will go toward child difficulties accessing matching and the services provided by existing abuse prevention and treatment resources. organizations. Such allocations of programs, with a certain amount to be The Sub-Recipient Allowable/ funding, however, are not mandated set-aside for programs to address child Unallowable Costs heading lists under the rule, and each State will abuse in Indian Country. After that, activities that sub-recipients may continue to make the final decision such sums as may be necessary are undertake using VOCA funding. The about whether to change its funding available to the Federal Bureau of majority of the listed costs are the same allocations. This is not a change from as those listed in the existing Investigation and the U.S. Attorneys the present discretion that States have to Guidelines; but OVC makes some Offices to improve services to victims of allocate funding according to their substantive changes. OVC now allows Federal crime, and to operate a victim priorities. OVC anticipates that most the States to provide a broader array of notification system. The remaining States will continue to allocate the legal support services (outside of the balance is allocated as follows: 47.5% majority of VOCA funding to victim emergency context permitted by the for OVC’s Victim Compensation services for certain types of crimes (i.e., Guidelines) to victims, should States Program, 47.5% for OVC’s Victim intimate partner violence, sexual choose to do so. OVC removes the Assistance Program, and 5% for the prohibition on providing services to assault, child abuse) at consistent levels OVC Director to distribute in incarcerated victims (e.g., victims of and that any potential reallocations discretionary awards in certain sexual assault in prison). Although would be relatively minor (even when statutorily defined categories. Generally, VOCA funding may not support prison taken in aggregate across States) in under the distribution rules for the costs, such as prison guard salaries or comparison to the overall range of Victim Compensation Program, if a administrative expenses, States are no allowable victim services, and thus portion of the 47.5% available for longer prohibited from allowing VOCA- unlikely to create new costs or Compensation is not needed for that funded organizations to assist significant fund transfers. In any event, purpose, it is (per the statutory formula) incarcerated victims. OVC also adds the real benefits of additional allowable made available to augment the Victim greater flexibility for States to support services for currently underserved and Assistance Program. The Victim transitional housing and relocation unserved victims are significant. Assistance Program distributes funds to expenses using VOCA funds. OVC adds III. Background States as mandated by VOCA, at 42 greater flexibility for States to allow sub- U.S.C. 10603. The VOCA statutory recipients to use VOCA funds for A. Overview distribution formula provides each State coordination activities, which help This rule implements OVC’s Victim with a base amount (presently $500,000 leverage community resources to Assistance Program, a formula grant for each State and the District of provide better and more cost-effective program authorized by Section 1404 of Columbia; $200,000 for each eligible direct services. Finally, to better align the Victims of Crime Act of 1984, Public territory), and distributes the remainder the program rules with the government- Law 98–473, codified at 42 U.S.C. proportionately, based on population.
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B. History of This Rulemaking substantive changes to the program Final rule NPRM OVC published the Final Program Guidelines, and the comments received. § 94.117 ...... § 94.115(e); § 94.109 Guidelines, Victims of Crime Act, Structure and General Comments § 94.118 ...... § 94.104(f); § 94.116 FY1997 Victim Assistance Program on The rule reorganizes the provisions of § 94.119 ...... § 94.117 April 22, 1997 (62 FR 19607). Those the Guidelines, primarily to § 94.120(a)–(f) ...... § 94.118 Guidelines were based on OVC accommodate the requirements for § 94.120(g) ...... New experience with the Victim Assistance § 94.121 ...... § 94.108(a); § 94.119 publication in the Code of Federal § 94.122 ...... § 94.120 Program, legal opinions rendered since Regulations (CFR), but also to organize the inception of the program in 1986, information more logically. The rule and comments from the field on the Many commenters expressed their omits repetition of statutory language, desire that the Crime Victims Fund Proposed Program Guidelines, which except where needed for context and were published in the Federal Register ‘‘cap’’ be raised substantially. As such a ease of use. OVC notes that the rule is change requires legislative action, it is on February 18, 1997 (62 FR 7256). drafted to be read in conjunction with On September 3, 2002, OVC beyond the scope of OVC’s authority to VOCA (42 U.S.C. 10603). OVC also uses do so. However, we note that the published a notice of Proposed Program consistent terminology throughout the Guide at 67 FR 56444, seeking Department of Justice Fiscal Years 2015 document. and 2016 Appropriation Acts did comments to refine the administration Some commenters expressed concern of the Victim Assistance Program substantially increase—more than that the proposed rule conflated threefold—the cap for those years. See further; thereafter, however, OVC chose provisions applicable to VOCA-funded not to issue final guidance to supersede Department of Justice Appropriation projects in some cases with provisions Act, 2015, Public Law 113–235, Div. B, the 1997 Guidelines. After receiving relating to a VOCA-eligible program, comments on the 2002 Proposed Title II, Sec. 510 (setting the obligation and several endorsed the National cap at $2.361B compared to $745M Program Guide, OVC instead decided to Association of Victim Assistance pursue the publication of codified available to OVC in FY 2014); Administrators’ (NAVAA) suggestions Department of Justice Appropriation program regulations rather than merely for reorganizing it. In the final rule, OVC revise the guideline document. Act, 2016, Public Law 114–113, Div. B, more clearly distinguishes between the Title II, Sec. 510 (setting the cap at Throughout 2010, OVC sought two concepts, and adopts most of the preliminary input from the victim $3.042B, of which approximately NAVAA’s helpful suggestions for $2.663B is available to OVC). services field regarding improving reorganizing the rule. victim services and potential In connection with reorganizing the General Provisions modifications to the Victim Assistance provisions of the final rule for greater § 94.101 Purpose and Scope; Future Program rules that would facilitate such logical consistency and clarity, OVC has Guidance; Construction and improvement. moved or renumbered many of the Severability; Compliance Date OVC incorporated this input into a sections of the proposed rule. In order Notice of Proposed Rulemaking, which to assist readers, a derivation table is The general provisions of the final it published at 78 FR 52877 (Aug. 27, included listing the sections of the final rule—including statement of purpose, 2013), and OVC received 108 public rule and the corresponding section or future guidance, and construction and comments over a 60 day period. OVC sections of the proposed rule. The severability—are largely unchanged considered all comments submitted public comments on provisions of the from the proposed rule. OVC added a during the comment period in drafting proposed rule are discussed below paragraph describing the date on which this final rule. according to where those provisions are SAAs must comply with the rule. The codified in the final rule. rule applies upon its effective date to all IV. Discussion of Comments and OVC grants made after that date, except Changes Made by This Rule Final rule NPRM for funding under such grants that was The 1997 Guidelines have been obligated before the effective date. Pre- outpaced by changes in VOCA, § 94.101 ...... § 94.101 award obligations are a standard developments in the crime victim § 94.102 ...... § 94.102 practice of SAAs under the VOCA services field, technological advances, § 94.103 ...... § 94.103; § 94.112(i)–(j); Assistance Program, as the annual § 94.103(f),(g) ...... NEW appropriation cycle typically does not and new approaches to State § 94.104 ...... § 94.105; § 94.108(d) administration of VOCA funding. This § 94.105(a),(b) ...... § 94.106 permit for awards to be made until late rule updates the program Guidelines to § 94.105(c) ...... New in the fiscal year. VOCA Assistance account for developments over the last § 94.106 ...... § 94.107 grants typically have an award period decade and a half, and to reflect more § 94.107(a)–(d) ...... § 94.110 that extends retroactively to October 1st accurately program parameters § 94.107(e) ...... § 94.118(f) of the fiscal year of the award, thus applicable to each participating entity. § 94.108(a),(b)(1) ... § 94.111(b),(c) there may be funds under grants made In so doing, OVC hopes to allow § 94.108(b)(2) ...... § 94.103(b)(3) after the effective date that were § 94.109(a),(b)(1– § 94.111(a); § 94.112 administering agencies and victim 11). obligated by the SAA prior to the service providers fully to leverage the § 94.109(b)(12) ...... New effective date, and subsequently ratified progress that the field has made over the § 94.110 ...... § 94.113 by OVC’s approval of the grant. The last decade in knowledge of victim § 94.111 ...... § 94.104(a); § 94.106(c) final rule does not apply retroactively, needs, victim service strategies, and § 94.112(a) ...... § 94.104(b); and thus it does not require that SAAs efficient program administration, with § 94.108(b)–(e) anticipate rules that are not in effect the end goal of assisting crime victims § 94.112(b) ...... § 94.104(c)–(e) when making such obligations. § 94.112(c) ...... § 94.115(d) However, OVC will permit SAAs to more effectively. Many of the provisions § 94.113 ...... § 94.104(g); in the existing Guidelines have been § 94.115(a)–(c) apply the provisions that expand SAA retained in substance, though the text § 94.114 ...... § 94.104(h) discretion in the use funds (e.g., the has been reformatted in some cases. § 94.115 ...... NEW final rule permits SAAs to fund a greater OVC describes below the main § 94.116 ...... § 94.114 range of transitional housing services
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than the Guidelines permit) to VOCA partner violence.’’ Some commenters specific abusive activities, if States assistance funding under OVC grants asked that OVC clarify how this consider them to be child abuse. Some made before the effective date of the definition (which affects the priority commenters worried that the inclusion rule that is obligated on or after the category of ‘‘spousal abuse’’) would of exposure to violence would dilute effective date. As most of the changes in affect LGBTQ survivors of domestic or available resources, and confuse States this rule are of a permissive nature and intimate partner violence. OVC notes operating victim assistance programs. expand SAA discretion, OVC does not that States may serve (and count those OVC acknowledges resource anticipate that implementation of the services toward the priority category) all limitations facing many States, but rule will be burdensome, though some victims of domestic and intimate keeps the expanded definition in the effort by SAAs to understand the partner violence—encompassing final rule to allow States to prioritize changes and communicate these to violence or abuse by one person against within the category based on local applicants for sub-awards will be another in a domestic context or capacity and needs. The Department’s necessary. intimate-partner context—as the OVC own Defending Childhood initiative definition does not require legal § 94.102 Definitions demonstrated the importance of services recognition of any particular for children exposed to violence, and The final rule contains several terms relationship, nor does it implicate State the new definition will permit services and definitions that are used or territorial laws concerning marriage addressing this. OVC, in response to throughout. These are set out in section rights. several comments, has clarified in the 94.102 for ease of reference. A commenter noted that OVC did not definition that it encompasses harm to The definition of crime victim and propose to define ‘‘sub-recipient’’ or children, and is not meant to include victim of crime remains unchanged from ‘‘VOCA project,’’ and asked that OVC adults who were victimized as children. the Guidelines, and is meant to be a define these terms so as to differentiate This does not, however, preclude States broad definition, taking into account between a VOCA-funded project, and from funding services to adults many kinds of harm resulting from the organization that is eligible to victimized as children; it merely means criminal acts. States are encouraged to receive VOCA funds to undertake the that States cannot count such services include those domiciled in their states project. OVC agrees and adds these under the child-abuse priority category. who are victimized while working in definitions, and has made conforming their official capacities overseas as changes throughout the rule. SAA Program Requirements VOCA eligible victims. The final rule adds a definition of the § 94.103 Purpose of State-Level VOCA Some commenters liked the proposed statutory term victim of child abuse, in Funding; SAA Eligibility definition, but others wanted OVC to order to clarify that the term covers a include more examples in the definition broad variety of harm to children. Child Section 94.103(a) sets forth the to illustrate coverage of a broader range abuse victims are a statutorily-mandated purpose of OVC’s annual VOCA formula of harms. OVC kept the more conceptual priority category, and the clarification grants to the States. Several commenters definition from the proposed rule, as it makes plain that VOCA-funded State asked that OVC re-draft the language to is substantively the same as the long- victim assistance programs may support make it less confusing. OVC agrees and standing Guideline definition and a broad variety of victim assistance has done so. Commenters also asked because—as one commenter pointed projects that address the abuse of that OVC add a statement about State out—this definition has been children. discretion in determining sub-award sufficiently broad to encompass the OVC received many comments on the recipients and amounts. OVC agrees and harm from various crimes on a wide and proposed definition of child abuse. has added a sentence accordingly. diverse range of individuals. Many commenters supported the Section 94.103(b) sets forth the OVC has added a definition of the proposed definition. Other commenters general rules for State eligibility term spousal abuse that clarifies that the supported the proposed definition, but certifications required by VOCA. OVC term includes domestic and intimate recommended changes or expressed requires States to submit these partner violence. Spousal abuse was the concerns about certain parts of it. One certifications annually in their terminology used in the victim services commenter worried that the inclusion of applications for funding. Reporting and field in the 1980s, and consequently in the concept of children exposed to technical requirements specific to a VOCA, but the term has since fallen out violence may lead states to view a non- given fiscal year are set out in the of use, as it is under-inclusive of the offending parent who cannot leave an annual program solicitation, or in range of relationships in which this type abusive household as a co-offender. supplemental OVC communications if of victimization frequently occurs. OVC OVC notes that the definition of child time does not permit publication in the retains the term in the final rule because abuse in this rule does not control (or solicitation. it is a statutory term, but clarifies that affect) how a state views or treats Section 94.103(c) clarifies that a SAA OVC understands it to encompass potential offenders. Nonetheless, it is may award its VOCA funds to another domestic and intimate partner violence. OVC’s express intent that the definition organization to distribute—known as This is consistent with longstanding should not be misconstrued to mean pass-through administration—and OVC practice and the Guidelines, which that failure to leave an abusive highlights SAA obligations with regard use the term ‘‘domestic abuse’’ when relationship, in the absence of other to use of administrative and training describing the priority category of action constituting abuse or neglect, is funds, monitoring, and reporting should ‘‘spousal abuse.’’ Several commenters itself abuse or neglect. A commenter this method be used. Several supported the proposed definition, but asked that the definition encompass sex commenters supported pass-through asked that OVC include the more and labor trafficking, and several others administration, but advocated that pass- commonly-used term ‘‘domestic asked OVC to include slurs and family through entities should have specific violence’’ in the definition. OVC agrees, rejection as examples of the emotional expertise and experience related to the and has done this. OVC has also abuse of children encompassed by the use of the funding (e.g., a pass through removed ‘‘dating violence,’’ as this definition. OVC notes that the definition entity administering funds for sexual concept is encompassed already by the of child abuse is sufficiently broad to assault services would have experience/ more general concept of ‘‘intimate encompass these harms without listing expertise related to sexual violence).
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OVC does not disagree with the child sexual abuse), and that this causes OVC has kept the mandated percentage commenters’ views, but believes that confusion in reporting allocation at its present level, which balances the States are in the best position to choose amounts to OVC. Moreover, some need for stability in state victim which entity should administer pass- victims with certain demographics (e.g., assistance funding with the need to through funding, and thus maintains the LGBTQ, American Indian/Alaskan ensure State victim assistance programs rule as proposed. A commenter asked Native) may be underserved even in the are responsive to emerging needs. The for clarification regarding the proposed priority categories (e.g., victims of commenter also asked that OVC clarify requirement that SAAs not use a pass- sexual assault). In response, the final that the exception allowing States to through mechanism to bypass the rule clarifies that SAAs may count deviate from the underserved and statutory limitation on use of funds allocated to such projects in priority percentages should be used administrative funds. OVC has rewritten either the priority or underserved sparingly. OVC notes that such requests this statement to be clearer. category, but not both. are extremely rare (OVC has record of A commenter was concerned that the Section 94.104(c) sets out the criteria only one); thus, as a practical matter, an proposed rule eliminated language in by which SAAs must identify (for additional limitation of the exception is the guidelines about things that States allocation of funds, reporting, and unnecessary. Other commenters asked should consider in strategic planning compliance purposes) services that OVC to require States to consult with and asked that OVC add it back to the assist previously underserved sub-recipients prior to requesting final rule. OVC agrees that the language populations of victims of violent crime. approval to change allocations. As is desirable and has added a new SAAs must identify such a service for explained above, OVC anticipates such paragraph (d) with this language. underserved victims of violent crime by requests will be extremely rare, and Finally, several commenters expressed the type of crime they experience (e.g., declines to add such a requirement. The concern that OVC did not highlight the victims of elder abuse) or the same commenter asked that OVC not tie need for States to consider sustainability characteristics of the victim (e.g., exceptions for allocations for the sexual- of services in strategic planning. OVC LGBTQ victims), or both (e.g., victims of assault priority category to overall crime agrees that sustainability is an important violent crime in high crime urban rates, explaining that crime rates in a consideration, and has added this to areas). Underserved victims may differ given time period are not necessarily paragraph (d). between jurisdictions, but some reflective of victim service needs during Section 94.103(g) sets forth that SAAs examples of victim populations often the corresponding time period, as shall, upon request, and consistent with underserved at the time of this victims may not seek services 2 CFR 200.336, permit OVC access to all rulemaking may include, but are not immediately. OVC agrees, and the final records related to the use of VOCA limited to, DUI/DWI victims; survivors rule allows other types of data to be funding. Access to SAAs’ records is of homicide victims; American Indian/ used in supporting an exemption subject to the provision of the Alaskan Native victims in certain request. government-wide grant rules at 2 CFR jurisdictions with insufficient victim A commenter asked that OVC require 200.336, which permits access to the service resources; victims of physical States to consult with rape crisis centers true names of crime victims only in assault; adults molested as children; and sexual assault coalitions about the extraordinary and rare circumstances, victims of elder abuse; victims of hate needs of sexual violence victims. OVC not for routine monitoring, and requires and bias crimes; victims of kidnapping; agrees that such consultation may be protection of sensitive information by child victims and adult survivors of useful, but declines to include such a all agencies involved if access is child pornography; child victims of sex requirement in the rule, as OVC prefers granted. trafficking; victims of violent crime in to allow States to consult with a wide § 94.104 Allocation of Subawards high crime areas; LGBTQ victims; variety of stakeholders as appropriate. victims of federal crimes, victims of Section 94.104(e) sets for the OVC moved the provisions of robbery; and victims of gang violence. minimum requirements for SAAs sub- proposed section 94.104, Eligible crime OVC has removed from the final rule the award process. It requires that SAAs victim assistance programs, to a new examples of possibly underserved have a documented methodology for heading titled ‘‘Sub-recipient Program victim populations, as such a list may selecting sub-recipients, follow DOJ Requirements,’’ which includes sections change over time and is more grant rules regarding conflicts of 94.111 through 94.115 of the final rule. appropriately set out in the preamble interest, and encourages SAAs to fund Comments on the proposed section and supplementary OVC guidance, as eligible sub-recipients through a 94.104 are addressed below in the necessary. competitive process, which is described. discussion of sections 94.111 through A commenter asked that OVC add The proposed rule would have 94.114. economic crimes, such as identity theft, required competition of all sub-awards. In the final rule, section 94.104, to the list of examples of underserved Some commenters liked the proposed Allocation of subawards (which was victims. OVC notes that, for the competition requirement, but others proposed as section 94.105), sets forth— underserved victim category, VOCA were opposed to it. Several commenters pursuant to 42 U.S.C. 10603(a)(2)(A) requires funding be allocated to projects noted that requiring competition could (priority category), and (B) (underserved serving ‘‘previously underserved increase administrative costs for SAAs, category)—how SAAs must allocate populations of victims of violent crime’’, and could destabilize small victim their subawards. The allocation and identity theft is not a violent crime. assistance programs that would no amounts in the final rule are the same OVC, therefore, declines to make the longer be able to rely on consistent as those in the Guidelines and proposed change, but does note that States may funding. Commenters noted that this rule. Some commenters noted that still fund services for victims of such may decrease the availability of services victims of a priority category might also crimes, but cannot count those services in rural areas where there are not many be underserved victims in some toward meeting the required allocation providers. A commenter from a SAA circumstances (e.g., child victims of sex for the underserved victim category. explained that it uses a conduit funding trafficking might be underserved in a A commenter asked that OVC increase process in which it distributes funds to particular jurisdiction, however, sex the percentage of funding required to be local victim witness units based on a trafficking of a minor would also be allocated to underserved populations. formula, and these units then sub-award
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the funding to local non-profit victim program solicitations and supplemental with 2 CFR 200.331(b), (d) and (e), service organizations in accordance guidance. continues to permit SAAs to develop with State and county procurement A commenter noted that multiple and implement alternative monitoring rules. The commenter expressed budget revisions may occur during the plans (e.g., quarterly reports and desk concern that a competition requirement grant period, and that the proposed audits instead or in addition to site may undermine this process. Other requirement that SAAs update the visits), and further clarifies that SAAs commenters expressed concern that the subgrant award report within 30 days of may also implement alternative requirement might cause problems with such revisions would be burdensome. monitoring timeframes as well. OVC State contract cycles, and could The commenter requested that OVC believes that biennial on-site monitoring undermine some prosecutor-based retain its current practice of allowing is a reasonable timeframe that balances victim-witness assistance programs. SAAs to submit a revised subgrant resource demands with effective Commenters also questioned whether award report before project closeout. In oversight, but SAAs may propose there is evidence that competition response, OVC notes that the subgrant alternative plans. OVC recognizes that creates innovation. award report contains only minimal certain sub-recipients may have a long OVC appreciates the thoughtful budget information, and the importance established history of appropriately comments submitted in response to this of having accurate and timely administering a sub-award and may proposal, and recognizes the importance information on subawards outweighs therefore require less intensive scrutiny of allowing States discretion in the minimal additional burden of than a relatively new sub-recipient or an determining which organizations updating this report within the specified established sub-recipient providing new receive funds and in what amounts. Due timeframe. Recent upgrades to OVC’s services. to the potential administrative burden of performance reporting systems should reduce the burden on SAAs as SAA Use of VOCA Funds for requiring competition (particularly in Administration and Training jurisdictions with a limited number of subrecipients now have the ability to SAA staff), OVC has not included such enter SAR data directly. The final rule § 94.107 Administration and Training keeps the thirty-day reporting a requirement, though OVC does OVC renumbered this section from encourage SAAs to use a competitive requirement. Another commenter suggested that 94.110 in the proposed rule to 94.107 in process where feasible. OVC should require additional the final rule. This section is Many commenters expressed their reporting, specifically on unmet needs substantively unchanged from the opinion that VOCA funding should not of victims and the estimated costs of proposed rule, except that OVC clarifies be used as seed money for new providing such services. OVC declines that SAAs must certify, pursuant to organizations. OVC notes that any to add such a requirement to the rule. VOCA, at 42 U.S.C. 10604(h), in the organization funded with VOCA One commenter suggested that the final notification of use of training/ Assistance funding—even through a rule should allow flexibility for OVC to administrative funds, that they will not competitive process—must meet the change the reporting period for the use VOCA funds to supplant State or statutory program eligibility criteria, performance report; OVC agrees and has local government funding. (The which requires either a record of added this but keeps the Federal fiscal substantive rules regarding effective victim services and financial year as the default reporting period. supplantation are set out in the next support from non-VOCA funding, or section, section 94.108.) substantial support from non-VOCA § 94.106 Monitoring Requirements Overall, this section makes the funding. One commenter asked that OVC renumbered this section from program rules match the statutory OVC require States to have a strategic 94.107 in the proposed rule to 94.106 in provisions, which had changed after state plan for allocating funding. The the final. This section sets out the SAA’s issuance of the Guidelines. VOCA limits final rule encourages States to develop obligation to monitor its sub-awards. administrative and training costs to five a funding strategy, and requires States to Many commenters complained that the percent total for the combined costs of have a documented method of making proposed two-year on-site monitoring administration and training at the SAA funding decisions. timeframe would be too burdensome level. and would be difficult for large § 94.105 Reporting Requirements § 94.108 Prohibited Supplantation of jurisdictions to implement, and may Funding for Administrative Costs OVC renumbered this section from lead to unintended consequences, such 94.106 in the proposed rule to 94.105 in as SAAs’ making fewer awards but of OVC renumbered this section from the final rule. This section sets out SAA larger dollar amounts. Commenters 94.111 in the proposed rule, to 94.108 reporting requirements. The two key pointed out that many states use risk in the final rule, and re-titled it to more reports—subgrant award reports and assessment tools to determine priority accurately reflect what the section performance reports—are the same for on-site monitoring, and some addresses. (Proposed section 94.108(a) reports required by the Guidelines, and requested that OVC make the default is moved to section 94.121 in the final the proposed rule. The rule does not rule three years instead of two years. rule. Proposed section 94.108(b) through specify time or manner in which these Another commenter asked that OVC (e) is moved to section 94.112 in the reports are to be submitted. The clarify that SAAs may request final rule.) Section 94.108 sets out the Government Performance and Results alternative monitoring plans as well as rules for SAA use of VOCA funds for Modernization Act of 2010, Public Law alternative monitoring frequency. administrative costs and prohibits 111–352 (Jan. 4, 2011), shifted many The final rule requires SAAs to supplantation of State and local federal performance reporting develop and implement monitoring government funding with VOCA requirements to a quarterly default, and plans based on a default of regular desk funding. OVC has changed the default monitoring, and biennial on-site One commenter asked whether the performance reporting period in the rule monitoring, of all sub-awards. OVC also baseline is to be established and accordingly. OVC will communicate the adds a requirement that such documented on a one-time basis or each technical details of each year’s reporting monitoring plans contain a risk year of the grant. OVC currently requires requirements to grantees via annual assessment plan. The rule, consistent SAAs to document a baseline each fiscal
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year, based on its expenditures for current Guidelines. OVC has added this considerations for specific types of administrative costs during that fiscal to the final rule. Several commenters entities (moved from proposed section year and the previous fiscal year. A asked OVC to raise the percentage limits 94.108), as well as criteria for commenter pointed out that OJP has a on administrative and training costs; as determining the organizational capacity definition of supplanting in its these are statutory requirements, of the entity’s program. Financial Guide that differs from that in however, OVC has no authority to do so. In section 94.112(a)(3) of the final the proposed rule, and suggested that Sub-Recipient Program Requirements rule, OVC modifies the proposed OVC simply adopt the DOJ Grants provision (proposed section 94.108(e)) Financial Guide definition of the term Sections 94.111 through 94.115 of the on victim assistance organizations instead of setting forth a separate final rule set out the requirements that located in an adjacent state to eliminate definition. OVC agrees and has revised an entity must meet to be an ‘‘eligible unnecessarily bureaucratic requirements this paragraph to reference the Financial crime victim assistance program.’’ in the Guidelines, while keeping the Guide definition. OVC requires SAAs to (Sections 94.111 through 94.114 of the requirement to provide notice to the certify that they are not supplanting proposed rule are moved to section SAA where the organization is located, State administrative support for the 94.108, 94.109, 94.110, and 94.116, and encouraging co-ordination on State crime victim assistance program respectively, of the final rule. Section various award oversight matters. Several with VOCA funding. 94.115(a) through (d) of the proposed commenters asked for clarification of rule is moved to section 94.112 of the the rules for SAA programs operating § 94.109 Allowable Administrative final rule; and 94.115(e) of the proposed Costs direct services projects with VOCA rule is moved to section 94.117 of the funds (proposed section 94.108(d)). In OVC renumbered this section from final rule. The responses to comments response, OVC has modified section 94.112 in the proposed rule, to 94.109 addressing those provisions of the 94.112(a)(4) of the final rule to clarify in the final rule. (Proposed section proposed rule are found in the these points by eliminating confusing 94.109 is moved to section 94.117 in the discussions of the corresponding and redundant text that reiterated the final rule.) Section 94.109 sets out sections as set forth in the final rule.) statutory requirement that SAAs use no allowable administrative costs. Several commenters suggested that more than five percent of VOCA funds Several commenters asked OVC to OVC reorganize the rule such that the for administrative and training costs. add a category for ‘‘activities that impact requirements for eligibility as a sub- the delivery and quality of services to recipient entity versus the requirements With regard to determining the crime victims throughout the state,’’ for operating a sub-recipient project, are organizational capacity of a sub- including training managers of victim clearly delineated. OVC agrees, and has recipient, under section 94.112(b) of the service agencies, State-wide victim created a new heading ‘‘Sub-Recipient final rule, the SAA determines what notification systems, and support for Program Requirements’’ and moved the constitutes ‘‘a record of effective victims’ rights compliance programs. requirements in the proposed rule services to victims of crime,’’ and this OVC has added these activities. (OVC section 94.104 Eligible crime victim may vary depending on the State, and notes that direct service funding also assistance programs, to sections 94.111 community served, and the entity may be used to support victim through 94.115 of the final rule, under providing services. Though this notification systems as well.) Direct this heading. OVC also moved proposed provision is reworded slightly for service provider manager training is 94.108(b) through (e) to section 94.112 clarity, OVC leaves unchanged in the allowed, but categorized as a training of the final rule. Thus, sections 94.111 final rule the non-exclusive list of expense under section 94.110. Several through 94.115 of this rule consolidate considerations that SAAs may take into commenters expressed concern that the eligibility requirements for the sub- account when making this allowing program evaluation would recipient organization (i.e., program). determination. The SAA should be able divert funding from direct services. OVC to articulate the basis for its notes that the provision does not require § 94.111 Eligible Crime Victim determination, should OVC request it. evaluation, but merely allows it; Assistance Programs SAAs may also consider additional furthermore, the total amount of funding VOCA establishes the criteria for an factors, such as the type of victim the for administrative costs is already ‘‘eligible crime victim assistance entity’s services address, the type of capped by VOCA. program,’’ and the final rule merely services provided, best practices within provides clarifying interpretation that service field, and the characteristics § 94.110 Allowable Training Costs needed for practical implementation. of the entity (e.g. small, specialized OVC renumbered this section from Section 94.111 of the final rule sets out service provider; larger, comprehensive 94.113 in the proposed rule, to 94.110 the basic principle that the SAA may service provider). in the final rule. (Proposed section fund only eligible programs, and § 94.113 Use of Volunteers, 94.110 is moved to section 94.107 in the contains a provision requiring Community Efforts, Compensation final rule.) This section sets out compliance with additional SAA Assistance allowable uses of training funds. criteria and reporting requirements. A commenter asked OVC to clarify Several commenters asked that OVC Commenters urged OVC to make it that the allowable training costs are not strengthen language (in proposed clear that the mandated use-of- limited by the two listed examples. In section 94.115(d)) requiring sub- volunteers provision, at section response, OVC edited the text to clearly recipients to follow reporting 94.115(a) of the proposed rule, applies state that such costs ‘‘generally include, requirements of the SAA. OVC has done as an eligibility requirement for sub- but are not limited to’’ the two listed so in section 94.111. recipient organizations (programs), not examples; these are merely examples as a requirement for individual projects. and not limitations. Commenters also § 94.112 Types of Eligible OVC agrees with the commenters that asked OVC to clarify that SAAs may use Organizations and Organizational the use-of-volunteers provision applies training funds to train managers and Capacity to programs, not individual projects, board members of victim service This section sets out the general types and has thus placed the final rule agencies, as is permitted under the of eligible entities, and special provision addressing waiver of this
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statutory requirement in section prohibitions on discrimination on the (and Compensation) SAAs in a June 28, 94.113(a) of the final rule. basis of sex encompass discrimination 2010, OVC Director Memorandum. Commenters asked that OVC clarify based on gender identity in other § 94.117 Cost of Services; Sub- proposed section 94.115(c), to state that contexts. See, e.g., Memorandum from Recipient Program Income a sub-recipient may comply with the Eric H. Holder, Attorney General, Re: VOCA requirement to assist victims in Treatment of Transgender Employment This section sets forth the rules for applying for compensation by providing Discrimination Claims Under Title VII VOCA-funded projects that will charge referrals. OVC agrees and has made this of the Civil Rights Act of 1964 (Dec. 15, for victim services. (Section 94.117 of clarification in section 94.113(d) of the 2014). OVC is aware of no reason why the proposed rule is moved to section final rule. the statutory phrase ‘‘on the ground of 94.119 of the final rule.) OVC has long A commenter asked that OVC add . . . sex’’ in 42 U.S.C. 10604(e) should held that VOCA-funded victim services additional requirements to the VOCA receive a different construction. should be free of charge for victims mandate that sub-recipients assist where possible, although it recognizes victims in applying for victim § 94.115 Non-Disclosure of that in some situations a service compensation by requiring that sub- Confidential or Private Information provider may be justified in charging for recipients also assist victims in services or otherwise generating Several commenters noted that OVC understanding their State and federal program income. had not included a provision regarding rights, how to assert those rights, and The provisions in section 94.117 of what to do if their rights are not confidentiality in the proposed rule, and the final rule are adapted from sections considered or denied. OVC has not suggested that OVC add such a 94.115(e) and 94.109 of the proposed added such a mandate, as these are not provision. The commenters noted that rule. A commenter suggested that this eligibility criteria mandated by VOCA, the 2013 reauthorization of the Violence section be moved to a new division but OVC does encourage all victim Against Women Act contained a setting out VOCA project requirements; assistance organizations to assist victims provision, 42 U.S.C. 13935(b)(2), that OVC has done this. Commenters also in understanding their rights, or many VOCA-funded organizations suggested that OVC re-word the providing referrals to organizations that would have to comply with as a provision to be more direct. OVC has can do so, where appropriate. A condition of their VAWA funding, and done this, as well. OVC also simplified commenter asked that OVC clarify that suggested that OVC model its provision the provision to state that program victim assistance programs should also on that. OVC agrees and has done this income must be used consistently with assist victims of federal crime in in section 94.115 of the final rule. Federal grant rules and the DOJ Grants applying for compensation. OVC agrees, Sub-Recipient Project Requirements Financial Guide (available on the Office and has added language accordingly. of Justice Programs’ Web site, at § 94.116 Purpose of VOCA-Funded www.ojp.gov), instead of reiterating § 94.114 Prohibited Discrimination Projects. those requirements here. This aligns the OVC received several comments on OVC renumbered section 94.114 of program income rules for this program proposed section 94.104(h) (now section the proposed rule as section 94.116 of with the recently issued government- 94.114 of the final rule), which stated the final rule, under the heading ‘‘Sub- wide grant rules, and this simplification ‘‘The VOCA non-discrimination will reduce the burden of compliance provisions specified at 42 U.S.C. Recipient Project Requirements’’ instead of ‘‘Sub-Recipient Program on SAAs and sub-recipients. 10604(e) shall be implemented in A commenter requested that OVC add accordance with 28 CFR part 42, and Requirements.’’ (Section 94.116 of the proposed rule is moved to section a requirement that sub-recipients guidance from the Office for Civil Rights provide proof or certification of within the Office of Justice Programs.’’ 94.118 of the final rule.) This section sets forth a brief statement of the compliance with the program income Several commenters advocated that requirements when seeking OVC add explicit regulatory language purpose of VOCA sub-awards. The proposed provision was confusing, and reimbursement from State compensation prohibiting discrimination based on programs. OVC declines to add such a sexual orientation and gender identity OVC has attempted to draft the statement more clearly in the final rule. requirement to this rule, as this type of to the final rule and offered several requirement is more appropriately reasons why such a provision would Additionally, the requirement in the created in the application requirements benefit victims. OVC acknowledges that Guidelines (sec. IV.B.11) that sub- and collateral source verification people who identify as lesbian, gay, recipients must provide services to procedures for victim compensation bisexual, transgender, or questioning/ victims of federal crimes on the same programs, or as an arrangement among queer (‘‘LGBTQ’’) suffer basis as to victims of crimes under State State agencies. disproportionately from violence and its or local law is added to the final rule, effects, and often do not have access to as it was inadvertently omitted from the § 94.118 Project Match Requirements informed services to help them recover proposed rule but is a long-standing This section is renumbered from in the aftermath of a crime. However, principle applicable to federal victim 94.116 in the proposed rule to 94.118 in because OVC did not include in the assistance funding. The final rule also the final rule, and moved under the proposed rule a definition that sets forth OVC’s policy clarification that ‘‘Sub-recipient Project Requirements’’ discrimination based on sex includes victim eligibility for direct services heading, as commenters correctly discrimination based on sexual under the VOCA Assistance Program is pointed out that match is applicable to orientation, and because OVC not dependent on the victim’s the VOCA project, not the program. anticipates that the law will continue to immigration status. This principle (Section 94.118 of the proposed rule is evolve on this issue, OVC declines to derives from the nature of services moved to section 94.120 of the final include such language at this time. OVC provided by most VOCA-funded victim rule.) will continue to monitor legal service providers in light of the Personal Some commenters suggested developments in this area. With respect Responsibility Work Opportunity eliminating match all together, while to gender identity, the Department of Reconciliation Act of 1996, and was others suggested various different levels Justice has concluded that statutory communicated to all VOCA Assistance for match. OVC has kept a match
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requirement, as it serves several by its burdens. OVC agrees that other reasonably believe that an alternative purposes, including leveraging federal areas of the country may face similar source of payment will not be available funding, indicating organizational circumstances, and, therefore, the final within 48 hours. OVC has clarified, in capacity, and encouraging local rule provides that OVC will consider final section 94.119(a)(9), that service investment and engagement in VOCA- exceptions to match upon SAA request, providers may pay these costs when funded projects. and sets forth generally how OVC will other resources are not expected to be Some commenters recommended that evaluate such requests. available in time to meet emergency OVC consider allowing match at the victim needs. State level, rather than on a sub- Sub-Recipient Allowable/Unallowable Facilitation of participation in recipient by sub-recipient basis, as this Costs criminal justice and other proceedings. would bring VOCA grant rules into § 94.119 Allowable Direct Service A commenter suggested that OVC harmony with match requirements Costs expand the proposed section under other programs (e.g., those in 94.117(a)(5) to allow service providers This section is renumbered from Family Violence Prevention and to facilitate victim participation in any 94.117 in the proposed rule to 94.119 in Services Act and Violence Against public proceeding (e.g., juvenile justice the final rule. (Section 94.119 of the Women Act). OVC has declined to make hearings; probation, parole, pardon proposed rule is moved to section this change, as it would be a major proceedings; grievance procedures, and 94.121 of the final rule.) This section departure from the Guidelines, and as sexual predator civil commitment sets forth allowable direct service costs match required on the project level proceedings), not merely criminal for VOCA projects. Most of these ensures that sub-recipients have a stake justice proceedings. OVC agrees that allowable costs (and the parameters in, and are invested and engaged in, the victims often have an interest in under which the direct services may be VOCA-funded project. OVC does note, participating as a victim in various fora, however, that an SAA is authorized to provided) are essentially the same as and has modified the provisions of contribute to match using non-federal those in the existing Guidelines and in section 94.119(e) of the final rule funds for any (or all) sub-recipient the proposed rule, but there are some accordingly, to allow the facilitation of projects, which authorization, as a differences, which are discussed below. such participation. practical matter, permits SAAs to General comments. Some general Legal assistance. The final rule, provide match at the State level. comments asked OVC to clarify that it section 94.119(a)(10), is substantively A commenter asked that OVC modify is not encouraging States to significantly equivalent to the corresponding section the proposed requirement that match be shift funding by allowing new activities. of the proposed rule (which was used for the same uses and timing as the Nowhere in the proposed or this final substantively the same as the project’s VOCA funding. OVC declines rule does OVC state that it is Guidelines) regarding use of VOCA to do so, as this rule is long-standing encouraging States to significantly shift funds for emergency legal assistance. In and consistent with similar rules that funding by allowing new activities. the proposed rule, section 94.117(a)(6) apply to other OVC and federal awards. Rather, the changes to costs allowed would have expanded allowable legal OVC does note, however, that non-cash under this program, described below, assistance for victims beyond the contributions—for example, are important, but marginal, changes emergency context. OVC received many professional services—may be counted that should give States more flexibility comments on this proposed paragraph, as match. when compared to the Guidelines to which is renumbered as section Commenters also questioned why best serve victims in their communities, 94.119(f) in the final rule. Native American and Alaskan Native but does not require a significant Many of the comments opined that sub-recipients and projects on tribal reallocation of resources. Thus, no the proposed provision on allowable lands, as well as projects in U.S. change is being made in section 94.119 legal assistance was either too broad or territories and possessions (excluding of the final rule to address this too narrow in what it allowed. One Puerto Rico), are not required to provide comment. commenter asked that OVC state match. Some commenters asked OVC to The commenter also asked that OVC expressly that legal services for divorce, keep the 5% match for tribes, while clarify that all services provided by child support, criminal defense, and tort other commenters asked that OVC keep VOCA-funded projects are voluntary lawsuits are not appropriate uses of the rule as proposed. OVC has found and should not be contingent upon the VOCA funding. Other commenters that these communities often lack client participating in certain support asked that OVC clarify that criminal victim services, have great victim services. OVC is unclear what support defense services may be appropriate service needs, and are more often likely services the commenter refers to and so where it is directly related to intimate to have difficulty meeting match declines to make a change to the rule partner violence. requirements. Match serves the purpose based on this comment but notes that OVC has clarified the rule to state of encouraging collaboration among there are existing rules in place (see 28 expressly which costs are unallowable— service providers, and creating a local CFR part 42) prohibiting services being those for criminal defense and tort stake in project outcomes, but it also can contingent upon participation in lawsuits. This clarification makes the present a barrier to applying for VOCA religious activity. program consistent with the OVW Legal assistance funding in tribal and Emergency medical/health care. A Assistance for Victims program (many territorial communities that have commenter expressed concern that organizations receive both OVC and relatively few victim service proposed section 94.117(a)(1)(ix), which OVW funding), which also does not organizations, and have not traditionally allowed for certain emergency costs for fund criminal defense or tort lawsuits, been supported by resources available to medical and health care, would have and also creates a bright-line rule that is organizations operating in states. Not limited the amount of time that such more easily administered. OVC notes requiring match as a default for such services could be provided to 48 hours. that some jurisdictions allow victims to communities is designed to streamline OVC believes that the commenter file a motion to vacate and/or expunge application requirements in these areas misunderstood the proposed provision, certain convictions based on their status where, in OVC’s experience, the benefits which does not limit such costs, but of being victims. OVC has clarified that of a match requirement are outweighed merely requires that the service provider such services are allowable with VOCA
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funds. The OVW program does support counseling and/or other victim services 94.120(b) would have modified the legal assistance with victim-related are offered in conjunction with the prohibition on perpetrator rehabilitation family law matters, and OVC has drafted examination. The final rule, renumbered and counseling, to allow services to the language of paragraph (f)(3) to be as section 94.119(g), is unchanged from incarcerated victims in certain broad enough to include these and other the proposed rule, except that the final circumstances, and, in proposed section non-tort legal services in a civil context rule does not require examinations to 94.117(a)(11), set out proposed rules that are reasonably necessary as a direct meet State standards, but rather describing such circumstances. result of the victimization as allowable encourages sub-recipients to use In this final rule, OVC simply costs. Such non-tort, civil legal services specially trained examiners such as removes the prohibition on perpetrator include, but are not limited to, Sexual Assault Nurse Examiners to rehabilitation and counseling, as the assistance in divorce, and child custody perform these exams. The final rule, prohibition unnecessarily prevents and support proceedings. similarly, encourages, rather than States and communities from fully Many commenters wanted OVC to mandates, that crisis counseling or other leveraging all available resources to expand its examples of allowable legal services be offered in conjunction with provide services to these victims, who assistance costs in the proposed rule to the examination, in order to allow sub- have been shown to have a great need include specific examples relevant to recipients to provide such services as for such services. States and VOCA- the organization commenting. On the may be appropriate in any given funded sub-recipients may set eligibility other hand, some commenters expressed situation. criteria for their victim service projects, concern that some organizations may Forensic interviews. OVC received and thereby determine, in accordance misinterpret the examples in the several comments on proposed section with VOCA and this rule, whether and proposed rule as limits. OVC has 94.117(a)(8), which allowed forensic how such victims might be served by carefully considered these comments interviews, and which is renumbered as VOCA-funded projects. and, in the final rule, has opted to move section 94.119(h) in the final rule. Some Correspondingly, OVC does not include most of the examples into the preamble commenters supported allowing VOCA any provision under allowable costs of the rule. OVC will issue funding for forensic interviews, while addressing services to incarcerated supplementary guidance as may be others expressed the opinion that VOCA victims, as the costs permitted for direct needed to further clarify the funds should not fund investigative services to incarcerated victims are the applicability of the rule in specific costs. Allowing States to support the same as those permitted for such factual scenarios. costs of victim-centered forensic services to any crime victim. The following are examples (which interviews, particularly those conducted OVC received a wide range of are merely illustrative, and not meant to in a multi-disciplinary setting, will help comments on this provision. Many were be a comprehensive listing) of some victims by reducing traumatization. supportive of the removal of the circumstances where civil legal services The final rule does not include the prohibition on providing services to may be appropriate: Proceedings for provision in proposed section incarcerated victims. Some commenters protective/restraining orders or campus 94.117(a)(8)(iv), which would have wanted OVC to affirmatively encourage administrative protection/stay-away disallowed VOCA funding used to States to permit sub-grantees to use orders; family, custody, contract, supplant other funding available for VOCA funding for such services. Some housing, and dependency matters, forensic interviews, including criminal commenters expressed the sentiment particularly for victims of intimate justice funding. OVC believes that that the prison system should be partner violence, child abuse, sexual providing States additional flexibility to responsible for addressing victim assault, elder abuse, and human meet this important victim need (which, services for incarcerated persons, in the trafficking; immigration assistance for if unsupported, may lead to re- same way that it provides medical care victims of human trafficking, sexual traumatization of the victim) outweighs and other services. OVC agrees that the assault, and domestic violence; potential concerns that victim service government agencies that oversee intervention with creditors, law funding will supplant law enforcement detention/correctional facilities have enforcement (e.g., to obtain police funding for this activity. responsibilities for the care of victims reports), and other entities on behalf of A commenter cautioned that forensic within their custody, but believes that victims of identity theft and financial interviews should be conducted by prohibiting VOCA-funded organizations fraud; intervention with administrative child advocacy center forensic from providing services to incarcerated agencies, schools/colleges, tribal interviewers who have training and victims deprives such victims of, and entities, and other circumstances where adhere to the National Child Advocacy communities of, experienced victim legal advice or intervention would assist Center guidelines. OVC believes this service resources. Indeed, such in addressing the consequences of a comment is well intentioned, but notes organizations are often the only person’s victimization. OVC recognizes that not all victims needing specialized organizations able to provide such that the available resources in each State forensic interviews are children—for services in some communities. differ, and, therefore, States retain broad example, some victims are adults with A commenter noted that the discretion to set limits on the type and disabilities. Moreover, the Federal restriction causes agencies routinely to scope of legal services that it allows its Bureau of Investigation and some States deny services to incarcerated victims sub-recipients to provide with VOCA use alternative standards. Therefore, but provides the exact same services for funding. OVC defers to SAAs to determine what the exact same crime to those assaulted Forensic medical evidence collection organizations appropriately may just outside the facility. OVC recognizes examinations. OVC received several provide this service. that victim service resources are finite, generally supportive comments Services to incarcerated individuals. but believes that States are best regarding proposed section 94.117(a)(7), The existing Guidelines do not allow positioned to make resource allocation which allowed forensic medical OVC Victim Assistance Program funds decisions. Removing the prohibition on evidence collection examinations to the to be used for rehabilitative services or serving incarcerated victims will allow extent that other funding sources are support services to incarcerated States to serve all victims better and insufficient, the examination meets individuals (see Guidelines, section more efficiently leverage the expertise of State standards, and appropriate crisis IV.E.3.b). OVC, in proposed section victim service organizations.
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Several commenters expressed victims with disabilities abused by waiting lists for Section 8 housing in the concern that the proposed rule may caretakers, domestic violence victims area. trigger the Prison Rape Elimination Act and their dependents, and sexual A commenter suggested that OVC use (PREA) provision requiring a reduction assault victims. Under the proposed OVW’s transitional housing program as or reallocation of federal funding rule, States may use VOCA funds for a model. OVC is not setting detailed available to a State for ‘‘prison housing and shelter purposes to the parameters for transitional housing costs purposes’’ if the State fails to certify extent that such is necessary as a in this rule. To the extent they find the compliance with the Department’s consequence of the victimization and OVW model is useful, the final rule National Standards to Prevent, Detect, for the well-being of the victim. allows States to follow that model. and Respond to Prison Rape. See 42 For example, shelters for victims of A commenter requested that OVC U.S.C. 15607(e); 28 CFR part 115. The domestic violence or human trafficking advise States to use their VOCA commenters suggested various ways to would be allowable uses of VOCA Compensation funds to meet re-draft the proposed rule to make it funds. Similarly, it would be allowable transitional housing needs, before clear that VOCA funds are not available in the case of sexual assault, where a accessing VOCA Assistance funding for for ‘‘prison purposes’’ and mandated victim needs to move. To the extent this purpose. OVC notes that it does not reduction or reallocation under PREA. SAAs choose to permit VOCA funds to anticipate States using VOCA Some commenters expressed support for be used for transitional housing Assistance funding to create new the proposed rule, but only if the purposes, OVC anticipates that these programs for transitional housing, Department clarified that the change agencies would focus on those victims though this would be permissible. would not bring VOCA funding under with the most need. Instead, OVC anticipates that States may the PREA penalty. In response, OVC Some commenters liked the proposed allow VOCA-funded service providers notes that VOCA funds are not available rules on transitional housing and to expand the range of services offered for ‘‘prison purposes,’’ but rather, are— relocation, while others opposed them. to victims, and supported by the VOCA by statute—specifically allocated for A commenter noted that VOCA-funded subaward, to include transitional victim services. programs may not have the experience housing. OVC further notes that each The final rule, in response to these or resources to monitor housing State Compensation program determines concerns, does not require that services programs. OVC recognizes that some coverage of crimes and expenses for its to incarcerated victims must be SAAs will not have such experience, jurisdiction. Therefore, some State provided, or how such services should but the rule merely allows States to fund Compensation programs may not cover be provided, but merely removes the this activity; it does not require it. OVC transitional housing needs. OVC wishes express prohibition on such services expects that States will exercise their to allow States the flexibility to access that existed in the Guidelines. As noted discretion to fund only projects that either VOCA Assistance or in section 94.103 of the final rule, SAAs they believe will be able to undertake Compensation funding for transitional have sole discretion to determine what the allowed activities successfully. housing related needs, as would best organizations will receive funds, and in One commenter wanted OVC to serve victims and is permissible in their what amounts, subject to the minimum clarify that state limits on types of jurisdictions, and therefore declines to requirements of this final rule and victims eligible for transitional housing recommend that States access VOCA VOCA. Nothing in VOCA, or this final assistance must not violate VOCA non- Compensation funds prior to accessing rule, allows VOCA funding to be discrimination provisions. OVC agrees VOCA Assistance funds. diverted to ‘‘prison purposes;’’ rather, that States may not violate the non- Relocation expenses. The final rule, at VOCA funding is expressly limited by discrimination provision when 94.119(l), generally remains statute to victim services and associated prescribing limits on allowable costs for substantially unchanged from the activities. A letter issued to State transitional housing. The commenter proposed rule, 94.117(a)(13), although governors by OVC and OVW on also requested that OVC define the language in this paragraph is February 11, 2014, did not list any ‘‘dependent child’’ to include reorganized from the proposed rule. The VOCA programs as being available for dependents of all LGBTQ survivors. final rule removes the emphasis on prison purposes. See http:// OVC strongly agrees that dependents of particular victims (i.e., domestic www.prearesourcecenter.org/sites/ LGBTQ victims should be eligible for violence victims, victims of sexual default/files/content/feb_11_2014_prea_ such assistance to the same extent as assault, and victims of human letter_with_certification_and_ dependents of non-LGBTQ victims, if trafficking) who may be in need of assurance_forms.pdf. VOCA funding, such assistance is provided. The VOCA relocation assistance. This language is therefore, is not subject to mandated rule establishes the basic rules for State removed so as not to limit inadvertently reduction or reallocation for non- administration of VOCA funds, those victims who are eligible for compliance under PREA. however, and prescribing detailed rules relocation expenses. Transitional housing. The final rule, for eligibility for particular types of Additionally, the final rule omits the at section 94.119(k), includes one assistance projects, as the commenter reference in the proposed rule to noteworthy change from section suggests, is beyond the scope of the rule. providing ‘‘mortgage assistance’’, due to 94.117(a)(12) of the proposed rule, in A commenter suggested that OVC add the complicated nature of administering which OVC proposed to allow States language setting out factors that States such assistance. Thus, under the final more flexibility to allow VOCA-funded should consider when setting limits on rule, while relocation expenses are projects to support transitional housing. transitional housing expenses. OVC allowable, mortgage expenses are not Specifically, the final rule provides declines to include these in the rule, but allowable. examples of expenses typically notes that States may choose to consider associated with transitional housing to the factors mentioned, which include § 94.120 Allowable Costs for Activities help illustrate allowable uses of this the availability of affordable alternative Supporting Direct Services funding. OVC views transitional and rental housing; other sources of OVC renumbered this section from housing as a necessary victim expense support and housing for the victim, 94.118 in the proposed rule to 94.120 in for some victims. This is particularly such as Section 8 housing vouchers in the final rule, setting forth allowable true for victims of human trafficking, the immediate locale of the victim; and activities that support direct services.
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(Section 94.120 of the proposed rule is final rule, at section 94.120(e), should consider when deciding whether moved to section 94.122 of the final reorganizes the proposed paragraph to to fund such efforts. Lastly, the rule.) fit with the revised structure of the Guidelines included as another criteria One commenter asked (with regard to overall section. It also adds a provision the benefit or therapeutic value to the co-ordination activities, automated indicating that the allowability of such victim, while the final rule requires that systems and technology, and volunteer systems and technology is subject to the SAAs also consider the costs in relation trainings) whether these are allowable DOJ Financial Guide and government- to the benefit or therapeutic value to the as stand-alone projects that may be wide grant rules, which provide victim, as restorative justice efforts can funded by a State, or whether they must detailed rules relating to the acquisition, be expensive and those costs may not be be part of a direct service project. OVC use, and disposition of technology justified under certain circumstances. intends that these may be funded by a equipment and supplies. See 2 CFR part State in either manner. If they are 200. Certain criteria for SAAs to § 94.121 Allowable Sub-Recipient funded as stand-alone activities, consider when permitting sub-recipients Administrative Costs however, they should be activities that to use funding for automated systems Section 94.121 of the final rule sets leverage resources for direct victim and technology were set out in the out allowable sub-recipient services (e.g., a stand-alone project to Guidelines, but were omitted from the administrative costs. These are train volunteers may make more proposed rule. These are added back substantively the same as those in the volunteers available to provide direct into the final rule as factors that may be existing Guidelines, and as in proposed services). useful for SAAs to consider when section 94.119. Coordination of activities. The final determining whether to permit funding A commenter noted that there was a rule gives SAAs the latitude to allow to be used for this purpose. discrepancy in the proposed rule, in sub-recipients to use VOCA funds for Volunteer trainings. The proposed that training costs were allowed for non- activities coordinating victim services. rule, at section 94.118(f) allowed the use VOCA-funded service providers, but Many commenters supported this of direct service funding in certain travel costs to attend trainings were not provision in the proposed rule. A few circumstances to train volunteer direct allowed for such providers. OVC agrees opposed, as they were concerned this service providers, and OVC has kept that training and training-related travel would divert VOCA resources away this provision largely unchanged, at for non-VOCA-funded service provider from other activities. OVC notes that the 94.120(6). The proposed rule focused on staff should be allowable, and has final rule provides States with Court Appointed Special Advocate changed the final rule accordingly, at additional flexibility, but does not (CASA) volunteers, but commenters section 94.121(c). The commenter also mandate that States reallocate any suggested that the final rule should be asked that OVC include certain funding. Moreover, in the last decade it more general, so as not to limit such additional items (e.g., costs of Web sites, has become apparent that co-ordination funding to the CASA context. OVC social media, mobile devices) in the and oversight activities are desirable agrees and has made this edit. The use examples of allowable administrative and may in many cases improve the of direct service funds to support costs, and OVC has done this in section provision of direct victim services. training and co-ordination of volunteer 94.121(f). A commenter requested that OVC add services in such circumstances is coalitions to support and assist victims appropriate, as it typically allows Several commenters suggested that to the list of allowable activities, and funded organizations to cost-effectively evaluation costs in section 94.121(j) OVC has done this. leverage the available funds and should be capped at a percentage of the Contracts for professional services. volunteer efforts to provide more direct grant. OVC believes that evaluation is an OVC proposed to allow sub-recipients to services for victims. important part of improving victim contract for professional services not Restorative justice. The proposed rule services by developing data-driven available within the sub-recipient inadvertently omitted reference to improvements to programs and does not organization (in contrast to the restorative justice efforts, which are cap evaluation costs in the rule. OVC Guidelines, which does not allow this). permitted in the current Guidelines. does note that the rule does not prevent OVC has maintained this section as OVC has added this back into this final SAAs from capping such costs (on a proposed, in section 94.120(d) of the rule at section 94.120(g). The final rule State-wide or project-by-project basis, as final rule, but made the examples more is substantially similar to the appropriate), or limiting such costs to concise and conceptual to improve Guidelines, except that the paragraph is amounts that are reasonable given State readability. Some commenters suggested reorganized to fit stylistically within the goals and funding constraints. that the rule needed to reflect better final rule, and to provide examples of § 94.122 Expressly Unallowable Sub- how contract service providers charge restorative justice efforts (e.g., tribal Recipient Costs overhead costs, suggesting that the rule community-led meetings and peace- be made consistent with that for keeping activities). Also, where the OVC has renumbered proposed volunteered services; i.e., the contract Guidelines required such efforts to have 94.120 as section 94.122 of the final rate must be a reasonable market rate for ‘‘possible’’ beneficial or therapeutic rule, setting forth expressly unallowable the services provided. OVC agrees and value, the final rule requires that such project costs. Most of these provisions has done this. efforts must have ‘‘reasonably are the same as those in the existing Automated systems and technology. anticipated’’ beneficial or therapeutic Guidelines, and the proposed rule, with The proposed rule at section 94.118(e) value. OVC believes that such a the following exceptions: would have allowed the use of funds for standard is better suited to meet victim Perpetrator rehabilitation and automated systems and technology that needs. counseling. The rule prohibiting use of support delivery of direct services to The final rule provides that a victim’s VOCA funds for perpetrator victims, and provided examples of such opportunity to withdraw must be rehabilitation and counseling has been systems and technology, and provided inherent in any restorative justice effort removed to allow VOCA-funded service that procurement of personnel, supported by program funds, whereas providers to provide victim assistance hardware, and other items, were the Guidelines had merely included this services to victims who are incarcerated. allowable if permitted by the SAA. The as one of several criteria that SAAs This is more fully discussed above in
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the discussion of comments under the VOCA formula, a statutory alter the existing program structure at section 94.115 of the final rule. provision, which is not affected by this all. Updating the existing Guidelines to Victim attendance at conferences. regulation. The VOCA formula sets out clearly and accurately reflect the OVC has removed this odd provision the allocation of grant funds among statutory parameters will facilitate State from the list of unallowable costs, but States, and designates the States that compliance with VOCA requirements, expects that sub-recipients will not use will receive grant funds—the regulation and thus avoid potentially costly non- funds for this purpose. alters neither the allocation of Federal compliance findings. The rule makes Purchasing vehicles. Some funding, nor the designation of which some substantive changes to the existing commenters favored allowing the States will receive annual funding Guidelines, but most of these would be purchase of vehicles with VOCA funds, pursuant to that allocation. Moreover, of a permissive, not restrictive or but others opposed it. OVC agrees with VOCA affords substantial latitude to the mandatory, nature. Some changes, like comments that pointed out that in some States in determining where to allocate allowing more flexibility to co-ordinate jurisdictions purchasing a vehicle may the formula funding within each and leverage community resources, and be more cost effective than leasing a jurisdiction. This rule, to the extent that adopt alternative monitoring strategies, vehicle for victim service work and has it creates certain set asides and would impose no costs but will removed purchasing vehicles from the permissible areas of emphasis for State potentially allow States to use existing list of unallowable costs. States now victim assistance programs, only applies funding more efficiently. Other changes have the discretion to allow sub- to federally provided funding. As a rule that allow States to allocate funding to recipients to lease or purchase vehicles. governing a Federal grant program to services not presently allowable could Indirect organizational costs. The States and major U.S. territories, the change the allocation of VOCA funding government-wide grant requirements in only economic impact on small entities among victim services provided by sub- 2 CFR part 200, as implemented in is that of potential financial assistance, recipient organizations, and among December 2014 by the Department of as the rule would not apply to any victim service organizations. Such Justice at 2 CFR part 2800 (79 FR 76081, entity that was not a recipient of VOCA reallocations of funding, however, are Dec. 19, 2014), state a policy that federal funding under this program. This not mandated and each State would awards should bear their fair share of regulation, therefore, will not have a make the ultimate decision with regard costs, including reasonable, allocable, significant economic impact on a to whether to change its current funding and allowable direct and indirect costs. substantial number of small entities. allocations, if it chooses to do so at all. This is not a change from the present This contrasts with the VOCA Executive Orders 12866 and 13563— discretion that States have to allocate Guidelines, which prohibit indirect Regulatory Review organizational costs. Given the policy in funding according to State priorities. the recently issued government-wide This rule has been drafted and Any potential reallocations would be requirements, OVC has removed the reviewed in accordance with Executive relatively minor (even when taken in provision that prohibited sub-recipients Order 12866, ‘‘Regulatory Planning and aggregate across States) in comparison from using VOCA funds for certain Review’’ section 1(b), Principles of to the overall mix of allowable victim organizational costs. Removing the Regulation, and in accordance with services, and thus they are unlikely to prohibition should simplify Executive Order 13563 ‘‘Improving create new costs or significant fund administration of VOCA sub-awards, by Regulation and Regulatory Review’’ transfers. In any event, the benefits of aligning the requirements for VOCA- section 1(b), General Principles of additional services for underserved and funded projects, with the government- Regulation. un-served victims are significant. The Office of Justice Programs has wide grant requirements and cost The provision allowing alternative determined that this rule is a principles, which allow federal funding risk-based monitoring procedures ‘‘significant regulatory action’’ under to support sub-recipient indirect costs imposes no new costs on States that Executive Order 12866, section 3(f), (see 2 CFR 200.331 and 200.414). choose to retain their existing Regulatory Planning and Review, and In the Guidelines, and the proposed procedures, but will allow States that accordingly this rule has been reviewed rule at 94.120(f), liability insurance on wish to implement more cost effective by the Office of Management and buildings, and body guards (which OVC alternatives to do so. Budget. The elimination of match for understands to mean security guards, as Executive Order 13563 directs American Indian and Alaskan Native it is listed as a capital expense), were agencies to propose or adopt a tribes and projects on tribal lands will not allowable. OVC removes these from regulation only upon a reasoned permit victim service organizations in the list of unallowable costs in the final determination that its benefits justify its these communities, many of which do rule, as these costs may be allowable costs; tailor the regulation to impose the not have the resources to provide under the revised government-wide least burden on society, consistent with matching funds, the ability to more grant rules in 2 CFR part 200, if obtaining the regulatory objectives; and, easily seek VOCA funding for victim appropriately allocated to an award in choosing among alternative services. This will benefit victims in either directly or indirectly. regulatory approaches, select those these communities, many of whom are IV. Regulatory Certifications approaches that maximize net benefits. underserved. This change is unlikely to Executive Order 13563 recognizes that impose new costs on States, as there is Regulatory Flexibility Act some benefits and costs are difficult to no requirement that the administering In accordance with the Regulatory quantify and provides that, where agencies fund American Indian or Flexibility Act (5 U.S.C. 605(b)), the appropriate and permitted by law, Alaskan Native tribes or organizations at Office for Victims of Crime has agencies may consider and discuss a particular level, and the amount of reviewed this regulation and, by qualitative values that are difficult or funding allocated to these organizations approving it, certifies that it will not impossible to quantify, including historically is a very small percentage of have a significant economic impact on equity, human dignity, fairness, and overall VOCA funding. a substantial number of small entities. distributive impacts. All of the changes to the provisions The OVC Victim Assistance Program The rule merely clarifies and updates governing allowable and unallowable distributes funding to States pursuant to the existing Guidelines, but does not costs are in the nature of granting States
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additional flexibility to fund certain within subpart B of part 94 of title 28 Code of Federal Regulations is amended activities. None of the changes would of the Code of Federal Regulations. as follows: require States to expend additional Unfunded Mandates Reform Act of 1995 funding in any area, or change funding PART 94—CRIME VICTIM SERVICES allocations. Moreover, the changes, This rule will not result in the ■ while important, are relatively minor expenditure by State, local and tribal 1. The authority citation for part 94 is when compared to the entire scope of governments, in the aggregate, or by the revised to read as follows: costs allowable with VOCA funding. private sector, of $100,000,000 or more Authority: 42 U.S.C. 10603, 10603c, Consequently, to the extent that States in any one year, and it will not 10604(a), 10605. choose to fund the newly allowable significantly or uniquely affect small ■ 2. Add subpart B to read as follows: victim services (e.g., increased time governments. The VOCA Victim allowed in transitional housing), the Assistance Program is a formula grant Subpart B—VOCA Victim Assistance reallocation of funding will not result in program that provides funds to States to Program a significant reallocation of overall provide financial support to eligible General Provisions funding, given the small number of crime victim assistance programs. Sec. newly allowable services when Therefore, no actions are necessary 94.101 Purpose and scope; future guidance; compared to the overall mix of under the provisions of the Unfunded construction and severability; allowable victim services. In addition, it Mandates Reform Act of 1995. compliance date. 94.102 Definitions. is not certain which States will permit Small Business Regulatory Enforcement what additional services if given the Fairness Act of 1996 SAA Program Requirements flexibility to do so, and to what extent, This rule is not a major rule as 94.103 General. as these decisions typically are often 94.104 Allocation of sub-awards. made through State legislative or defined by section 804 of the Small Business Regulatory Enforcement 94.105 Reporting requirements. administrative processes and address 94.106 Monitoring requirements. considerations unique to each State. The Fairness Act of 1996. This rule will not important benefit of such potential result in an annual effect on the SAA Use of Funds for Administration and minor reallocations of resources, economy of $100,000,000 or more; a Training whether within organizations that major increase in costs or prices; or 94.107 Administration and training. presently receive VOCA funding and significant adverse effects on 94.108 Prohibited supplantation of funding will provide augmented services, or (in competition, employment, investment, for administrative costs. productivity, innovation, or on the 94.109 Allowable administrative costs. the less common case) to new 94.110 Allowable training costs. organizations, would be that previously ability of United States-based underserved or un-served victims would companies to compete with foreign- Sub-Recipient Program Requirements receive needed assistance. based companies in domestic and 94.111 Eligible crime victim assistance export markets. programs. Executive Order 13132—Federalism 94.112 Types of eligible organizations and This rule will not have substantial Paperwork Reduction Act organizational capacity. direct effects on the States, on the This rule does not propose any new, 94.113 Use of volunteers, community relationship between the national or changes to existing, ‘‘collection[s] of efforts, compensation assistance. government and the States, or on information’’ as defined by the 94.114 Prohibited discrimination. distribution of power and Paperwork Reduction Act of 1995 (44 94.115 Non-disclosure of confidential or private information. responsibilities among the various U.S.C. 3501, et seq.) and its levels of government, as the rule only implementing regulations at 5 CFR part Sub-Recipient Project Requirements affects the eligibility for, and use of, 1320. 94.116 Purpose of VOCA projects. federal funding under this program. The OVC sets forth a requirement, in 94.117 Costs of services; sub-recipient rule will not impose substantial direct section 94.105 of the final rule that program income. compliance costs on State and local SAAs update their subgrant award 94.118 Project match requirements. governments, or preempt any State laws. report information within 30 days of a Sub-Recipient Allowable/Unallowable Costs Therefore, in accordance with Executive change in such information. This requirement does not change the overall 94.119 Allowable direct service costs. Order No. 13132, it is determined that 94.120 Allowable costs for activities this rule does not have sufficient burden of the subgrant award report, supporting direct services. federalism implications to warrant the which is estimated to take 94.121 Allowable sub-recipient preparation of a Federalism Assessment. approximately three minutes to administrative costs. complete. It merely provides a 94.122 Expressly unallowable sub- Executive Order 12988—Civil Justice reasonable timeframe for updating recipient costs. Reform information that changes during a grant This rule meets the applicable period. As the report contains only high Subpart B—VOCA Victim Assistance standards set forth in sections 3(a) & level summary data, not detailed budget Program (b)(2) of Executive Order No. 12988. data, OVC estimates that the burden of General Provisions Pursuant to section 3(b)(1)(I) of the requiring updates of this report Executive Order, nothing in this or any throughout the grant period will be § 94.101 Purpose and scope; future previous rule (or in any administrative minimal. guidance; construction and severability; policy, directive, ruling, notice, compliance date. guideline, guidance, or writing) directly List of Subjects in 28 CFR Part 94 (a) Purpose and scope. This subpart relating to the Program that is the Administrative practice and implements the provisions of VOCA, at subject of this rule is intended to create procedure, Formula grant program, 42 U.S.C. 10603, which, as of July 8, any legal or procedural rights Victim assistance. 2016, authorize the Director to make an enforceable against the United States, Accordingly, for the reasons set forth annual grant to the chief executive of except as the same may be contained in the preamble, Title 28, part 94, of the each State for the financial support of
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eligible crime victim assistance Spousal abuse includes domestic and manner as OVC specifies from time to programs. VOCA sets out the statutory intimate partner violence. time. As of July 8, 2016, VOCA requires requirements governing these grants, State Administering Agency or SAA is the chief executive to certify that— and this subpart should be read in the governmental unit designated by the (1) Priority will be given to programs conjunction with it. Grants under this chief executive of a State to administer providing assistance to victims of sexual program also are subject to the grant funds under this program. assault, spousal abuse, or child abuse; government-wide grant rules in 2 CFR Sub-recipient means an entity that is (2) Funds will be made available to part 200, as implemented by the eligible to receive grant funds under this programs serving underserved victims; Department of Justice at 2 CFR part program from a State under this subpart. (3) VOCA funds awarded to the State, 2800, and the DOJ Grants Financial Victim of child abuse means a victim and by the State to eligible crime victim Guide. of crime, where such crime involved an assistance programs, will not be used to (b) Future guidance. The Director act or omission considered to be child supplant State and local government may, pursuant to 42 U.S.C. 10604(a), abuse under the law of the relevant SAA funds otherwise available for crime prescribe guidance for grant recipients jurisdiction. In addition, for purposes of victim assistance. and sub-recipients under this program this program, victims of child abuse (c) Pass-through administration. on the application of this subpart. may include, but are not limited to, SAAs have broad latitude in structuring (c) Construction and severability. Any child victims of: Physical, sexual, or their administration of VOCA funding. provision of this subpart held to be emotional abuse; child pornography- VOCA funding may be administered by invalid or unenforceable by its terms, or related offenses; neglect; commercial the SAA itself, or by other means, as applied to any person or sexual exploitation; bullying; and/or including the use of pass-through circumstance, shall be construed so as exposure to violence. entities (such as coalitions of victim to give it the maximum effect permitted Victim of federal crime means a service providers) to make determinations regarding award by law, unless such holding shall be one victim of an offense in violation of a distribution and to administer funding. of utter invalidity or unenforceability, in federal criminal statute or regulation, SAAs that opt to use a pass-through which event such provision shall be including, but not limited to, offenses entity shall ensure that the total sum of deemed severable from this part and that occur in an area where the federal VOCA funding for administrative and shall not affect the remainder thereof or government has jurisdiction, whether in training costs for the SAA and pass- the application of such provision to the United States or abroad, such as through entity is within the VOCA limit, other persons not similarly situated or Indian reservations, national parks, the reporting of activities at the direct- to other, dissimilar circumstances. federal buildings, and military service level is equivalent to what (d) Compliance date. This subpart installations. would be provided if the SAA were applies to all grants under this program VOCA means the Victims of Crime directly overseeing sub-awards, and an made by OVC after August 8, 2016, Act of 1984, Public Law 98–473 (Oct. effective system of monitoring sub- except for funds that the SAA obligated 12, 1984), as amended. awards is used. SAAs shall report on the before August 8, 2016 (i.e. pre-award VOCA funds or VOCA funding means pass-through entity in such form and funds under grants made in 2016). SAAs grant funds (or grant funding) under this manner as OVC may specify from time may permit the use of funds that are program. unobligated as of August 8, 2016 for to time. VOCA grant means the annual grant (d) Strategic planning. SAAs are activities permitted by this subpart, but from OVC to a State under this program. encouraged to develop a funding not by the Guidelines. SAA Program Requirements strategy, which should consider the § 94.102 Definitions. following: The range of direct services § 94.103 General. As used in this subpart: throughout the State and within Crime victim or victim of crime means (a) Direct services. SAAs may use communities; the sustainability of such a person who has suffered physical, VOCA funds to provide direct services services; the unmet needs of crime sexual, financial, or emotional harm as through sub-recipients or in their own victims; the demographic profile of a result of the commission of a crime. projects, and to cover administrative crime victims; the coordinated, Director means the Director of OVC. and training costs of the SAA. SAAs cooperative response of community Direct services or services to victims of have sole discretion to determine which organizations in organizing direct crime means those services described in organizations will receive funds, and in services; the availability of direct 42 U.S.C. 10603(d)(2), and efforts that— what amounts, subject to the minimum services throughout the criminal justice (1) Respond to the emotional, requirements set forth in VOCA and this process, as well as to victims who are psychological, or physical needs of subpart. SAAs must ensure that projects not participating in criminal justice crime victims; provide services to victims of federal proceedings; and the extent to which (2) Assist victims to stabilize their crimes on the same basis as to victims other sources of funding are available lives after victimization; of crimes under State or local law. SAAs for direct services. (3) Assist victims to understand and may fund direct services regardless of a (e) Coordination. SAAs are participate in the criminal justice victim’s participation in the criminal encouraged to coordinate their activities system; or justice process. Victim eligibility under with their jurisdiction’s VOCA (4) Restore a measure of security and this program for direct services is not compensation programs, STOP Violence safety for the victim. dependent on the victim’s immigration Against Women Formula Grant Program OVC means the Office for Victims of status. administrator, victim assistance Crime, within the United States (b) SAA eligibility certification. Each coalitions, federal agencies, and other Department of Justice’s Office of Justice SAA must certify that it will meet the relevant organizations. Programs. criteria set forth in VOCA, at 42 U.S.C. (f) Compliance with other rules and Project means the direct services 10603(a)(2), and in this subpart . This requirements. SAAs shall comply (and project funded by a grant under this certification shall be submitted by the ensure sub-recipient compliance) with program, unless context indicates chief executive of the State (or a all applicable provisions of VOCA, this otherwise. designee) annually in such form and subpart, and any guidance issued by
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OVC, as well as all applicable when feasible. Typically, such a process 42 U.S.C. 10603(b)(3), for training and provisions of the DOJ Grants Financial entails an open solicitation of administration. As of July 8, 2016, the Guide and government-wide grant rules. applications and a documented amount is five percent of a State’s (g) Access to records. SAAs shall, determination, based on objective annual VOCA grant. upon request, and consistent with 2 CFR criteria set in advance by the SAA (or (b) Notification. An SAA shall notify 200.336, permit OVC access to all pass-through entity, as applicable). OVC of its decision to use VOCA funds records related to the use of VOCA (f) Direct-service projects run by for training or administration, either at funding. SAAs. An SAA may use no more than the time of application for the VOCA ten percent of its annual VOCA grant to grant or within thirty days of such § 94.104 Allocation of sub-awards. fund its own direct service projects, decision. Such notification shall (a) Directed allocation of forty percent unless the Director grants a waiver. indicate what portion of the amount overall. Except as provided in paragraph will be allocated for training and what (d) of this section, each SAA shall § 94.105 Reporting requirements. portion for administration. If VOCA allocate each year’s VOCA grant as (a) Subgrant award reports. SAAs funding will be used for administration, specified below in paragraphs (b) and shall submit, at such times and in such the SAA shall follow the rules and (c) of this section. Where victims of form and manner as OVC may specify submit the certification required in priority category crimes are determined from time to time, subgrant award § 94.108 regarding supplantation . to be underserved as well, an SAA may reports to OVC for each project that (c) Availability. SAAs shall ensure count funds allocated to projects serving receives VOCA funds. If an SAA awards that each training and administrative such victims in either the priority funds to a pass-through entity, the SAA activity funded by the VOCA grant category or the underserved category, also shall submit a report on the pass- occurs within the award period. but not both. through entity, at such times and in (d) Documentation. SAAs shall (b) Priority categories of crime victims such form and manner as OVC may maintain sufficient records to (thirty percent total). SAAs shall specify from time to time. substantiate the expenditure of VOCA allocate a minimum of ten percent of (b) Performance report. SAAs shall funds for training or administration. each year’s VOCA grant to each of the submit, in such form and manner as (e) Volunteer training. SAAs may three priority categories of victims OVC may specify from time to time, allow sub-recipients to use VOCA funds specified in the certification performance reports to OVC on a to train volunteers in how to provide requirement in VOCA, at 42 U.S.C. quarterly basis. direct services when such services will 10603(a)(2)(A), which, as of July 8, (c) Obligation to report fraud, waste, be provided primarily by volunteers. 2016, includes victims of— abuse, and similar misconduct. SAAs Such use of VOCA funds will not count (1) Sexual assault, shall— against the limit described in paragraph (2) Spousal abuse and (1) Promptly notify OVC of any formal (a) of this section. (3) Child abuse. allegation or finding of fraud, waste, (c) Previously underserved category abuse, or similar misconduct involving § 94.108 Prohibited supplantation of (ten percent total). SAAs shall allocate VOCA funds; funding for administrative costs. a minimum of ten percent of each year’s (2) Promptly refer any credible (a) Non-supplantation requirement. VOCA grant to underserved victims of evidence of such misconduct to the SAAs may not use VOCA funding to violent crime, as specified in VOCA, at Department of Justice Office of the supplant State administrative support 42 U.S.C. 10603(a)(2)(B). To meet this Inspector General; and for the State crime victim assistance requirement, SAAs shall identify which (3) Apprise OVC, in timely fashion, of program. Consistent with the DOJ type of crime victim a service project the status of any on-going investigations Grants Financial Guide, such assists by the type of crime they have supplantation is the deliberate § 94.106 Monitoring requirements. experienced or the demographic reduction of State funds because of the characteristics of the crime victim, or (a) Monitoring plan. Unless the availability of VOCA funds. Where a both. Director grants a waiver, SAAs shall State decreases its administrative (d) Exceptions to required allocations. develop and implement a monitoring support for the State crime victim The Director may approve an allocation plan in accordance with the assistance program, the SAA must different from that specified in requirements of this section and 2 CFR submit, upon request from OVC, an paragraphs (b) and (c) of this section, 200.331. The monitoring plan must explanation for the decrease. pursuant to a written request from the include a risk assessment plan. (b) Baseline for administrative costs. SAA that demonstrates (to the (b) Monitoring frequency. SAAs shall In each year in which an SAA uses satisfaction of the Director) that there is conduct regular desk monitoring of all VOCA funds for administration, it good cause therefor. sub-recipients. In addition, SAAs shall shall— (e) Sub-award process: conduct on-site monitoring of all sub- (1) Establish and document a baseline Documentation, conflicts of interest, recipients at least once every two years level of non-VOCA funding required to and competition of funding to sub- during the award period, unless a administer the State victim assistance recipients. (1) SAAs have sole discretion different frequency based on risk program, based on SAA expenditures to determine which organizations will assessment is set out in the monitoring for administrative costs during that receive funds, and in what amounts, plan. fiscal year and the previous fiscal year, subject to the requirements of VOCA, (c) Recordkeeping. SAAs shall prior to expending VOCA funds for this subpart, and the provisions in the maintain a copy of site visit results and administration; and DOJ Grants Financial Guide relating to other documents related to compliance. (2) Submit the certification required conflicts of interest. SAAs must SAA Use of Funds for Administration by 42 U.S.C. 10604(h), which, as of July maintain a documented methodology and Training 8, 2016, requires an SAA to certify here for selecting all competitive and non- that VOCA funds will not be used to competitive sub-recipients. § 94.107 Administration and training. supplant State funds, but will be used (2) SAAs are encouraged to award (a) Amount. No SAA may use more to increase the amount of such funds funds through a competitive process, than the amount prescribed by VOCA, at that would, in the absence of VOCA
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funds, be made available for and protocols relevant to the (2) Crime victim compensation administrative purposes. management and administration of the programs. SAAs may provide VOCA program; victim assistance funding to § 94.109 Allowable administrative costs. (9) Strategic planning, including, but compensation programs only for the (a) Funds for administration may be not limited to, the development of purpose of providing direct services that used only for costs directly associated strategic plans, both service and extend beyond the essential duties of with administering a State’s victim financial, including conducting surveys the staff administering the assistance program. Where allowable and needs assessments; compensation program, which services administrative costs are allocable to (10) Coordination and collaboration may include, but are not limited to, both the crime victim assistance efforts among relevant federal, State, crisis intervention; counseling; and program and another State program, the and local agencies and organizations to providing information, referrals, and VOCA grant may be charged no more improve victim services; follow-up for crime victims. than its proportionate share of such (11) Publications, including, but not (3) Victim service organizations costs. SAAs may charge a federally- limited to, developing, purchasing, located in an adjacent State. SAAs may approved indirect cost rate to the VOCA printing, distributing training materials, award VOCA funds to otherwise eligible grant, provided that the total amount victim services directories, brochures, programs that are physically located in charged does not exceed the amount and other relevant publications; and an adjacent State, but in making such prescribed by VOCA for training and (12) General program improvements— awards, the SAA shall provide notice of administration. Enhancing overall SAA operations such award to the SAA of the adjacent (b) Costs directly associated with relating to the program and improving State, and coordinate, as appropriate, to administering a State victim assistance the delivery and quality of program ensure effective provision of services, program generally include the services to crime victims throughout the monitoring, auditing of federal funds, following: State. compliance, and reporting. (1) Salaries and benefits of SAA staff (4) Direct service programs run by the and consultants to administer and § 94.110 Allowable training costs. SAA. SAAs may fund their own direct manage the program; VOCA funds may be used only for services programs, but, under (2) Training of SAA staff, including, training activities that occur within the § 94.104(f), may allocate no more than but not limited to, travel, registration award period, and all funds for training ten percent of the VOCA grant to such fees, and other expenses associated with must be obligated prior to the end of programs, and each such program shall SAA staff attendance at technical such period. Allowable training costs adhere to the allowable/unallowable assistance meetings and conferences generally include, but are not limited to, cost rules for sub-recipient projects set relevant to the program; the following: (3) Monitoring compliance of VOCA (a) Statewide/regional training of out in this subpart at §§ 94.119 through sub-recipients with federal and State personnel providing direct assistance 94.122. requirements, support for victims’ rights and allied professionals, including (b) Organizational capacity of the compliance programs, provision of VOCA funded and non-VOCA funded program. For purposes of VOCA, at 42 technical assistance, and evaluation and personnel, as well as managers and U.S.C. 10603(b)(1)(B), the following assessment of program activities, Board members of victim service shall apply: including, but not limited to, travel, agencies; and (1) Record of effective services to mileage, and other associated expenses; (b) Training academies for victim victims of crime and support from (4) Reporting and related activities assistance. sources other than the Crime Victims necessary to meet federal and State Fund. A program has demonstrated a Sub-Recipient Program Requirements requirements; record of effective direct services and (5) Program evaluation, including, but § 94.111 Eligible crime victim assistance support from sources other than the not limited to, surveys or studies that programs. Crime Victims Fund when, for example, measure the effect or outcome of victim SAAs may award VOCA funds only to it demonstrates the support and services; crime victim assistance programs that approval of its direct services by the (6) Program audit costs and related meet the requirements of VOCA, at 42 community, its history of providing activities necessary to meet federal audit U.S.C. 10603(b)(1), and this subpart. direct services in a cost-effective requirements for the VOCA grant; Each such program shall abide by any manner, and the breadth or depth of its (7) Technology-related costs, additional criteria or reporting financial support from sources other generally including for grant requirements established by the SAA. than the Crime Victims Fund. management systems, electronic (2) Substantial financial support from communications systems and platforms § 94.112 Types of eligible organizations sources other than the Crime Victims (e.g., Web pages and social media), and organizational capacity. Fund. A program has substantial geographic information systems, victim (a) Eligible programs. Eligible financial support from sources other notification systems, and other programs are not limited to entities than the Crime Victims Fund when at automated systems, related equipment whose sole purpose is to provide direct least twenty-five percent of the (e.g., computers, software, fax and services. There are special program’s funding in the year of, or the copying machines, and TTY/TDDs) and considerations for certain types of year preceding the award comes from related technology support services entities, as described below: such sources, which may include other necessary for administration of the (1) Faith-based and neighborhood federal funding programs. If the funding program; programs. SAAs may award VOCA is non-federal (or meets the DOJ Grants (8) Memberships in crime victims’ funds to otherwise eligible faith-based Financial Guide exceptions for using organizations and organizations that and neighborhood programs, but in federal funding for match), then a support the management and making such awards, SAAs shall ensure program may count the used funding to administration of victim assistance that such programs comply with all demonstrate non-VOCA substantial programs, and publications and applicable federal law, including, but financial support toward its project materials such as curricula, literature, not limited to, part 38 of this chapter. match requirement.
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§ 94.113 Use of volunteers, community of persons receiving services under this legally mandated reporting of abuse or efforts, compensation assistance. program and shall not disclose, reveal, neglect. (a) Mandated use of volunteers; or release, except pursuant to Sub-Recipient Project Requirements waiver. Programs shall use volunteers, paragraphs (b) and (c) of this section— to the extent required by the SAA, in (1) Any personally identifying § 94.116 Purpose of VOCA-funded order to be eligible for VOCA funds. The information or individual information projects. chief executive of the State, who may collected in connection with VOCA- VOCA funds shall be available to sub- act through the SAA, may waive this funded services requested, utilized, or recipients only to provide direct requirement, provided that the program denied, regardless of whether such services and supporting and submits written documentation of its information has been encoded, administrative activities as set out in efforts to recruit and maintain encrypted, hashed, or otherwise this subpart. SAAs shall ensure that volunteers, or otherwise demonstrate protected; or VOCA sub-recipients obligate and why circumstances prohibit the use of (2) Individual client information, expend funds in accordance with VOCA volunteers, to the satisfaction of the without the informed, written, and this subpart. Sub-recipients must chief executive. reasonably time-limited consent of the provide services to victims of federal (b) Waiver of use of volunteers. SAAs person about whom information is crimes on the same basis as to victims shall maintain documentation sought, except that consent for release of crimes under State or local law. Sub- supporting any waiver granted under may not be given by the abuser of a recipients may provide direct services VOCA, at 42 U.S.C. 10603(b)(1)(C), minor, incapacitated person, or the regardless of a victim’s participation in relating to the use of volunteers by abuser of the other parent of the minor. the criminal justice process. Victim programs. If a minor or a person with a legally eligibility under this program for direct (c) Promotion of community efforts to appointed guardian is permitted by law services is not dependent on the aid crime victims. Community served to receive services without a parent’s (or victim’s immigration status. coordinated public and private efforts to the guardian’s) consent, the minor or aid crime victims may include, but are person with a guardian may consent to § 94.117 Cost of services; sub-recipient not limited to, serving on federal, State, release of information without program income. local, or tribal work groups to oversee additional consent from the parent or (a) Cost of services. Sub-recipients and recommend improvements to guardian. shall provide VOCA-funded direct community responses to crime victims, (b) Release. If release of information services at no charge, unless the SAA and developing written agreements and described in paragraph (a)(2) of this grants a waiver allowing the sub- protocols for such responses. section is compelled by statutory or recipient to generate program income by (d) Assistance to victims in applying court mandate, SAAs or sub-recipients charging for services. Program income, for compensation. Assistance to of VOCA funds shall make reasonable where allowed, shall be subject to potential recipients of crime victim attempts to provide notice to victims federal grant rules and the requirements compensation benefits (including affected by the disclosure of the of the DOJ Grants Financial Guide, potential recipients who are victims of information, and take reasonable steps which, as of July 8, 2016, require in federal crime) in applying for such necessary to protect the privacy and most cases that any program income be benefits may include, but are not safety of the persons affected by the restricted to the same uses as the sub- limited to, referring such potential release of the information. award funds and expended during the recipients to an organization that can so (c) Information sharing. SAAs and grant period in which it is generated. assist, identifying crime victims and sub-recipients may share— (b) Considerations for waiver. In advising them of the availability of such (1) Non-personally identifying data in determining whether to grant a waiver benefits, assisting such potential the aggregate regarding services to their under this section, the SAA should recipients with application forms and clients and non-personally identifying consider whether charging victims for procedures, obtaining necessary demographic information in order to services is consistent with the project’s documentation, monitoring claim status, comply with reporting, evaluation, or victim assistance objectives and and intervening on behalf of such data collection requirements; whether the sub-recipient is capable of potential recipients with the crime (2) Court-generated information and effectively tracking program income in victims’ compensation program. law-enforcement-generated information accordance with financial accounting contained in secure governmental requirements. § 94.114 Prohibited discrimination. registries for protection order (a) The VOCA non-discrimination enforcement purposes; and § 94.118 Project match requirements. provisions specified at 42 U.S.C. (3) Law enforcement- and (a) Project match amount. Sub- 10604(e) shall be implemented in prosecution-generated information recipients shall contribute (i.e., match) accordance with 28 CFR part 42. necessary for law enforcement and not less than twenty percent (cash or in- (b) In complying with VOCA, at 42 prosecution purposes. kind) of the total cost of each project, U.S.C. 10604(e), as implemented by 28 (d) Personally identifying information. except as provided in paragraph (b) of CFR part 42, SAAs and sub-recipients In no circumstances may— this section. shall comply with such guidance as may (1) A crime victim be required to (b) Exceptions to project match be issued from time to time by the provide a consent to release personally requirement. The following are not Office for Civil Rights within the Office identifying information as a condition of subject to the requirement set forth in of Justice Programs. eligibility for VOCA-funded services; paragraph (a) of this section: (2) Any personally identifying (1) Sub-recipients that are federally- § 94.115 Non-disclosure of confidential or information be shared in order to recognized American Indian or Alaska private information. comply with reporting, evaluation, or Native tribes, or projects that operate on (a) Confidentiality. SAAs and sub- data-collection requirements of any tribal lands; recipients of VOCA funds shall, to the program; (2) Sub-recipients that are territories extent permitted by law, reasonably (e) Mandatory reporting. Nothing in or possessions of the United States protect the confidentiality and privacy this section prohibits compliance with (except for the Commonwealth of Puerto
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Rico), or projects that operate therein; amount of the contributions under (b) Personal advocacy and emotional and paragraph (a) of this section, and period support—Personal advocacy and (3) Sub-recipients other than those of time for which such contributions emotional support, including, but not described in paragraphs (b)(1) and (2) of were allocated. The basis for limited to: this section, that have applied (through determining the value of personal (1) Working with a victim to assess their SAAs) for, and been granted, a full services, materials, equipment, and the impact of the crime; or partial waiver from the Director. space and facilities shall be (2) Identification of victim’s needs; Waiver requests must be supported by documented. Volunteer services shall be (3) Case management; the SAA and justified in writing. substantiated by the same methods used (4) Management of practical problems Waivers are entirely at the Director’s by the sub-recipient for its paid created by the victimization; discretion, but the Director typically employees (generally, this should (5) Identification of resources available to the victim; considers factors such as local include timesheets substantiating time (6) Provision of information, referrals, resources, annual budget changes, past worked on the project). advocacy, and follow-up contact for ability to provide match, and whether continued services, as needed; and the funding is for new or additional Sub-Recipient Allowable/Unallowable Costs (7) Traditional, cultural, and/or activities requiring additional match alternative therapy/healing (e.g., art versus continuing activities where § 94.119 Allowable direct service costs. therapy, yoga); match is already provided. Direct services for which VOCA funds (c) Mental health counseling and (c) Sources of project match. may be used include, but are not limited care—Mental health counseling and Contributions under paragraph (a) of to, the following: care, including, but not limited to, out- this section shall be derived from non- (a) Immediate emotional, patient therapy/counseling (including, federal sources, except as may be psychological, and physical health and but not limited to, substance-abuse provided in the DOJ Grants Financial safety—Services that respond to treatment so long as the treatment is Guide, and may include, but are not immediate needs (other than medical directly related to the victimization) limited to, the following: care, except as allowed under paragraph provided by a person who meets (1) Cash; i.e., the value of direct (a)(9) of this section) of crime victims, professional standards to provide these funding for the project; services in the jurisdiction in which the (2) Volunteered professional or including, but not limited to: care is administered; personal services, the value placed on (1) Crisis intervention services; (2) Accompanying victims to (d) Peer-support—Peer-support, which shall be consistent with the rate including, but not limited to, activities of compensation (which may include hospitals for medical examinations; (3) Hotline counseling; that provide opportunities for victims to fringe benefits) paid for similar work in meet other victims, share experiences, the program, but if the similar work is (4) Safety planning; (5) Emergency food, shelter, clothing, and provide self-help, information, and not performed in the program, the rate emotional support; of compensation shall be consistent and transportation; (6) Short-term (up to 45 days) in-home (e) Facilitation of participation in with the rate found in the labor market care and supervision services for criminal justice and other public in which the program competes; proceedings arising from the crime— (3) Materials/Equipment, but the children and adults who remain in their own homes when the offender/caregiver The provision of services and payment value placed on lent or donated of costs that help victims participate in equipment shall not exceed its fair is removed; (7) Short-term (up to 45 days) nursing- the criminal justice system and in other market value; public proceedings arising from the (4) Space and facilities, the value home, adult foster care, or group-home crime (e.g., juvenile justice hearings, placed on which shall not exceed the placement for adults for whom no other civil commitment proceedings), fair rental value of comparable space safe, short-term residence is available; (8) Window, door, or lock including, but not limited to:— and facilities as established by an (1) Advocacy on behalf of a victim; independent appraisal of comparable replacement or repair, and other repairs necessary to ensure a victim’s safety; (2) Accompanying a victim to offices space and facilities in a privately-owned and court; building in the same locality; and (9) Costs of the following, on an emergency basis (i.e., when the State’s (3) Transportation, meals, and lodging (5) Non-VOCA funded victim to allow a victim who is not a witness assistance activities, including but not compensation program, the victim’s (or in the case of a minor child, the victim’s to participate in a proceeding; limited to, performing direct service, (4) Interpreting for a non-witness parent’s or guardian’s) health insurance coordinating, or supervising those victim who is deaf or hard of hearing, plan, Medicaid, or other health care services, training victim assistance or with limited English proficiency; providers, or advocating for victims. funding source, is not reasonably (5) Providing child care and respite (d) Discounts. Any reduction or expected to be available quickly enough care to enable a victim who is a discount provided to the sub-recipient to meet the emergency needs of a victim caregiver to attend activities related to shall be valued as the difference (typically within 48 hours of the crime): the proceeding; between what the sub-recipient paid Non-prescription and prescription (6) Notification to victims regarding and what the provider’s nominal or fair medicine, prophylactic or other key proceeding dates (e.g., trial dates, market value is for the good or service. treatment to prevent HIV/AIDS infection case disposition, incarceration, and (e) Use of project match. or other infectious disease, durable parole hearings); Contributions under paragraph (a) of medical equipment (such as wheel- (7) Assistance with Victim Impact this section are restricted to the same chairs, crutches, hearing aids, Statements; uses, and timing deadlines for eyeglasses), and other healthcare items (8) Assistance in recovering property obligation and expenditure, as the are allowed; and that was retained as evidence; and project’s VOCA funding. (10) Emergency legal assistance, such (9) Assistance with restitution (f) Recordkeeping for project match. as for filing for restraining or protective advocacy on behalf of crime victims. Each sub-recipient shall maintain orders, and obtaining emergency (f) Legal assistance—Legal assistance records that clearly show the source and custody orders and visitation rights; services (including, but not limited to,
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those provided on an emergency basis), brochures, newspaper notices, and protocols, interagency, and other where reasonable and where the need public service announcements) in working agreements; for such services arises as a direct result schools, community centers, and other (d) Contracts for professional of the victimization. Such services public forums that are designed to services—Contracting for specialized include, but are not limited to: inform crime victims of specific rights professional services (e.g., (1) Those (other than criminal and services and provide them with (or psychological/psychiatric consultation, defense) that help victims assert their refer them to) services and assistance. legal services, interpreters), at a rate not rights as victims in a criminal (k) Transitional housing—Subject to to exceed a reasonable market rate, that proceeding directly related to the any restrictions on amount, length of are not available within the victimization, or otherwise protect their time, and eligible crimes, set by the organization; safety, privacy, or other interests as SAA, transitional housing for victims (e) Automated systems and victims in such a proceeding; (generally, those who have a particular technology—Subject to the provisions of (2) Motions to vacate or expunge a need for such housing, and who cannot the DOJ Grants Financial Guide and conviction, or similar actions, where the safely return to their previous housing, government-wide grant rules relating to jurisdiction permits such a legal action due to the circumstances of their acquisition, use and disposition of based on a person’s being a crime victimization), including, but not property purchased with federal funds, victim; and limited to, travel, rental assistance, procuring automated systems and (3) Those actions (other than tort security deposits, utilities, and other technology that support delivery of actions) that, in the civil context, are costs incidental to the relocation to such direct services to victims (e.g., reasonably necessary as a direct result of housing, as well as voluntary support automated information and referral the victimization; services such as childcare and systems, email systems that allow (g) Forensic medical evidence counseling; and communications among victim service collection examinations—Forensic (l) Relocation—Subject to any providers, automated case-tracking and medical evidence collection restrictions on amount, length of time, management systems, smartphones, examinations for victims to the extent and eligible crimes, set by the SAA, computer equipment, and victim that other funding sources such as State relocation of victims (generally, where notification systems), including, but not appropriations are insufficient. Forensic necessary for the safety and well-being limited to, procurement of personnel, medical evidence collection examiners of a victim), including, but not limited hardware, and other items, as are encouraged to follow relevant to, reasonable moving expenses, determined by the SAA after guidelines or protocols issued by the security deposits on housing, rental considering— State or local jurisdiction. Sub- expenses, and utility startup costs. (1) Whether such procurement will recipients are encouraged to provide enhance direct services; appropriate crisis counseling and/or § 94.120 Allowable costs for activities supporting direct services. (2) How any acquisition will be other types of victim services that are integrated into and/or enhance the offered to the victim in conjunction Supporting activities for which VOCA funds may be used include, but are not program’s current system; with the examination. Sub-recipients (3) The cost of installation; are also encouraged to use specially limited to, the following: (a) Coordination of activities— (4) The cost of training staff to use the trained examiners such as Sexual automated systems and technology; Assault Nurse Examiners; Coordination activities that facilitate the (5) The ongoing operational costs, (h) Forensic interviews—Forensic provision of direct services, include, but such as maintenance agreements, interviews, with the following are not limited to, State-wide supplies; and parameters: coordination of victim notification (1) Results of the interview will be systems, crisis response teams, multi- (6) How additional costs relating to used not only for law enforcement and disciplinary teams, coalitions to support any acquisition will be supported; prosecution purposes, but also for and assist victims, and other such (f) Volunteer trainings—Activities in identification of needs such as social programs, and salaries and expenses of support of training volunteers on how to services, personal advocacy, case such coordinators; provide direct services when such management, substance abuse (b) Supervision of direct service services will be provided primarily by treatment, and mental health services; providers—Payment of salaries and volunteers; and (2) Interviews are conducted in the expenses of supervisory staff in a (g) Restorative justice—Activities in context of a multi-disciplinary project, when the SAA determines that support of opportunities for crime investigation and diagnostic team, or in such staff are necessary and effectively victims to meet with perpetrators, a specialized setting such as a child facilitate the provision of direct including, but not limited to, tribal advocacy center; and services; community-led meetings and peace- (3) The interviewer is trained to (c) Multi-system, interagency, multi- keeping activities, if such meetings are conduct forensic interviews appropriate disciplinary response to crime victim requested or voluntarily agreed to by the to the developmental age and abilities of needs—Activities that support a victim (who may, at any point, children, or the developmental, coordinated and comprehensive withdraw) and have reasonably cognitive, and physical or response to crime victims needs by anticipated beneficial or therapeutic communication disabilities presented direct service providers, including, but value to crime victims. SAAs that plan by adults. not limited to, payment of salaries and to fund this type of service should (i) Transportation—Transportation of expenses of direct service staff serving closely review the criteria for victims to receive services and to on child and adult abuse multi- conducting these meetings, and are participate in criminal justice disciplinary investigation and treatment encouraged to discuss proposals with proceedings; teams, coordination with federal OVC prior to awarding VOCA funds for (j) Public awareness—Public agencies to provide services to victims this type of activity. At a minimum, the awareness and education presentations of federal crimes and/or participation on following should be considered:— (including, but not limited to, the Statewide or other task forces, work (1) The safety and security of the development of presentation materials, groups, and committees to develop victim;
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(2) The cost versus the benefit or except that the VOCA grant may be or administrative policy (cf. 18 U.S.C. therapeutic value to the victim; charged only the prorated share of an 1913), whether conducted directly or (3) The procedures for ensuring that item that is not used exclusively for indirectly; participation of the victim and offenders victim-related activities; (b) Research and studies—Research are voluntary and that the nature of the (f) Operating costs—Operating costs and studies, except for project meeting is clear; include but are not limited to— evaluation under § 94.121(j); (4) The provision of appropriate (1) Supplies; (c) Active investigation and support and accompaniment for the (2) Equipment use fees; prosecution of criminal activities—The victim; (3) Property insurance; active investigation and prosecution of (5) Appropriate debriefing (4) Printing, photocopying, and criminal activity, except for the opportunities for the victim after the postage; provision of victim assistance services meeting; and (5) Courier service; (e.g., emotional support, advocacy, and (6) The credentials of the facilitators. (6) Brochures that describe available legal services) to crime victims, under services; § 94.119, during such investigation and § 94.121 Allowable sub-recipient (7) Books and other victim-related prosecution; administrative costs. materials; (d) Fundraising—Any activities Administrative costs for which VOCA (8) Computer backup files/tapes and related to fundraising, except for fee- funds may be used by sub-recipients storage; based, or similar, program income include, but are not limited to, the (9) Security systems; authorized by the SAA under this following: (10) Design and maintenance of Web subpart. (a) Personnel costs—Personnel costs sites and social media; and (e) Capital expenses—Capital that are directly related to providing (11) Essential communication improvements; property losses and direct services and supporting activities, services, such as web hosts and mobile expenses; real estate purchases; such as staff and coordinator salaries device services. mortgage payments; and construction expenses (including fringe benefits), and (g) VOCA administrative time—Costs (except as specifically allowed a prorated share of liability insurance; of administrative time spent performing elsewhere in this subpart). (b) Skills training for staff—Training the following: (f) Compensation for victims of exclusively for developing the skills of (1) Completing VOCA-required time crime—Reimbursement of crime victims direct service providers, including paid and attendance sheets and for expenses incurred as a result of a staff and volunteers (both VOCA-funded programmatic documentation, reports, crime, except as otherwise allowed by and not), so that they are better able to and statistics; other provisions of this subpart; offer quality direct services, including, (2) Collecting and maintaining crime (g) Medical care—Medical care, but not limited to, manuals, books, victims’ records; except as otherwise allowed by other videoconferencing, electronic training (3) Conducting victim satisfaction provisions of this subpart; and resources, and other materials and surveys and needs assessments to (h) Salaries and expenses of resources relating to such training. improve victim services delivery in the management—Salaries, benefits, fees, (c) Training-related travel—Training- project; and furniture, equipment, and other related costs such as travel (in-State, (4) Funding the prorated share of expenses of executive directors, board regional, and national), meals, lodging, audit costs. members, and other administrators and registration fees for paid direct- (h) Leasing or purchasing vehicles— (except as specifically allowed service staff (both VOCA-funded and Costs of leasing or purchasing vehicles, elsewhere in this subpart). not); as determined by the SAA after Dated: June 30, 2016. (d) Organizational Expenses— considering, at a minimum, if the Karol V. Mason, Organizational expenses that are vehicle is essential to the provision of Assistant Attorney General, Office of Justice necessary and essential to providing direct services; Programs. direct services and other allowable (i) Maintenance, repair, or [FR Doc. 2016–16085 Filed 7–7–16; 8:45 am] victim services, including, but not replacement of essential items—Costs of BILLING CODE 4410–18–P limited to, the prorated costs of rent; maintenance, repair, and replacement of utilities; local travel expenses for items that contribute to maintenance of service providers; and required minor a healthy or safe environment for crime DEPARTMENT OF THE INTERIOR building adaptations necessary to meet victims (such as a furnace in a shelter; the Department of Justice standards and routine maintenance, repair costs, Office of Surface Mining Reclamation implementing the Americans with and automobile insurance for leased and Enforcement Disabilities Act and/or modifications vehicles), as determined by the SAA that would improve the program’s after considering, at a minimum, if other 30 CFR Parts 723, 724, 845, and 846 ability to provide services to victims; sources of funding are available; and RIN 1029–AC72 (e) Equipment and furniture— (j) Project evaluation—Costs of Expenses of procuring furniture and evaluations of specific projects (in order [Docket ID: OSM–2016–0008; S1D1S equipment that facilitate the delivery of to determine their effectiveness), within SS08011000 SX066A0067F 167S180110; direct services (e.g., mobile the limits set by SAAs. S2D2D SS08011000 SX066A00 33F communication devices, telephones, 16XS501520] braille and TTY/TDD equipment, § 94.122 Expressly unallowable sub- computers and printers, beepers, video recipient costs. Civil Penalties Inflation Adjustments cameras and recorders for documenting Notwithstanding any other provision AGENCY: Office of Surface Mining and reviewing interviews with children, of this subpart, no VOCA funds may be Reclamation and Enforcement, Interior. two-way mirrors, colposcopes, digital used to fund or support the following: ACTION: Interim final rule. cameras, and equipment and furniture (a) Lobbying—Lobbying or advocacy for shelters, work spaces, victim waiting activities with respect to legislation or SUMMARY: Pursuant to the Federal Civil rooms, and children’s play areas), to administrative changes to regulations Penalties Inflation Adjustment Act
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Improvements Act of 2015 and Office of A. The Federal Civil Penalties Inflation penalties (CMPs) for violations of Management and Budget (OMB) Adjustment Act Improvements Act of SMCRA. The Office of Surface Mining guidance, this rule adjusts the level of 2015 Reclamation and Enforcement (OSMRE) civil monetary penalties assessed under B. Calculation of Adjustments C. Effect of Rule in Federal Program States regulations implementing the CMP the Surface Mining Control and and on Indian Lands provisions of section 518 are located in Reclamation Act of 1977 (SMCRA). D. Effect of the Rule on Approved State 30 CFR parts 723, 724, 845, and 846. We DATES: This rule is effective on August Programs are adjusting CMPs in four sections—30 1, 2016. Comments will be accepted II. Procedural Matters and Required CFR 723.14, 724.14, 845.14, and 846.14. until September 6, 2016. Determinations A. Regulatory Planning and Review (E.O. On November 2, 2015, the President ADDRESSES: You may submit comments 12866 and 13563) signed the Federal Civil Penalties by any of the following methods: B. Regulatory Flexibility Act • Federal eRulemaking Portal: http:// Inflation Adjustment Act Improvements C. Small Business Regulatory Enforcement Act of 2015 (Sec. 701 of Public Law www.regulations.gov. Search for Docket Fairness Act No. OSM–2016–0008 and follow the D. Unfunded Mandates Reform Act 114–74) (‘‘the Act’’) into law. The Act online instructions for submitting E. Takings (E.O. 12630) requires that Federal agencies comments. F. Federalism (E.O. 13132) promulgate rules to adjust the level of • Mail, Hand Delivery, or Courier: G. Civil Justice Reform (E.O. 12988) civil monetary penalties (‘‘CMPs’’) to Office of Surface Mining Reclamation H. Consultation with Indian Tribes (E.O. account for inflation. The Act requires and Enforcement, Administrative 13175 and Departmental Policy) I. Paperwork Reduction Act agencies to enact an initial ‘‘catch-up’’ Record, Room 252 SIB, 1951 J. National Environmental Policy Act adjustment by August 1, 2016. The Act Constitution Avenue NW., Washington, K. Effects on Energy Supply, Distribution, also authorizes agencies to make DC 20240. Please include the Docket ID: and Use (E.O. 13211) subsequent annual adjustments to civil OSM–2016–0008. L. Clarity of this Regulation monetary penalties to account for FOR FURTHER INFORMATION CONTACT: M. Data Quality Act inflation. These adjustments are aimed N. Administrative Procedure Act Adrienne Alsop, Office of Surface at maintaining the deterrent effect of Mining Reclamation and Enforcement, I. Background civil penalties and furthering the policy South Interior Building MS–203, 1951 A. The Federal Civil Penalties Inflation goals of the statutes which authorize Constitution Avenue NW., Washington, them. DC 20240; Telephone (202) 208–2818. Adjustment Act Improvements Act of 2015 Pursuant to SMCRA, this rule adjusts SUPPLEMENTARY INFORMATION: Section 518 of SMCRA, 30 U.S.C. the following civil penalties: Table of Contents 1268, authorizes the Secretary of the I. Background Interior to assess civil monetary
Current Adjusted CFR Citation Points penalty penalty ($) ($)
30 CFR 723.14 ...... 1 ...... 32 63 2 ...... 74 127 3 ...... 96 190 3 ...... 108 253 5 ...... 210 316 6 ...... 232 380 7 ...... 254 443 8 ...... 276 506 9 ...... 298 569 10 ...... 320 633 11 ...... 342 696 12 ...... 364 759 13 ...... 486 822 14 ...... 508 886 15 ...... 530 949 16 ...... 552 1,012 17 ...... 574 1,075 18 ...... 596 1,139 19 ...... 718 1,202 20 ...... 740 1,265 21 ...... 762 1,328 22 ...... 784 1,392 23 ...... 806 1,455 24 ...... 828 1,518 25 ...... 850 1,581 26 ...... 960 1,898 27 ...... 1,070 2,214 28 ...... 1,080 2,530 29 ...... 1,090 2,725 30 ...... 2,100 3,163 31 ...... 2,210 3,479 32 ...... 2,320 3,795 33 ...... 2,430 4,112 34 ...... 2,540 4,428 35 ...... 2,650 4,744
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Current Adjusted CFR Citation Points penalty penalty ($) ($)
36 ...... 2,760 5,060 37 ...... 2,870 5,377 38 ...... 2,980 5,693 39 ...... 3,090 6,009 40 ...... 3,200 6,325 41 ...... 3,310 6,642 42 ...... 3,420 6,958 43 ...... 3,530 7,274 44 ...... 3,640 7,591 45 ...... 4,750 7,907 46 ...... 4,860 8,223 47 ...... 4,970 8,539 48 ...... 5,080 8,856 49 ...... 5,190 9,172 50 ...... 5,300 9,488 51 ...... 5,410 9,804 52 ...... 5,520 10,121 53 ...... 5,630 10,437 54 ...... 5,740 10,753 55 ...... 5,850 11,070 56 ...... 5,960 11,386 57 ...... 7,070 11,702 58 ...... 7,180 12,018 59 ...... 7,290 12,335 60 ...... 7,400 12,651 61 ...... 7,510 12,967 62 ...... 7,620 13,284 63 ...... 7,730 13,600 64 ...... 7,840 13,916 65 ...... 7,950 14,232 66 ...... 8,060 14,549 67 ...... 8,170 14,865 68 ...... 8,280 15,181 69 ...... 8,390 15,497 70 ...... 8,500 15,814 30 CFR 723.15(b) (Assessment of separate violations for each day) ...... Maximum ...... 1,025 2,372 30 CFR 724.14(b) (Individual) ...... Maximum ...... 8,500 17,395 30 CFR 845.14 ...... 1 ...... 32 63 2 ...... 74 127 3 ...... 96 190 3 ...... 108 253 5 ...... 210 316 6 ...... 232 380 7 ...... 254 443 8 ...... 276 506 9 ...... 298 569 10 ...... 320 633 11 ...... 342 696 12 ...... 364 759 13 ...... 486 822 14 ...... 508 886 15 ...... 530 949 16 ...... 552 1,012 17 ...... 574 1,075 18 ...... 596 1,139 19 ...... 718 1,202 20 ...... 740 1,265 21 ...... 762 1,328 22 ...... 784 1,392 23 ...... 806 1,455 24 ...... 828 1,518 25 ...... 850 1,581 26 ...... 960 1,898 27 ...... 1,070 2,214 28 ...... 1,080 2,530 29 ...... 1,090 2,725 30 ...... 2,100 3,163 31 ...... 2,210 3,479 32 ...... 2,320 3,795 33 ...... 2,430 4,112 34 ...... 2,540 4,428 35 ...... 2,650 4,744
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Current Adjusted CFR Citation Points penalty penalty ($) ($)
36 ...... 2,760 5,060 37 ...... 2,870 5,377 38 ...... 2,980 5,693 39 ...... 3,090 6,009 40 ...... 3,200 6,325 41 ...... 3,310 6,642 42 ...... 3,420 6,958 43 ...... 3,530 7,274 44 ...... 3,640 7,591 45 ...... 4,750 7,907 46 ...... 4,860 8,223 47 ...... 4,970 8,539 48 ...... 5,080 8,856 49 ...... 5,190 9,172 50 ...... 5,300 9,488 51 ...... 5,410 9,804 52 ...... 5,520 10,121 53 ...... 5,630 10,437 54 ...... 5,740 10,753 55 ...... 5,850 11,070 56 ...... 5,960 11,386 57 ...... 7,070 11,702 58 ...... 7,180 12,018 59 ...... 7,290 12,335 60 ...... 7,400 12,651 61 ...... 7,510 12,967 62 ...... 7,620 13,284 63 ...... 7,730 13,600 64 ...... 7,840 13,916 65 ...... 7,950 14,232 66 ...... 8,060 14,549 67 ...... 8,170 14,865 68 ...... 8,280 15,181 69 ...... 8,390 15,497 70 ...... 8,500 15,814 30 CFR 845.15(b) (Assessment of separate violations for each day) ...... Maximum ...... 1,025 2,372 30 CFR 846.14(b) (Individual) ...... Maximum ...... 8,500 17,395
B. Calculation of Adjustments calendar year of the previous the penalties were first published in the The Office of Management and Budget adjustment (or in the year of Federal Register in 1979, in computing (OMB) issued guidance on calculating establishment, if no adjustment has the new civil penalty amounts for the catch-up adjustment. See February been made) and the October 2015 CPI– violations of SMCRA, OSMRE used the 24, 2016, Memorandum for the Heads of U. OSMRE used this guidance to adjustment factor for 1979 provided in Executive Departments and Agencies, identify applicable civil monetary OMB’s guidance. This resulted in a from Shaun Donovan, Director, Office of penalties and calculate the required multiplying factor of 3.16274. The Management and Budget, re: catch-up adjustments. statutory maximum civil penalty Implementation of the Federal Civil Generally, OSMRE assigns points to a amount (e.g., $5,000) was multiplied by × Penalties Inflation Adjustment Act violation as described in 30 CFR 723.13 the multiplying factor (e.g., $5,000 Improvements Act of 2015. and 845.13. The CMP owed is based on 3.16274 = $15,813.70). The Act requires The OMB guidance defines ‘‘civil the number of points received, ranging that the maximum civil penalty amount monetary penalty’’ as ‘‘any assessment from one point to seventy points. For be rounded to the nearest $1.00 at the with a dollar amount that is levied for 2016, the Act requires that OSMRE end of the calculation process (e.g., a violation of a Federal civil statute or adjust the civil penalty amounts for $15,814). OSMRE’s calculated increases regulation, and is assessed or violations of SMCRA and provides the do not exceed 150 percent of the enforceable through a civil action in adjustment timing. The Act instructs maximum civil penalty amount as of Federal court or an administrative OSMRE to use the maximum civil November 2, 2015, and thus, they proceeding.’’ It further instructs that a penalty amount as last adjusted by a comply with the Act. Also, pursuant to civil monetary penalty ‘‘does not provision of law other than the Federal the Act, these increases apply to civil include a penalty levied for violation of Civil Penalties Inflation Adjustment Act penalties assessed after the date they a criminal statute, or fees for services, of 1990 (Public Law 104–410) (FCPIA of take effect, even if the associated licenses, permits, or other regulatory 1990) when calculating the 2016 civil violation predates such increase. reviews.’’ The guidance also specifies penalty adjustment. The maximum civil C. Effect of Rule in Federal Program that agencies should calculate the catch- penalty amounts for violations of States and on Indian Lands up adjustment by determining the SMCRA have not been adjusted by a percent change between the Consumer provision of law other than the FCPIA OSMRE directly regulates surface coal Price Index for all Urban Consumers of 1990 since the penalties were mining and reclamation activities (CPI–U) for the month of October in the established in SMCRA in 1977. Because within a State or on tribal lands if the
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State or tribe does not adopt its own regulatory flexibility analysis for all G. Civil Justice Reform (E.O. 12988) program pursuant to section 503 of rules unless the agency certifies that the This rule complies with the SMCRA. The increase in civil monetary rule will not have a significant requirements of Executive Order 12988. penalties contained in this rule will economic impact on a substantial Specifically, this rule: apply to the following Federal program number of small entities. The RFA (a) Meets the criteria of section 3(a) states: Arizona, California, Georgia, applies only to rules for which an requiring that all regulations be Idaho, Massachusetts, Michigan, North agency is required to first publish a reviewed to eliminate errors and Carolina, Oregon, Rhode Island, South proposed rule. See 5 U.S.C. 603(a) and ambiguity and be written to minimize Dakota, Tennessee, and Washington. 604(a). The Federal Civil Penalties litigation; and The Federal programs for those States Inflation Adjustment Act Improvements (b) Meets the criteria of section 3(b)(2) appear at 30 CFR parts 903, 905, 910, Act of 2015 requires agencies to adjust requiring that all regulations be written 912, 921, 922, 933, 937, 939, 941, 942, civil penalties with an initial ‘‘catch- in clear language and contain clear legal and 947, respectively. The increase in up’’ adjustment through an interim final standards. civil monetary penalties also applies to rule. An interim final rule does not Indian lands under the Federal program include first publishing a proposed rule. H. Consultation With Indian Tribes for Indian lands, which appears in 30 Thus, the RFA does not apply to this (E.O. 13175 and Departmental Policy) CFR 750.18. rulemaking. The Department of the Interior strives D. Effect of the Rule on Approved State to strengthen its government-to- C. Small Business Regulatory Programs government relationship with Indian Enforcement Fairness Act tribes through a commitment to State regulatory programs are not consultation with Indian tribes and required to mirror all of the penalty This rule is not a major rule under 5 recognition of their right to self- provisions of our regulations. In re U.S.C. 804(2), the Small Business governance and tribal sovereignty. We Permanent Surface Mining Regulation Regulatory Enforcement Fairness Act. have evaluated this rule under the Litigation, No. 79–1144, Mem. Op. This rule: Department’s consultation policy and (D.D.C. May 16, 1980), 19 Env’t Rep. (a) Does not have an annual effect on under the criteria in Executive Order Cas. (BNA) 1477. Thus, this rule has no the economy of $100 million or more. 13175 and have determined that it has effect on CMPs in states with SMCRA (b) Will not cause a major increase in no substantial direct effects on federally primacy. costs or prices for consumers, recognized Indian tribes and that II. Procedural Matters and Required individual industries, Federal, State, or consultation under the Department’s Determinations local government agencies, or tribal consultation policy is not required. A. Regulatory Planning and Review geographic regions. (E.O. 12866 and 13563) (c) Does not have significant adverse I. Paperwork Reduction Act effects on competition, employment, Executive Order 12866 provides that This rule does not contain investment, productivity, innovation, or the Office of Information and Regulatory information collection requirements, the ability of U.S.-based enterprises to Affairs in the Office of Management and and a submission to the Office of Budget will review all significant rules. compete with foreign-based enterprises. Management and Budget under the The Office of Information and D. Unfunded Mandates Reform Act Paperwork Reduction Act (44 U.S.C. Regulatory Affairs has determined that 3501 et seq.) is not required. We may this rule is not significant. This rule does not impose an not conduct or sponsor, and you are not Executive Order 13563 reaffirms the unfunded mandate on State, local, or required to respond to, a collection of principles of E.O. 12866 while calling tribal governments, or the private sector information unless it displays a for improvements in the nation’s of more than $100 million per year. The currently valid OMB control number. regulatory system to promote rule does not have a significant or J. National Environmental Policy Act predictability, to reduce uncertainty, unique effect on State, local, or tribal and to use the best, most innovative, governments or the private sector. A This rule does not constitute a major and least burdensome tools for statement containing the information Federal action significantly affecting the achieving regulatory ends. The required by the Unfunded Mandates quality of the human environment. A executive order directs agencies to Reform Act (2 U.S.C. 1531 et seq.) is not detailed statement under the National consider regulatory approaches that required. Environmental Policy Act of 1969 reduce burdens and maintain flexibility (NEPA) is not required because the rule and freedom of choice for the public E. Takings (E.O. 12630) is covered by a categorical exclusion. where these approaches are relevant, This rule does not effect a taking of This rule is excluded from the feasible, and consistent with regulatory private property or otherwise have requirement to prepare a detailed statement because it is a regulation of an objectives. E.O. 13563 emphasizes taking implications under Executive administrative nature. (For further further that regulations must be based Order 12630. A takings implication on the best available science and that information see 43 CFR 46.210(i).) We assessment is not required. the rulemaking process must allow for have also determined that the rule does public participation and an open F. Federalism (E.O. 13132) not involve any of the extraordinary exchange of ideas. We have developed circumstances listed in 43 CFR 46.215 this rule in a manner consistent with Under the criteria in section 1 of that would require further analysis these requirements, to the extent Executive Order 13132, this rule does under NEPA. permitted by statute. not have sufficient federalism implications to warrant the preparation K. Effects on Energy Supply, B. Regulatory Flexibility Act of a federalism summary impact Distribution, and Use (E.O. 13211) The Regulatory Flexibility Act (FRA) statement. A federalism summary This rule is not a significant energy requires an agency to prepare a impact statement is not required. action under the definition in Executive
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Order 13211. A Statement of Energy Act, which requires agencies to publish Points Dollars Effects is not required. an interim final rule and to update the civil penalty amounts by applying a 1 ...... 63 L. Clarity of This Regulation specified formula. OSMRE has no 2 ...... 127 We are required by Executive Orders discretion to vary the amount of the 3 ...... 190 12866 (section 1 (b)(12)), 12988 (section 4 ...... 253 adjustment to reflect any views or 5 ...... 316 3(b)(1)(B)), and 13563 (section 1(a)), and suggestions provided by commenters. 6 ...... 380 by the Presidential Memorandum of Accordingly, it would serve no purpose 7 ...... 443 June 1, 1998, to write all rules in plain to provide an opportunity for pre- 8 ...... 506 language. This means that each rule we promulgation public comment on this 9 ...... 569 publish must: rule. Thus, OSMRE finds pre- 10 ...... 633 (a) Be logically organized; promulgation notice and public 11 ...... 696 (b) Use the active voice to address comment to be impracticable and 12 ...... 759 13 ...... 822 readers directly; unnecessary. (c) Use common, everyday words and 14 ...... 886 Also, OSMRE finds that there is good 15 ...... 949 clear language rather than jargon; cause for publishing this rule less than 16 ...... 1,012 (d) Be divided into short sections and thirty days before its effective date, 17 ...... 1,075 sentences; and since the Act requires agencies to 18 ...... 1,139 (e) Use lists and tables wherever publish interim final rules with an 19 ...... 1,202 possible. 20 ...... 1,265 effective date no later than August 1, If you believe that we have not met 21 ...... 1,328 2016. 5 U.S.C. 553(d). OSMRE has no these requirements, send us comments 22 ...... 1,392 discretion to provide for an effective by one of the methods listed in the 23 ...... 1,455 date that is later than August 1, 2016. 24 ...... 1,518 ADDRESSES section. To better help us 25 ...... 1,581 revise the rule, your comments should List of Subjects 26 ...... 1,898 be as specific as possible. For example, 30 CFR Part 723 27 ...... 2,214 you should tell us the numbers of the 28 ...... 2,530 sections or paragraphs that you find Administrative practice and 29 ...... 2,725 unclear, which sections or sentences are procedure, Penalties, Surface mining, 30 ...... 3,163 too long, the sections where you feel Underground mining. 31 ...... 3,479 lists or tables would be useful, etc. 32 ...... 3,795 30 CFR Part 724 33 ...... 4,112 M. Data Quality Act 34 ...... 4,428 Administrative practice and 35 ...... 4,744 In developing this rule, we did not procedure, Penalties, Surface mining, 36 ...... 5,060 conduct or use a study, experiment, or Underground mining. 37 ...... 5,377 survey requiring peer review under the 38 ...... 5,693 Data Quality Act (Pub. L. 106–554). 30 CFR Part 845 39 ...... 6,009 40 ...... 6,325 N. Administrative Procedure Act Administrative practice and procedure, Law enforcement, Penalties, 41 ...... 6,642 The Federal Civil Penalties Inflation Reporting and recordkeeping 42 ...... 6,958 Adjustment Act Improvements Act of 43 ...... 7,274 requirements, Surface mining, 44 ...... 7,591 2015 requires agencies to publish Underground mining. interim final rules by July 1, 2016, with 45 ...... 7,907 30 CFR Part 846 46 ...... 8,223 an effective date for the adjusted 47 ...... 8,539 penalties no later than August 1, 2016. Administrative practice and 48 ...... 8,856 To comply with the Act, we are issuing procedure, Penalties, Surface mining, 49 ...... 9,172 these regulations as an interim final rule Underground mining. 50 ...... 9,488 and are requesting comments post- 51 ...... 9,804 promulgation. Section 553(b) of the Dated: June 29, 2016. 52 ...... 10,121 Administrative Procedure Act (APA) Janice M. Schneider, 53 ...... 10,437 provides that, when an agency for good Assistant Secretary, Land and Minerals 54 ...... 10,753 Management. 55 ...... 11,070 cause finds that ‘‘notice and public 56 ...... 11,386 procedure . . . are impracticable, For the reasons given in the preamble, 57 ...... 11,702 unnecessary, or contrary to the public the Department of the Interior amends 58 ...... 12,018 interest,’’ the agency may issue a rule 30 CFR parts 723, 724, 845, and 846 as 59 ...... 12,335 without providing notice and an set forth below. 60 ...... 12,651 opportunity for prior public comment. 5 61 ...... 12,967 U.S.C. 553(b). PART 723—CIVIL PENALTIES 62 ...... 13,284 OSMRE finds that there is good cause 63 ...... 13,600 ■ 64 ...... 13,916 to promulgate this rule without first 1. The authority citation for Part 723 is amended to read as follows: 65 ...... 14,232 providing for public comment. It would 66 ...... 14,549 not be practicable to meet the deadlines Authority: 28 U.S.C. 2461, 30 U.S.C. 1201 67 ...... 14,865 imposed by the Act if we were to first et seq., and 31 U.S.C. 3701. 68 ...... 15,181 publish a proposed rule, allow the ■ 2. Section 723.14 is amended by 69 ...... 15,497 public sufficient time to submit revising the table to read as follows: 70 ...... 15,814 comments, analyze the comments, and publish a final rule. Also, OSMRE is § 723.14 Determination of amount of ■ 3. Section 723.15 is amended by promulgating this final rule to penalty. revising paragraph (b) introductory text implement the statutory directive in the * * * * * to read as follows:
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§ 723.15 Assessment of separate Points Dollars PART 846—CIVIL PENALTIES violations for each day. * * * * * 23 ...... 1,455 ■ 9. The authority citation for part 846 (b) In addition to the civil penalty 24 ...... 1,518 continues to read as follows: provided for in paragraph (a) of this 25 ...... 1,581 Authority: 28 U.S.C. 2461, 30 U.S.C. 1201 section, whenever a violation contained 26 ...... 1,898 et seq., and 31 U.S.C. 3701. 27 ...... 2,214 in a notice of violation or cessation ■ 10. Section 846.14 is amended by order has not been abated within the 28 ...... 2,530 29 ...... 2,725 revising the first sentence of paragraph abatement period set in the notice or 30 ...... 3,163 (b) to read as follows: order or as subsequently extended 31 ...... 3,479 pursuant to section 521(a) of the Act, 30 32 ...... 3,795 § 846.14 Amount of individual civil penalty. U.S.C. 1271(a), a civil penalty of not less 33 ...... 4,112 * * * * * than $2,372 will be assessed for each 34 ...... 4,428 (b) The penalty will not exceed day during which such failure to abate 35 ...... 4,744 $17,395 for each violation. * * * continues, except that: 36 ...... 5,060 [FR Doc. 2016–16190 Filed 7–7–16; 8:45 am] 37 ...... 5,377 * * * * * BILLING CODE 4310–05–P 38 ...... 5,693 PART 724—INDIVIDUAL CIVIL 39 ...... 6,009 PENALTIES 40 ...... 6,325 41 ...... 6,642 DEPARTMENT OF HOMELAND ■ 4. The authority citation for part 724 42 ...... 6,958 SECURITY continues to read as follows: 43 ...... 7,274 44 ...... 7,591 Coast Guard Authority: 28 U.S.C. 2461, 30 U.S.C. 1201 45 ...... 7,907 et seq., and 31 U.S.C. 3701. 46 ...... 8,223 33 CFR Part 117 ■ 47 ...... 8,539 5. Section 724.14 is amended by [Docket No. USCG–2016–0633] revising the first sentence of paragraph 48 ...... 8,856 (b) to read as follows: 49 ...... 9,172 Drawbridge Operation Regulation; 50 ...... 9,488 Housatonic River, Stratford, CT § 724.14 Amount of individual civil penalty. 51 ...... 9,804 * * * * * 52 ...... 10,121 AGENCY: Coast Guard, DHS. 53 ...... 10,437 (b) The penalty will not exceed ACTION: Notice of deviation from 54 ...... 10,753 $17,395 for each violation. * * * drawbridge regulation. 55 ...... 11,070 PART 845—CIVIL PENALTIES 56 ...... 11,386 SUMMARY: The Coast Guard has issued a 57 ...... 11,702 temporary deviation from the operating ■ 6. The authority citation for part 845 58 ...... 12,018 schedule that governs the Metro-North continues to read as follows: 59 ...... 12,335 60 ...... 12,651 Devon Bridge across the Housatonic Authority: 28 U.S.C. 2461, 30 U.S.C. 1201 61 ...... 12,967 River, mile 3.9, at Stratford, et seq., 31 U.S.C. 3701, Pub. L. 100–202, and 62 ...... 13,284 Connecticut. This deviation is necessary Pub. L. 100–446. 63 ...... 13,600 to allow the bridge owner to perform ■ 7. Section 845.14 is amended by 64 ...... 13,916 timber ties replacement and steel repairs revising the table to read as follows: 65 ...... 14,232 at the bridge. 66 ...... 14,549 DATES: This deviation is effective from § 845.14 Determination of amount of 67 ...... 14,865 8 a.m. on September 6, 2016 to 8 a.m. penalty. 68 ...... 15,181 on September 19, 2016. * * * * * 69 ...... 15,497 70 ...... 15,814 ADDRESSES: The docket for this deviation, [USCG–2016–0633] is Points Dollars available at http://www.regulations.gov. ■ 1 ...... 63 8. Section 845.15 is amended by Type the docket number in the 2 ...... 127 revising paragraph (b) introductory text ‘‘SEARCH’’ box and click ‘‘SEARCH’’. 3 ...... 190 to read as follows: Click on Open Docket Folder on the line 4 ...... 253 associated with this deviation. 5 ...... 316 § 845.15 Assessment of separate violations for each day. FOR FURTHER INFORMATION CONTACT: If 6 ...... 380 you have questions on this temporary 7 ...... 443 * * * * * deviation, call or email Judy Leung-Yee, 8 ...... 506 (b) In addition to the civil penalty 9 ...... 569 Project Officer, First Coast Guard 10 ...... 633 provided for in paragraph (a) of this District, telephone (212) 514–4330, 11 ...... 696 section, whenever a violation contained email [email protected]. 12 ...... 759 in a notice of violation or cessation SUPPLEMENTARY INFORMATION: The 13 ...... 822 order has not been abated within the Metro-North Devon Bridge, mile 3.9, 14 ...... 886 abatement period set in the notice or across the Housatonic River, has a 15 ...... 949 order or as subsequently extended vertical clearance in the closed position 16 ...... 1,012 pursuant to section 521(a) of the Act, a 17 ...... 1,075 of 19 feet at mean high water and 25 feet civil penalty of not less than $2,372 will at mean low water. The existing bridge 18 ...... 1,139 be assessed for each day during which 19 ...... 1,202 operating regulations are found at 33 20 ...... 1,265 such failure to abate continues, except CFR 117.207(b). 21 ...... 1,328 that: The waterway is transited by seasonal 22 ...... 1,392 * * * * * recreational vessels.
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The bridge owner, Connecticut ACTION: Final rule. A. Sierra Club General Comments on Department of Transportation, requested Emission Limitations a temporary deviation from the normal SUMMARY: The Environmental Protection 1. The Plain Language of the CAA operating schedule to perform timber Agency (EPA) is approving elements of 2. The Legislative History of the CAA State Implementation Plan (SIP) 3. Case Law ties replacement and steel repairs at the 4. EPA Regulations, Such as 40 CFR bridge. submissions from New Hampshire regarding the infrastructure 51.112(a) Under this temporary deviation, the 5. EPA Interpretations in Other Metro-North Devon Bridge will operate requirements of the Clean Air Act (CAA Rulemakings according to the schedule below: or Act) for the 2010 sulfur dioxide B. Sierra Club Comments on New a. From 8 a.m. on September 6, 2016 National Ambient Air Quality Standards Hampshire SIP SO2 Emission Limits through 4 a.m. on September 9, 2016, (NAAQS). EPA is also updating the III. Final Action the bridge will not open to marine classification for two of New IV. Statutory and Executive Order Reviews traffic. Hampshire’s air quality control regions I. Summary of SIP Revision for sulfur dioxide based on recent air b. From 4 a.m. on September 9, 2016 On June 22, 2010 (75 FR 35520), EPA through 8 a.m. on September 12, 2016, quality monitoring data collected by the state. Last, we are conditionally promulgated a revised NAAQS for the the bridge will open fully on signal 1-hour primary SO at a level of 75 parts upon 24 hr advance notice. approving certain elements of New 2 Hampshire’s submittal relating to per billion (ppb), based on a 3-year c. From 8 a.m. on September 12, 2016 average of the annual 99th percentile of through 4 a.m. on September 16, 2016, prevention of significant deterioration requirements. 1-hour daily maximum concentrations. the bridge will not open to marine Pursuant to section 110(a)(1) of the traffic. The infrastructure requirements are designed to ensure that the structural CAA, states are required to submit SIPs d. From 4 a.m. on September 16, 2016 meeting the applicable requirements of through 8 a.m. on September 19, 2016, components of each state’s air quality management program are adequate to section 110(a)(2) within three years after the bridge will open fully on signal promulgation of a new or revised upon 24 hr advance notice. meet the state’s responsibilities under the CAA. NAAQS or within such shorter period Vessels able to pass under the bridge as EPA may prescribe. in the closed position may do so at DATES: This final rule is effective on August 8, 2016. On September 13, 2013, the New anytime. The bridge will not be able to Hampshire Department of ADDRESSES: EPA has established a open for emergencies and there is no Environmental Services (NH DES) docket for this action under Docket ID immediate alternate route for vessels to submitted a SIP revision addressing Number EPA–R01–OAR–2012–0950. All pass. infrastructure elements specified in documents in the docket are listed in The Coast Guard will inform the users section 110(a)(2) of the CAA to the www.regulations.gov Web site. of the waterways through our Local implement, maintain, and enforce the Although listed in the electronic docket, Notice and Broadcast to Mariners of the 2010 sulfur dioxide NAAQS. On July some information is not publicly change in operating schedule for the 17, 2015 (80 FR 42446), EPA published available, i.e., confidential business bridge so that vessel operations can a notice of proposed rulemaking (NPR) information (CBI) or other information arrange their transits to minimize any for the State of New Hampshire whose disclosure is restricted by statute. impact caused by the temporary proposing approval of New Hampshire’s Certain other material, such as deviation. submittal. In the NPR, EPA proposed copyrighted material, is not placed on In accordance with 33 CFR 117.35(e), approval of the following infrastructure the Internet and will be publicly the drawbridge must return to its regular elements: Section 110(a)(2)(A), (B), (C) available only in hard copy form. operating schedule immediately at the (enforcement and minor new source Publicly available docket materials are end of the effective period of this review), (D)(i)(II) (Visibility Protection), available at http://www.regulations.gov temporary deviation. This deviation (D)(ii) (International Pollution or at the U.S. Environmental Protection from the operating regulations is Abatement), (E)(i) and (ii), (F), (G), (H), Agency, EPA New England Regional authorized under 33 CFR 117.35. (J) (consultation, public notification, Office, Office of Ecosystem Protection, Dated: July 5, 2016. and visibility protection), (K), (L), and Air Quality Planning Unit, 5 Post Office (M), or portions thereof. EPA also C.J. Bisignano, Square, Suite 100, Boston, MA. EPA proposed to approve the PSD program Supervisory Bridge Management Specialist, requests that if at all possible, you First Coast Guard District. relating to infrastructure elements contact the contact listed in the FOR (C)(ii), D(i)(II), D(ii), and (J)(iii), except [FR Doc. 2016–16187 Filed 7–7–16; 8:45 am] FURTHER INFORMATION CONTACT section to to conditionally approve the aspect of BILLING CODE 9110–04–P schedule your inspection. The Regional the PSD program relating to notification Office’s official hours of business are to neighboring states. Within the same Monday through Friday, 8:30 a.m. to NPR, EPA also proposed taking similar ENVIRONMENTAL PROTECTION 4:30 p.m., excluding legal holidays. AGENCY action on New Hampshire’s FOR FURTHER INFORMATION CONTACT: infrastructure SIP submittals for the Donald Dahl, (617) 918–1657, or by 40 CFR Part 52 2008 lead, 2008 ozone, and the 2010 email at [email protected]. nitrogen dioxide standards. EPA has [EPA–R01–OAR–2012–0950; FRL–9948–58– SUPPLEMENTARY INFORMATION: already finalized its action on the Region 1] Throughout this document whenever infrastructure SIPs for the 2008 lead, ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean Air Plan Approval; New Hampshire; 2008 ozone, and the 2010 nitrogen EPA. Infrastructure Requirements for the dioxide standards (80 FR 78139, Organization of this document. The December 16, 2015). 2010 Sulfur Dioxide National Ambient following outline is provided to aid in Air Quality Standards In New Hampshire’s September 13, locating information in this preamble. 2013 infrastructure SIP for the SO2 AGENCY: Environmental Protection I. Summary of SIP Revision NAAQS, the state did not submit Agency (EPA). II. Public Comments section 110(a)(2)(I) which pertains to the
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nonattainment requirements of part D, carry out through SIPs such as ‘‘attainment’’ of the NAAQS and section Title I of the CAA, since this element is infrastructure SIPs required by section 110(a)(2)(B) specified that the plan must not required to be submitted by the 110(a)(2). The Commenter also states include ‘‘emission limitations, 3-year submission deadline of section that on its face the CAA requires schedules, and timetables for 110(a)(1), and will be addressed in a infrastructure SIPs ‘‘to prevent compliance with such limitations, and separate process. This rulemaking exceedances of the NAAQS.’’ In such other measures as may be action also does not include action on support, the Commenter quotes the necessary to insure attainment and section 110(a)(2)(D)(i)(I) of the CAA, language in section 110(a)(1), which maintenance [of the NAAQS].’’ because New Hampshire’s September requires states to adopt a plan for In 1977, Congress recognized that the 13, 2013 infrastructure SIP submittal implementation, maintenance, and existing structure was not sufficient and did not include provisions for this enforcement of the NAAQS, and the many areas were still violating the element. EPA will take later, separate language in section 110(a)(2)(A), which NAAQS. At that time, Congress for the action on section 110(a)(2)(D)(i)(I) for requires SIPs to include enforceable first time added provisions requiring the 2010 SO2 NAAQS for New emissions limitations as may be states and EPA to identify whether areas Hampshire. necessary to meet the requirements of of a state were violating the NAAQS The rationale supporting EPA’s the CAA, which the Commenter claims (i.e., were nonattainment) or were proposed rulemaking action, including includes attainment and maintenance of meeting the NAAQS (i.e., were the scope of infrastructure SIPs in the NAAQS. The Commenter also notes attainment) and established specific general, is explained in the published the use of the word ‘‘attain’’ in section planning requirements in section 172 NPR. The NPR is available in the docket 110(a)(2)(H)(ii) and suggests this is for areas not meeting the NAAQS. In for this rulemaking at further evidence that the emission limits 1990, many areas still had air quality www.regulations.gov, Docket ID Number provided for in section 110(a)(2)(A) not meeting the NAAQS and Congress EPA–R01–OAR–2012–0950. must ensure attainment of the NAAQS. again amended the CAA and added yet Response 1: EPA disagrees that another layer of more prescriptive II. Public Comments and EPA’s section 110 is clear on its face and must planning requirements for each of the Responses be interpreted in the manner suggested NAAQS. At that same time, Congress EPA received comments from the by the Commenter. As we have modified section 110 to remove Sierra Club on the August 17, 2015 previously explained in response to the references to the section 110 SIP proposed rulemaking action on New Commenter’s similar comments on providing for attainment, including Hampshire’s 2010 SO2 infrastructure EPA’s actions approving other states’ removing pre-existing section SIP. A full set of these comments is infrastructure SIPs, section 110 is only 110(a)(2)(A) in its entirety and provided in the docket for this final one provision that is part of the renumbering subparagraph (B) as rulemaking action. complicated structure governing section 110(a)(2)(A). Additionally, implementation of the NAAQS program Congress replaced the clause ‘‘as may be A. Sierra Club General Comments on under the CAA, as amended in 1990, necessary to insure attainment and Emission Limitations and it must be interpreted in the context maintenance [of the NAAQS]’’ with ‘‘as 1. The Plain Language of the CAA of not only that structure, but also of the may be necessary or appropriate to meet historical evolution of that structure.1 the applicable requirements of this Comment 1: Sierra Club (hereafter EPA interprets infrastructure SIPs as chapter.’’ 2 Thus, the CAA has referred to as Commenter) contends that more general planning SIPs, consistent significantly evolved in the more than the plain language of section with the CAA as understood in light of 40 years since it was originally enacted. 110(a)(2)(A) of the CAA, legislative its history and structure. When Congress While at one time section 110 of the history of the CAA, case law, EPA enacted the CAA in 1970, it did not CAA did provide the only detailed SIP regulations such as 40 CFR 51.112(a), include provisions requiring states and planning provisions for states and and EPA interpretations in prior the EPA to label areas as attainment or specified that such plans must provide rulemakings require that infrastructure nonattainment. Rather, states were for attainment of the NAAQS, under the SIPs include enforceable emission limits required to include all areas of the state structure of the current CAA, section that ensure attainment and maintenance in ‘‘air quality control regions’’ (AQCRs) 110 is only the initial stepping-stone in of the NAAQS. Accordingly, and section 110 set forth the core the planning process for a specific Commenter contends that any substantive planning provisions for NAAQS. More detailed, later-enacted infrastructure SIP where emission limits these AQCRs. At that time, Congress are inadequate to prevent exceedances anticipated that states would be able to 2 The Commenter misses the mark by citing the of the NAAQS must be disapproved. address air pollution quickly pursuant word ‘‘attain’’ in CAA section 110(a)(2)(H) as The Commenter states the main to the very general planning provisions evidence that the emission limits submitted to satisfy the infrastructure requirements of objective of the infrastructure SIP in section 110 and could bring all areas 110(a)(2)(A) must ensure attainment of the NAAQS. process ‘‘is to ensure that all areas of the into compliance with a new NAAQS That portion of section 110(a)(2)(H) is referencing country meet the NAAQS’’ and states within five years. Moreover, at that CAA section 110(k)(5)—the ‘‘SIP call’’ process— that nonattainment areas are addressed time, section 110(a)(2)(A)(i) specified which allows the Administrator to make a finding of substantial inadequacy with respect to a SIP. As through ‘‘nonattainment SIPs.’’ The that the section 110 plan provide for discussed at proposal, the existence of section Commenter asserts the NAAQS ‘‘are the 110(k)(5) bolster’s the reasonableness of EPA’s foundation upon which air emissions 1 See 80 FR 46494 (Aug. 5, 2015) (approving approach to infrastructure SIP requirements, which limitations and standards for the entire Pennsylvania SO2 and ozone infrastructure SIP); 80 is based on a reasonable reading of sections FR 11557 (Mar. 4, 2015) (approving Virginia SO2 110(a)(1) and 110(a)(2). Section 110(k)(5) is one of country are set,’’ including specific infrastructure SIP); 79 FR 62022 (Oct. 16, 2014) the avenues and mechanisms Congress provided to emission limitations for most large (approving West Virginia SO2 infrastructure SIP); 79 address specific substantive deficiencies in existing stationary sources, such as coal-fired FR 19001 (Apr. 7, 2014) (approving West Virginia SIPs. The SIP call process allows EPA to take power plants. The Commenter discusses ozone infrastructure SIP); 79 FR 17043 (Mar. 27, appropriately tailored action, depending upon the 2014) (approving Virginia ozone infrastructure SIP); nature and severity of the alleged SIP deficiency. the CAA’s framework whereby states and 80 FR 63436 (Oct. 20, 2015) (approving Section 110(a)(2)(H)(ii) ensures that the relevant have primary responsibility to assure air Minnesota ozone, NO2, SO2, and PM2.5 state agency has the authority to revise the SIP in quality within the state, which the states infrastructure SIP). response to a SIP call.
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provisions govern the substantive maintenance of the NAAQS in all areas Commenter also quotes several planning process, including planning of the state. The Commenter also additional opinions in this vein, for attainment of the NAAQS. contends that the legislative history of including Montana Sulphur & Chemical Thus, section 110 of the CAA is only the CAA supports the interpretation that Co. v. EPA, 666 F.3d 1174, 1180 (9th one provision of the complicated overall infrastructure SIPs under section Cir. 2012) (‘‘The Clean Air Act directs structure governing implementation of 110(a)(2) must include enforceable states to develop implementation the NAAQS program under the CAA, as emission limitations, citing the Senate plans—SIPs—that ‘assure’ attainment amended in 1990, and must be Committee Report and the subsequent and maintenance of national ambient air interpreted in the context of that Senate Conference Report quality standards (‘NAAQS’) through structure and the historical evolution of accompanying the 1970 CAA. enforceable emission limitations.’’) and that structure. In light of the revisions Response 2: As provided in the Hall v. EPA, 273 F.3d 1146, 1161 (9th to section 110 since 1970 and the later previous response, the CAA, as enacted Cir. 2001) (EPA’s analysis is required to promulgated and more specific planning in 1970, including its legislative history, ‘‘reflect consideration of the prospects requirements of the CAA, EPA cannot be interpreted in isolation from of meeting current attainment reasonably interprets the requirement in the later amendments that refined that requirements under a revised air quality section 110(a)(2)(A) of the CAA that the structure and deleted relevant language plan.’’). Finally, the Commenter cites plan provide for ‘‘implementation, from section 110 concerning Michigan Department of Environmental maintenance and enforcement’’ to mean demonstrating attainment. See also 79 Quality v. Browner, for the proposition that the SIP must contain enforceable FR at 17046 (responding to comments that an infrastructure SIP must emission limits that will aid in attaining on Virginia’s ozone infrastructure SIP). ‘‘include[] emission limitations that and/or maintaining the NAAQS and that In any event, the two excerpts of result in compliance with the NAAQS.’’ the state demonstrate that it has the legislative history the Commenter cites 230 F.3d 181, 185 (6th Cir. 2000) (citing necessary tools to implement and merely provide that states should Train, 421 U.S. at 79). enforce a NAAQS, such as adequate include enforceable emission limits in Response 3: None of the cases the state personnel and an enforcement their SIPs, and they do not mention or Commenter cites support its contention program. EPA has interpreted the otherwise address whether states are that section 110(a)(2)(A) is clear that requirement for emission limitations in required to include maintenance plans infrastructure SIPs must include section 110 to mean that a state may rely for all areas of the state as part of the detailed plans providing for attainment on measures already in place to address infrastructure SIP. and maintenance of the NAAQS in all areas of the state, nor do they shed light the pollutant at issue or any new control 3. Case Law measures that the state may choose to on how section 110(a)(2)(A) may submit. Finally, as EPA has stated in the Comment 3: The Commenter also reasonably be interpreted. With the 2013 Guidance on Infrastructure State discusses several cases applying the exception of Train, none of the cases the Implementation Plan (SIP) Elements CAA which the Commenter claims Commenter cites concerned the under Clean Air Act Sections 110(a)(1) support its contention that courts have interpretation of CAA section and 110(a)(2) (‘‘2013 Infrastructure SIP been clear that section 110(a)(2)(A) 110(a)(2)(A) (or section 110(a)(2)(B) of Guidance’’), which specifically provides requires enforceable emissions limits in the pre-1990 Act). Rather, the courts infrastructure SIPs to prevent guidance to states in addressing the reference section 110(a)(2)(A) (or section exceedances of the NAAQS. The 2010 SO NAAQS, ‘‘[t]he conceptual 110(a)(2)(B) of the pre-1990 CAA) in the 2 Commenter first cites to language in purpose of an infrastructure SIP background sections of decisions in the Train v. Natural Resources Defense submission is to assure that the air context of a challenge to an EPA action Council, 421 U.S. 60, 78 (1975), agency’s SIP contains the necessary on revisions to a SIP that was required addressing the requirement for structural requirements for the new or and approved or disapproved as ‘‘emission limitations’’ and stating that revised NAAQS, whether by meeting other provisions of the CAA or emission limitations ‘‘are the specific establishing that the SIP already in the context of an enforcement action. rules to which operators of pollution contains the necessary provisions, by In Train, the Court was addressing a sources are subject, and which if state revision to an attainment plan making a substantive SIP revision to enforced should result in ambient air submission made pursuant to section update the SIP, or both.’’ 2013 which meets the national standards.’’ 110 of the CAA, the sole statutory Infrastructure SIP Guidance at p. 1–2.3 The Commenter also cites Pennsylvania provision at that time regulating such 2. The Legislative History of the CAA Department of Environmental Resources submissions. The issue in that case Comment 2: The Commenter cites two v. EPA, 932 F.2d 269, 272 (3d Cir. 1991), concerned whether changes to excerpts from the legislative history of for the proposition that the CAA directs requirements that would occur before the 1970 CAA, claiming they support an EPA to withhold approval of a SIP attainment was required were variances interpretation that SIP revisions under where it does not ensure maintenance of that should be addressed pursuant to CAA section 110 must include the NAAQS, and to Mision Industrial, the provision governing SIP revisions or emissions limitations sufficient to show Inc. v. EPA, 547 F.2d 123, 129 (1st Cir. were ‘‘postponements’’ that must be 1976), which quoted section 110(a)(2)(B) addressed under section 110(f) of the 3 Thus, EPA disagrees with the Commenter’s of the CAA of 1970. The Commenter CAA of 1970, which contained general assertion that the main objective of contends that the 1990 Amendments do prescriptive criteria. The Court infrastructure SIPs is to ensure all areas of the not alter how courts have interpreted concluded that EPA reasonably country meet the NAAQS, as we believe the the requirements of section 110, quoting interpreted section 110(f) not to restrict infrastructure SIP process is the opportunity to review the structural requirements of a state’s air Alaska Department of Environmental a state’s choice of the mix of control program. While the NAAQS can be a foundation Conservation v. EPA, 540 U.S. 461, 470 measures needed to attain the NAAQS upon which emission limitations are set, as (2004), which in turn quoted section and that revisions to SIPs that would explained in responses to subsequent comments, 110(a)(2)(A) of the CAA and also stated not impact attainment of the NAAQS by these emission limitations are generally set in the attainment planning process envisioned by part D that ‘‘SIPs must include certain the attainment date were not subject to of title I of the CAA, including, but not limited to, measures Congress specified’’ to ensure the limits of section 110(f). Thus, the CAA sections 172, 181–182, and 191–192. attainment of the NAAQS. The issue was not whether a section 110 SIP
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needs to provide for attainment or language was not part of the Court’s instead apply to infrastructure SIPs, whether emissions limits providing holding in the case, which focused which are required to attain and such are needed as part of the SIP; instead on whether EPA’s finding of SIP maintain the NAAQS in all areas of a rather the issue was which statutory inadequacy, disapproval of the state’s state. The Commenter relies on a provision governed when the state required responsive attainment statement in the preamble to the 1986 wanted to revise the emission limits in demonstration under section 110(k)(5), action restructuring and consolidating its SIP if such revision would not and adoption of a remedial FIP under provisions in part 51, in which EPA impact attainment or maintenance of the section 110(c) were lawful. The stated that ‘‘[i]t is beyond the scope of NAAQS. To the extent the holding in Commenter suggests that Alaska th[is] rulemaking to address the the case has any bearing on how section Department of Environmental provisions of Part D of the Act . . .’’ 51 110(a)(2)(A) might be interpreted, it is Conservation stands for the proposition FR 40656, 40656 (Nov. 7, 1986). The important to realize that in 1975, when that the 1990 CAA Amendments do not Commenter asserts 40 CFR 51.112(a) the opinion was issued, section alter how courts interpret section 110. ‘‘identifies the plans to which it applies 110(a)(2)(B) (the predecessor to section This claim is inaccurate. Rather, the as those that implement the NAAQS,’’ 110(a)(2)(A)) expressly referenced the Court quoted section 110(a)(2)(A), which it contends means that requirement to attain the NAAQS, a which, as noted previously, differs from § 51.112(a) is applicable to reference that was removed in 1990. the pre-1990 version of that provision infrastructure SIPs. The decision in Pennsylvania and the Court made no mention of the Response 4: The Commenter’s Department of Environmental Resources changed language. Furthermore, the reliance on 40 CFR 51.112 to support its was also decided based on the pre-1990 Commenter also quotes the Court’s argument that infrastructure SIPs must provision of the CAA. At issue was statement that ‘‘SIPs must include contain emission limits adequate to whether EPA properly rejected a certain measures Congress specified,’’ ensure attainment and maintenance of revision to an approved plan where the but that statement specifically the NAAQS is not supported. As an inventories relied on by the state for the referenced the requirement in section initial matter, EPA notes this regulatory updated submission had gaps. The 110(a)(2)(C), which requires an provision was initially promulgated and Court quoted section 110(a)(2)(B) of the enforcement program and a program for later restructured and consolidated prior pre-1990 CAA in support of EPA’s the regulation of the modification and to the CAA Amendments of 1990, in disapproval, but did not provide any construction of new sources. Notably, at which Congress removed all references interpretation of that provision. Yet, issue in that case was the state’s ‘‘new to ‘‘attainment’’ in section 110(a)(2)(A). even if the Court had interpreted that source’’ permitting program, not its And, it is clear on its face that 40 CFR provision, EPA notes that it was infrastructure SIP. 51.112 applies to plans specifically modified by Congress in 1990; thus, this Two of the other cases the Commenter designed to attain the NAAQS. EPA decision has little bearing on the issue cites, Michigan Department of interprets these provisions to apply here. Environmental Quality and Hall, when states are developing ‘‘control At issue in Mision was the definition interpret CAA section 110(l), the strategy’’ SIPs such as the detailed of ‘‘emissions limitation,’’ not whether provision governing ‘‘revisions’’ to attainment and maintenance plans section 110 requires the state to plans, and not the initial plan required under other provisions of the demonstrate how all areas of the state submission requirement under section CAA, as amended in 1977 and again in will attain and maintain the NAAQS as 110(a)(2) for a new or revised NAAQS, 1990, such as sections 175A, 181–182, part of their infrastructure SIPs. The such as the infrastructure SIP at issue in and 191–192. The Commenter suggests language from the opinion the this instance. In those cases, the courts that these provisions must apply to Commenter quotes does not interpret cited to section 110(a)(2)(A) solely for section 110 SIPs because in the but rather merely describes section the purpose of providing a brief preamble to EPA’s action ‘‘restructuring 110(a)(2)(A); the decision in this case background of the CAA. and consolidating’’ provisions in part has no bearing here.4 In Montana EPA does not believe any of these 51, EPA stated the new attainment Sulphur, the Court was not reviewing an court decisions addressed required demonstration provisions in the 1977 measures for infrastructure SIPs and infrastructure SIP, but rather EPA’s Amendments to the CAA were ‘‘beyond believes nothing in the opinions disapproval of a SIP and promulgation the scope’’ of the rulemaking. It is addressed whether infrastructure SIPs of a federal implementation plan (FIP) important to note, however, that EPA’s need to contain measures to ensure after a long history of the state failing to action in 1986 was not to establish new attainment and maintenance of the submit an adequate SIP in response to substantive planning requirements, but NAAQS. EPA’s finding under section 110(k)(5) rather was meant merely to consolidate and restructure provisions that had that the previously approved SIP was 4. EPA Regulations, Such as 40 CFR previously been promulgated. EPA substantially inadequate to attain or 51.112(a) noted that it had already issued maintain the NAAQS. The Court cited Comment 4: The Commenter cites to guidance addressing the new ‘‘Part D’’ generally to sections 107 and 40 CFR 51.112(a), providing that each attainment planning obligations. Also, 110(a)(2)(A) of the CAA for the plan ‘‘must demonstrate that the as to maintenance regulations, EPA proposition that SIPs should assure measures, rules and regulations expressly stated that it was not making attainment and maintenance of NAAQS contained in it are adequate to provide any revisions other than to re-number through emission limitations, but this for the timely attainment and those provisions. 51 FR at 40657. maintenance of the [NAAQS].’’ The Although EPA was explicit that it was 4 To the extent the comments could be read to include an assertion that New Hampshire’s SIP does Commenter asserts that this regulation not establishing requirements not contain any ‘‘emissions limitations’’ relevant to requires infrastructure SIPs to include interpreting the provisions of new ‘‘Part SO2, it should be noted that state regulations at emissions limits necessary to ensure D’’ of the CAA, it is clear the regulations Env-A Chapter 400, Sulfur Content Limits in Fuels, attainment and maintenance of the being restructured and consolidated which EPA previously approved into the state’s SIP, see 40 CFR 52.1520(c), are similar to the regulations NAAQS. The Commenter states the were intended to address control that the Mision court found to be an ‘‘emission provisions of 40 CFR 51.112 are not strategy plans. In the preamble, EPA limitation’’ in 1976. See 547 F.2d at 129. limited to nonattainment SIPs and clearly stated that 40 CFR 51.112 was
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replacing 40 CFR 51.13 (‘‘Control SIP revisions did not revise the existing states to submit infrastructure SIPs that strategy: SOX and PM (portion)’’), 51.14 SO2 emission limits in response to the reflect the first step in their planning for (‘‘Control strategy: CO, HC, OX and NO2 2010 SO2 NAAQS and fail to comport attainment and maintenance of a new or (portion)’’), 51.80 (‘‘Demonstration of with assorted CAA requirements for revised NAAQS. These SIP revisions attainment: Pb (portion)’’), and 51.82 SIPs to establish enforceable emission should contain a demonstration the (‘‘Air quality data (portion)’’). Id. at limits that are adequate to prohibit state has the available tools and 40,660. Thus, the present-day 40 CFR NAAQS exceedances in areas not authority to develop and implement 51.112 contains consolidated provisions designated nonattainment. plans to attain and maintain the NAAQS that are focused on control strategy SIPs, Comment 6: Citing section and show that the SIP has enforceable and the infrastructure SIP is not such a 110(a)(2)(A) of the CAA, the Commenter control measures. In light of the plan. contends that EPA may not approve structure of the CAA, EPA’s New Hampshire’s proposed 2010 SO2 longstanding position regarding 5. EPA Interpretations in Other infrastructure SIP, because it does not Rulemakings infrastructure SIPs is that they are include SO2 emissions limits or other general planning SIPs to ensure that the Comment 5: The Commenter required measures sufficient to ensure state has adequate resources and references a prior EPA rulemaking attainment and maintenance of the SO2 authority to implement a NAAQS in action where EPA disapproved a SIP NAAQS in areas not designated general throughout the state and not and claims that action shows EPA relied nonattainment, which the Commenter detailed attainment and maintenance on section 110(a)(2)(A) and 40 CFR claims is required by section plans for each individual area of the 51.112 to reject the SIP. The Commenter 110(a)(2)(A), and because it does not state. As mentioned above, EPA has points to a 2006 partial approval and include SO emission limits ‘‘set in light 2 interpreted this to mean with regard to partial disapproval of revisions to of the 2010 SO NAAQS or even 2 the requirement for emission limitations Missouri’s existing control strategy analyzed in light of the standard.’’ The that states may rely on measures already plans addressing the SO2 NAAQS. The Commenter also contended that section in place to address the pollutant at issue Commenter claims EPA cited section 110(a)(2)(A) requires not only that the or any new control measures that the 110(a)(2)(A) for disapproving a revision state air agency has the authority to state may choose to submit. As stated in to the state plan on the basis that the adopt future emission limitations, but response to a previous more general State failed to demonstrate the SIP was that the SIP include existing substantive comment, section 110 of the CAA is sufficient to ensure maintenance of the emission limitations. The Commenter only one provision that is part of the SO2 NAAQS after revision of an also provided results from a refined air emission limit and claims EPA cited to dispersion modeling analysis that complicated structure governing implementation of the NAAQS program 40 CFR 51.112 as requiring that a plan evaluated SO2 impacts from Schiller demonstrates the rules in a SIP are Station, which the commenter asserts under the CAA, as amended in 1990, and it must be interpreted in the context adequate to attain the NAAQS. The demonstrate that SO2 emission limits Commenter claims the revisions to relied on in the infrastructure SIP are of not only that structure, but also of the historical evolution of that structure. In Missouri’s control strategy SIP for SO2 insufficient to prevent exceedances of were rejected by EPA because the the NAAQS in both New Hampshire light of the revisions to section 110 revised control strategy limits were also and Maine and claims that emissions since 1970 and the later-promulgated in Missouri’s infrastructure SIP and thus from this source can in theory, and have and more specific planning the weakened limits would have in practice, resulted in exceedances of requirements of the CAA, EPA reasonably interprets the requirement in impacted the infrastructure SIP’s ability the 2010 SO2 NAAQS. Lastly, the to aid in attaining and maintaining the commenter asserted the structure of the section 110(a)(2)(A) of the CAA that the NAAQS. Act makes clear that Congress did not plan provide for ‘‘implementation, Response 5: EPA does not agree the intend states to be relieved of their maintenance and enforcement’’ to mean prior Missouri rulemaking action infrastructure SIP obligations under that the SIP must contain enforceable referenced by the Commenter section 110(a)(2)(A) until designations emission limits that will aid in attaining establishes how EPA reviews occur. For all of these reasons, the and/or maintaining the NAAQS and that infrastructure SIPs. It is clear from the Commenter maintained that EPA should the State demonstrate that it has the final Missouri rule that EPA was not disapprove New Hampshire’s SO2 necessary tools to implement and reviewing initial infrastructure SIP infrastructure SIP and promulgate a FIP. enforce a NAAQS, such as adequate submissions under section 110 of the Response 6: EPA disagrees with the state personnel and an enforcement CAA, but rather reviewing revisions that Commenter that EPA must disapprove program. As discussed above, EPA has would make an already approved SIP New Hampshire’s SO2 infrastructure SIP interpreted the requirement for emission designed to demonstrate attainment of for the reasons provided by the limitations in section 110 to mean the the NAAQS less stringent. EPA’s partial Commenter, including the Commenter’s state may rely on measures already in approval and partial disapproval of modeling results and the state’s place to address the pollutant at issue or revisions to restrictions on emissions of allegedly insufficient SO2 emission any new control measures that the state sulfur compounds for the Missouri SIP limits. EPA is not in this action making may choose to submit. Finally, as EPA in 71 FR 12623 addressed a control a determination regarding the State’s stated in the 2013 Infrastructure SIP strategy SIP and not an infrastructure current air quality status or regarding Guidance, which specifically provides SIP. Nothing in that action addresses the whether its control strategy is sufficient guidance to states in addressing the necessary content of the initial to attain and maintain the NAAQS. 2010 SO2 NAAQS, ‘‘[t]he conceptual infrastructure SIP for a new or revised Therefore, EPA is not in this action purpose of an infrastructure SIP NAAQS. making any judgment on whether the submission is to assure that the air Commenter’s submitted modeling agency’s SIP contains the necessary B. Sierra Club Comments on New demonstrates the NAAQS exceedances structural requirements for the new or Hampshire SIP SO2 Emission Limits that the Commenter claims. EPA revised NAAQS, whether by The Commenter contends that the believes that section 110(a)(2)(A) of the establishing that the SIP already New Hampshire 2010 SO2 infrastructure CAA is reasonably interpreted to require contains the necessary provisions, by
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making a substantive SIP revision to that evaluations of modeling plans for previous NAAQS in an update the SIP, or both.’’ 2013 demonstrations such as the one infrastructure SIP submission. New Infrastructure SIP Guidance at p. 2. On submitted by the Commenter are more Hampshire’s existing rules and emission April 12, 2012, EPA explained its appropriately considered in actions that reduction measures in the SIP that expectations regarding implementation make determinations regarding states’ control emissions of SO2 were discussed 7 of the 2010 SO2 NAAQS via letters to current air quality status or regarding in the state’s submittal. These each of the states. EPA communicated future air quality status. EPA also provisions have the ability to reduce in the April 2012 letters that all states asserts that SIP revisions for SO2 SO2 overall. Although the New were expected to submit SIPs meeting nonattainment areas, including Hampshire SIP relies on measures and the ‘‘infrastructure’’ SIP requirements measures and modeling demonstrating programs used to implement previous under section 110(a)(2) of the CAA by attainment, are due by the dates SO2 NAAQS, these provisions are not June 2013. At the time, EPA was statutorily prescribed under subpart 5 limited to reducing SO2 levels to meet undertaking a stakeholder outreach under part D. Those submissions are one specific NAAQS and will continue process to continue to develop possible due no later than 18 months after an to provide benefits for the 2010 SO2 approaches for determining attainment area is designated nonattainment for NAAQS. Additionally, as discussed in status under the SO2 NAAQS and SO2, under CAA section 191(a). Thus, the NPR, New Hampshire has the ability implementing this NAAQS. EPA made the CAA directs states to submit these to revise its SIP when necessary (e.g. in abundantly clear in the April 2012 SIP requirements that are specific for the event the Administrator finds the letters that EPA did not expect states to nonattainment areas on a separate plan to be substantially inadequate to submit substantive attainment schedule from the ‘‘structural attain the NAAQS or otherwise meet all demonstrations or modeling requirements’’ of 110(a)(2) which are applicable CAA requirements) as demonstrations showing attainment for due within three years of adoption or required under element H of section areas not designated nonattainment in revision of a NAAQS and which apply 110(a)(2). infrastructure SIPs due in June 2013. statewide. The infrastructure SIP The requirements for emission Although EPA had previously suggested submission requirement does not move reduction measures for an area in its 2010 SO2 NAAQS preamble and up the date for any required submission designated nonattainment for the 2010 in prior draft implementation guidance of a part D plan for areas designated primary SO2 NAAQS are in sections 172 in 2011 that states should, in the unique nonattainment for the new NAAQS. and 191–192 of the CAA, and therefore, SO2 context, use the section 110(a) SIP Thus, elements relating to the appropriate avenue for process as the vehicle for demonstrating demonstrating attainment for areas not implementing requirements for attainment of the NAAQS, this approach attaining the NAAQS are not necessary necessary emission limitations for was never adopted as a binding for infrastructure SIP submissions,6 and demonstrating attainment with the 2010 requirement and was subsequently the CAA does not provide explicit SO2 NAAQS is through the attainment discarded in the April 2012 letters to requirements for demonstrating planning process contemplated by those states. The April 2012 letters attainment for areas that have not yet sections of the CAA. On August 5, 2013, recommended states focus infrastructure been designated regarding attainment EPA designated as nonattainment most SIPs due in June 2013, such as New with a particular NAAQS. As stated areas in locations where existing Hampshire’s SO2 infrastructure SIP, on previously, EPA believes that the proper monitoring data from 2009–2011 traditional ‘‘infrastructure elements’’ in inquiry at this juncture is whether New indicated violations of the 1-hour SO2 section 110(a)(1) and (2) rather than on Hampshire has met the basic structural standard. 78 FR 47191. At that time, one modeling demonstrations for future SIP requirements appropriate at the area in New Hampshire had monitoring attainment for areas not designated as point in time EPA is acting upon the data from 2009–2011 indicating nonattainment.5 Therefore, EPA asserts infrastructure submittal. Emissions violations of the 1-hour SO2 standard, limitations and other control measures and this area was designated 5 In EPA’s final SO2 NAAQS preamble, 75 FR needed to attain the NAAQS in areas nonattainment in New Hampshire. See 35520 (June 22, 2010), and subsequent draft designated nonattainment for that 40 CFR 81.330. On March 2, 2015 the guidance in March and September 2011, EPA had expressed its expectation that many areas would be NAAQS are due on a different schedule United States District Court for the initially designated as unclassifiable due to from the section 110 infrastructure Northern District of California entered a limitations in the scope of the ambient monitoring elements. A state, like New Hampshire, Consent Decree among the EPA, Sierra network and the short time available before which may reference preexisting SIP emission Club and Natural Resources Defense states could conduct modeling to support their designations recommendations due in June 2011. In limits or other rules contained in part D Council to resolve litigation concerning order to address concerns about potential violations the deadline for completing in these unclassifiable areas, EPA initially CAA. Section 191 of the CAA requires states to designations for the 2010 SO2 NAAQS. recommended that states submit substantive submit SIPs in accordance with section 172 for Pursuant to the terms of the Consent attainment demonstration SIPs based on air quality areas designated nonattainment with the SO2 modeling by June 2013 (under section 110(a)) that NAAQS. After seeking such comment, EPA has now Decree, EPA will complete additional show how their unclassifiable areas would attain issued guidance for the nonattainment area SIPs designations for all remaining areas of and maintain the NAAQS in the future. due pursuant to sections 191 and 172. See Guidance the country including remaining areas Implementation of the 2010 Primary 1-Hour SO2 for 1-Hour SO2 Nonattainment Area SIP in New Hampshire.8 NAAQS, Draft White Paper for Discussion, May Submissions, Stephen D. Page, Director, EPA’s 2012 (‘‘2012 Draft White Paper’’) (for discussion Office of Air Quality Planning and Standards, to purposes with Stakeholders at meetings in May and Regional Air Division Directors Regions 1–10, April 7 New Hampshire cites to several SIP approved June 2012), available at http://www.epa.gov/ 23, 2014. In September 2013, EPA had previously emission limitations relevant to SO2 to demonstrate airquality/sulfurdioxide/implement.html. However, issued specific guidance relevant to infrastructure compliance with section 110(a)(2)(A), including EPA clearly stated in this 2012 Draft White Paper SIP submissions due for the NAAQS, including the Chapter Env-A 400 (Sulfur Content Limits in its clarified implementation position that it was no 2010 SO2 NAAQS. See 2013 Infrastructure SIP Fuels)(renumbered Env-A 1600). Thus, to the extent longer recommending such attainment Guidance. the Commenter meant to suggest that New demonstrations for unclassifiable areas for June 6 For this reason, EPA disagrees with the Hampshire only has authority to set future emission 2013 infrastructure SIPs. Id. EPA had stated in the comment that the infrastructure SIP process is the limitations, but that the SIP contains none relevant preamble to the NAAQS and in the prior 2011 draft appropriate mechanism in which to demonstrate to the 2010 SO2 NAAQS, we disagree. guidance that EPA intended to develop and seek that emission limitations for Merrimack Station are 8 The Consent Decree, entered March 2, 2015 by public comment on guidance for modeling and sufficient to ensure the Central New Hampshire the United States District Court for the Northern development of SIPs for sections 110 and 191 of the nonattainment area attains the standard. Continued
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For the area designated nonattainment the later-promulgated and more specific process by which state air agencies in New Hampshire in August 2013, the planning requirements of the CAA, EPA characterize air quality around SO2 attainment SIP was due by April 4, 2015 reasonably interprets the requirement in sources through ambient monitoring and must contain a demonstration that section 110(a)(2)(A) that the plan and/or air quality modeling techniques the area will attain the 2010 SO2 provide for ‘‘implementation, and submit such data to the EPA. See, NAAQS as expeditiously as practicable, maintenance and enforcement’’ to mean e.g., 80 FR 51502 (Aug. 21, 2015). The but no later than October 4, 2018 that the SIP must contain enforceable rule includes a discussion of how EPA pursuant to sections 172, 191 and 192 emission limits that will aid in attaining anticipates addressing modeling that of the CAA, including a plan for and/or maintaining the NAAQS and that informs determinations of states’ air enforceable measures to reach the State demonstrate that it has the quality status under the 2010 SO2 attainment of the NAAQS. Similar necessary tools to implement and NAAQS. As stated above, EPA believes attainment planning SIPs for any enforce a NAAQS. it is not appropriate to bypass the additional areas which EPA As noted in EPA’s preamble for the attainment planning process by subsequently designates nonattainment 2010 SO2 NAAQS, determining imposing separate attainment planning with the 2010 SO2 NAAQS will be due compliance with the SO2 NAAQS will process requirements outside part D and for such areas within the timeframes likely be a source-driven analysis and into the infrastructure SIP process. specified in CAA section 191. EPA EPA has explored options to ensure that In conclusion, EPA disagrees with the believes it is not appropriate to interpret the SO2 designations process Commenter’s statements that EPA must the overall section 110(a)(2) realistically accounts for anticipated disapprove New Hampshire’s infrastructure SIP obligation to require SO2 reductions at sources that we infrastructure SIP submission because it bypassing the attainment planning expect will be achieved by current and does not establish specific enforceable process by imposing separate pending national and regional rules. See SO2 emission limits, either on coal-fired requirements outside the attainment 75 FR 35520 (June 22, 2010). As EGUs or other large SO2 sources, in planning process. Such actions would mentioned previously, EPA will act in order to demonstrate attainment and be disruptive and premature absent accordance with the entered Consent maintenance with the NAAQS at this exceptional circumstances and would Decree’s schedule for conducting time.10 Because we are approving New interfere with a state’s planning process. additional designations for the 2010 SO2 Hampshire’s infrastructure SIP See In the Matter of EME Homer City NAAQS and any areas designated submission with respect to section Generation LP and First Energy nonattainment must meet the applicable 110(a)(2)(A), we need not promulgate a Generation Corp., Order on Petitions part D requirements for these areas. federal implementation plan. See CAA Numbers III–2012–06, III–2012–07, and However, because the purpose of an section 110(c)(1). III 2013–01 (July 30, 2014) (hereafter, infrastructure SIP submission is for Comment 7: The Commenter claims Homer City/Mansfield Order) at 10–19 more general planning purposes, EPA that New Hampshire’s proposed SO2 (finding Pennsylvania SIP did not does not believe New Hampshire was infrastructure SIP lacks emission limitations for Schiller Station informed require imposition of 1-hour SO2 obligated during this infrastructure SIP emission limits on sources independent planning process to account for by air dispersion modeling as well as other large SO2 sources outside of the of the part D attainment planning controlled SO2 levels at individual process contemplated by the CAA). The sources to satisfy section 110(a)(2)(A). nonattainment area and therefore fails to history of the CAA and intent of See Homer City/Mansfield Order at 10– ensure New Hampshire will attain and Congress for the CAA as described 19. Regarding the air dispersion maintain the 2010 SO2 NAAQS. The above demonstrate clearly that it is modeling conducted by the Commenter Commenter claims EPA must within the section 172 and general part pursuant to AERMOD for Schiller disapprove the SO2 infrastructure SIP as D attainment planning process that New Station, EPA does not find the modeling it does not ‘‘prevent exceedances’’ or ensure attainment and maintenance of Hampshire must include SO2 emission information relevant at this time for limits on sources, where needed, for the review of an infrastructure SIP. While the SO2 NAAQS. area designated nonattainment to reach EPA has extensively discussed the use Response 7: EPA agrees with the Commenter that air dispersion attainment with the 2010 1-hour SO2 of modeling for attainment NAAQS and for any additional areas demonstration purposes and for modeling, such as AERMOD, can be an EPA may subsequently designate designations, EPA has affirmatively important tool in the CAA section 107 nonattainment. EPA agrees that the stated such modeling was not needed to designations process for SO2 and in structure of the Act makes clear that demonstrate attainment for the SO developing SIPs for nonattainment areas 2 as required by sections 172 and 191– Congress did not intend to postpone a infrastructure SIPs under the 2010 SO2 state’s obligation to submit and NAAQS. See April 12, 2012 letters to 192, including supporting required attainment demonstrations. EPA agrees infrastructure SIP under section states regarding SO2 implementation 110(a)(2)(A) until designations occur. and Implementation of the 2010 Primary that prior EPA statements, EPA guidance, and case law support the use EPA disagrees, however, with the 1-Hour SO2 NAAQS, Draft White Paper Commenter’s interpretation that section for Discussion, May 2012, available at of air dispersion modeling in the SO2 110(a)(2)(A) requires a state to submit http://www.epa.gov/airquality/ designations process and attainment 9 demonstration process, as well as in SO2 emission limitations for individual sulfurdioxide/implement.html. EPA’s sources during this infrastructure SIP Data Requirements Rule contains a analyses of the interstate impact of planning process that ensure attainment transported emissions and whether 9 existing approved SIPs remain adequate and maintenance of the 2010 SO2 EPA has provided draft guidance for states NAAQS. As stated above, in light of the regarding modeling analyses to support the 10 designations process for the 2010 SO2 NAAQS. SO2 Finally, EPA does not disagree with the revisions to section 110 since 1970 and NAAQS Designations Modeling Technical Commenter’s claim that coal-fired EGUs are a large Assistance Document (draft), EPA Office of Air and source of SO2 emissions in New Hampshire based District of California in Sierra Club and NRDC v. Radiation and Office of Air Quality Planning and on the 2011 NEI. However, EPA does not agree that EPA, Case 3:13–cv–03953–SI (N.D. Cal.) is available Standards, December 2013, available at http:// this information is relevant to our approval of the at http://www3.epa.gov/so2designations/pdfs/ www.epa.gov/airquality/sulfurdioxide/ infrastructure SIP, which EPA has explained meets 201503FinalCourtOrder.pdf. implement.html. requirements in CAA section 110(a)(2).
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to show attainment and maintenance of explained that it expected states to area of the state that is not attaining the the SO2 NAAQS. However, as provided submit infrastructure SIPs that followed NAAQS. While infrastructure SIPs must in the previous responses, EPA the general policy EPA had applied address modeling authorities in general disagrees with the Commenter that EPA under other NAAQS. EPA then for section 110(a)(2)(K), EPA believes must disapprove the New Hampshire reaffirmed this position in the February 110(a)(2)(K) requires infrastructure SIPs SO2 infrastructure SIP for its alleged 6, 2013 memorandum, ‘‘Next Steps for to provide the state’s authority for air failure to include source-specific SO2 Area Designations and Implementation quality modeling and for submission of emission limits that show no of the Sulfur Dioxide National Ambient modeling data to EPA, not specific air exceedances of the NAAQS when Air Quality Standard.’’ 11 As previously dispersion modeling for large stationary modeled or ensure attainment and mentioned, EPA had stated in the sources of pollutants. In the proposal for maintenance of the NAAQS. preamble to the NAAQS and in the prior this rulemaking action, EPA provided In acting to approve or disapprove an 2011 draft guidance that EPA intended an explanation of New Hampshire’s infrastructure SIP, EPA is not required to develop and seek public comment on ability and authority to conduct air to make findings regarding current air guidance for modeling and development quality modeling when required and its quality status of areas within the state, of SIPs for sections 110, 172 and 191– authority to submit modeling data to the such area’s projected future air quality 192 of the CAA. After receiving such EPA. The comments relating to EPA’s status, or whether existing emissions further comment, EPA has now issued use of AERMOD or modeling in general limits in such area are sufficient to meet guidance for the nonattainment area in designations pursuant to section 107 a NAAQS in the area. The attainment SIPs due pursuant to sections 172 and are likewise irrelevant as EPA’s present planning process detailed in part D of 191–192. See April 23, 2014 Guidance approval of New Hampshire’s the CAA, including sections 172 and for 1-Hour SO2 Nonattainment Area SIP infrastructure SIP is unrelated to the 191–192 attainment SIPs, is the Submissions. In addition, modeling may section 107 designations process. As appropriate place for the state to be an appropriate consideration for outlined in the August 23, 2010 evaluate measures needed to bring in- states and EPA in further designations clarification memo, ‘‘Applicability of state nonattainment areas into for the SO2 NAAQS in accordance with Appendix W Modeling Guidance for the attainment with a NAAQS and to the Sierra Club and NRDC Consent 1-hour SO2 National Ambient Air impose additional emission limitations Decree and the data requirements rule Quality Standard’’ (U.S. EPA, 2010a), such as SO2 emission limits on specific mentioned previously.12 While the EPA AERMOD is the preferred model for sources. guidance for attainment SIPs and for single source modeling to address the 1- EPA had initially recommended that designations for CAA section 107 and hour SO2 NAAQS as part of the NSR/ states submit substantive attainment the process for characterizing SO PSD permit programs. Therefore, as demonstration SIPs based on air quality 2 emissions from larger sources discuss attainment SIPs, designations, and NSR/ modeling in the final 2010 SO NAAQS 2 the use of air dispersion modeling, PSD actions are outside the scope of a preamble, 75 FR 35520 (June 22, 2010), EPA’s 2013 Infrastructure SIP Guidance required infrastructure SIP for the 2010 and in subsequent draft guidance issued did not suggest that states use air SO2 NAAQS for section 110(a), EPA in September 2011 for the section 110(a) dispersion modeling for purposes of the provides no further response to the SIPs due in June 2013 in order to show section 110(a)(2) infrastructure SIP. Commenter’s discussion of air how areas then-expected to be Therefore, as discussed previously, EPA dispersion modeling for these designated as unclassifiable would believes the New Hampshire SO applications. If the Commenter attain and maintain the NAAQS. These 2 infrastructure SIP submittal contains the resubmits its air dispersion modeling for initial statements in the preamble and structural requirements to address the New Hampshire EGU, or updated 2011 draft guidance, presented only in modeling information in the appropriate the context of the new 1-hour SO elements in section 110(a)(2) as 2 context, EPA will address the NAAQS and not suggested as a matter discussed in the proposed approval. resubmitted modeling or updated of general infrastructure SIP policy, EPA believes infrastructure SIPs are modeling at that time. were based on EPA’s expectation at the general planning SIPs to ensure that a state has adequate resources and The Commenter, citing administrative time that, by June 2012, most areas law principles regarding consideration would initially be designated as authority to implement a NAAQS. of comments provided during a unclassifiable due to limitations in the Infrastructure SIP submissions are not rulemaking process,13 contends that scope of the ambient monitoring intended to act or fulfill the obligations EPA must consider the modeling data network and the short time available of a detailed attainment and/or the Commenter has submitted ‘‘over the before which states could conduct maintenance plan for each individual years which demonstrate the modeling to support designations 11 The February 6, 2013 ‘‘Next Steps for Area inadequacy of New Hampshire’s rules.’’ recommendations in 2011. However, Designations and Implementation of the Sulfur For the reasons previously explained, after conducting extensive stakeholder Dioxide National Ambient Air Quality Standard,’’ however, the purpose for which the outreach and receiving comments from one of the April 12, 2012 state letters, and the May Commenter submitted the modeling— the states regarding these initial 2012 Draft White Paper are available at http:// statements and the timeline for www.epa.gov/airquality/sulfurdioxide/ namely, to assert that current air quality implement.html. in the area in which Schiller Station is implementing the NAAQS, EPA 12 The Consent Decree in Sierra Club and NRDC subsequently stated in the April 12, located does not meet the NAAQS—is v. EPA, Case 3:13–cv–03953–SI (N.D. Cal.) is not relevant to EPA’s action on this 2012 letters and in the 2012 Draft White available at http://www.epa.gov/airquality/ Paper that EPA was clarifying its 2010 sulfurdioxide/designations/pdfs/ infrastructure SIP, and consequently SO NAAQS implementation position 201503FinalCourtOrder.pdf. See 80 FR 51052, EPA is not required to consider the 2 August 21, 2015 (EPA’s data requirements rule). See modeling in evaluating the and was no longer recommending such also Updated Guidance for Area Designations for attainment demonstrations supported by the 2010 Primary Sulfur Dioxide National Ambient approvability of the infrastructure SIP. air dispersion modeling for Air Quality Standard, Stephen D. Page, Director, EPA’s Office of Air Quality Planning Standards, 13 The Commenter cites to Motor Vehicle unclassifiable areas (which had not yet March 20, 2015, available at http://www.epa.gov/ Manufacturers Association v. State Farm Mutual been designated) for the June 2013 airquality/sulfurdioxide/pdfs/ Auto Insurance Co., 463 U.S. 29, 43 (1983) and infrastructure SIPs. Instead, EPA 20150320SO2designations.pdf. NRDC v. EPA, 571 F.3d 1245, 1254 (D.C. Cir. 2009).
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EPA does not believe infrastructure SIPs Region 7 letter to the Kansas EPA finds New Hampshire’s SO2 must contain emission limitations Department of Health and Environment infrastructure SIP approvable without informed by air dispersion modeling in regarding the need for 1-hour SO2 the additional SO2 emission limitations order to meet the requirements of emission limits in a PSD permit, an EPA showing in-state attainment of the section 110(a)(2)(A). Thus, EPA has Environmental Appeals Board (EAB) NAAQS, EPA finds the issues of evaluated the persuasiveness of the decision rejecting use of a 3-hour appropriate averaging periods for such Commenter’s submitted modeling in averaging time for a SO2 limit in a PSD future limitations not relevant at this finding that it is not relevant to the permit,14 and EPA’s disapproval of a time. The Commenter has cited to prior approvability of New Hampshire’s Missouri SIP that relied on annual EPA discussion on emission limitations 15 proposed infrastructure SIP for the 2010 averaging for SO2 emission rates. required in PSD permits (from an EAB SO2 NAAQS, but EPA has made no Thus, the Commenter contends EPA decision and EPA’s letter to Kansas’ judgment regarding whether the must disapprove New Hampshire’s permitting authority) pursuant to part C Commenter’s submitted modeling is infrastructure SIP, which the of the CAA, which is neither relevant sufficient to show violations of the Commenter claims fails to require nor applicable to the present SIP action. NAAQS. emission limits with adequate averaging In addition, as previously discussed, the While EPA does not believe that times. EPA disapproval of the 2006 Missouri infrastructure SIP submissions are Response 8: EPA disagrees that EPA SIP was a disapproval relating to a required to contain emission limits must disapprove the proposed New control strategy SIP required pursuant to assuring in-state attainment of the Hampshire infrastructure SIP because part D attainment planning and is NAAQS, as suggested by the the SIP does not contain enforceable likewise not relevant to the analysis of Commenter, EPA does recognize that in SO2 emission limitations with 1-hour infrastructure SIP requirements. the past, states have, in their discretion, averaging periods that apply at all times, Comment 9: The Commenter states used infrastructure SIP submittals as a as this issue is not appropriate for that enforceable emission limits in SIPs ‘vehicle’ for incorporating regulatory resolution at this stage. The comment are necessary to avoid additional revisions or source-specific emission does not assert that the SO2 emission nonattainment designations in areas limits into the state’s plan. See 78 FR limits in New Hampshire’s SIP are not where modeling or monitoring shows 73442 (December 6, 2013) (approving enforceable or that they do not apply at SO2 levels exceed the 1-hour SO2 regulations Maryland submitted for all times, instead the comment focuses NAAQS and cites to a February 6, 2013 incorporation into the SIP along with on the lack of 1-hour averaging times. EPA document, Next Steps for Area the 2008 ozone infrastructure SIP to As EPA has noted previously, the Designations and Implementation of the address ethics requirements for State purpose of the section 110(a)(2) SIP is Sulfur Dioxide National Ambient Air Boards in sections 128 and to ensure that the State has the Quality Standard, which the 110(a)(2)(E)(ii)). While these SIP necessary structural components to Commenter contends discusses how revisions are intended to help the state implement programs for attainment and states could avoid future nonattainment meet the requirements of section maintenance of the NAAQS.16 designations. The Commenter claims 110(a)(2), these ‘‘ride-along’’ SIP While EPA does agree that the the modeling it conducted for Schiller revisions are not intended to signify that averaging time is a critical consideration Station indicates exceedances over a all infrastructure SIP submittals must, in for purposes of substantive SIP wide area in both New Hampshire and order to be approved by EPA, have revisions, such as attainment Maine. The Commenter states that similar regulatory revisions or source- demonstrations, the averaging time of additional areas in New Hampshire will specific emission limits. Rather, the existing rules in the SIP is not relevant have to be designated nonattainment ‘‘if regulatory provisions and source- for determining that the State has met source-specific enforceable emissions specific emission limits the state relies the applicable requirements of section limits are not placed on PSNH Schiller on when showing compliance with 110(a)(2) with respect to the Station through this I–SIP.’’ In section 110(a)(2) have, in many cases, infrastructure elements addressed in the summary, the Commenter asserts that, likely already been incorporated into present SIP action.17 Therefore, because ‘‘in order to implement the NAAQS, the state’s SIP prior to each new comply with section 110(a)(2)(A), and infrastructure SIP submission; in some 14 In re Mississippi Lime Co., 15 E.A.D. 349, 379– avoid additional nonattainment cases this was done for entirely separate 82 (EAB Aug. 9, 2011). designations for areas impacted by’’ CAA requirements, such as attainment 15 71 FR 12623, 12,624 (Mar. 13, 2006) Schiller Station, EPA must disapprove plans required under section 172, or for (disapproving a control strategy SO2 SIP). the New Hampshire infrastructure SIP previous NAAQS. 16 As EPA has stated, some areas are designated Comment 8: The Commenter asserts nonattainment areas pursuant to CAA section 107 and ensure that emission limits ‘‘relied for the 2010 SO2 NAAQS in the State. Thus, while upon in the Infrastructure SIP’’ will not that EPA may not approve the proposed the State, at this time, has an obligation to submit New Hampshire SO infrastructure SIP allow large sources of SO2 to cause 2 attainment plans for the 2010 SO2 NAAQS for exceedances of the 2010 SO NAAQS. because it fails to include enforceable sections 172, 191 and 192, EPA believes the 2 Response 9: EPA appreciates the emission limitations with a 1-hour appropriate time for examining necessity of the averaging time (or, if longer averaging averaging periods within any submitted SO2 Commenter’s concern with avoiding emission limits on specific sources is within the nonattainment designations in New periods are used, more stringent attainment planning process. Hampshire for the 2010 SO2 NAAQS. numerical emission limits) that apply at 17 For a discussion on emission averaging times However, Congress designed the CAA all times. For support, the Commenter for emissions limitations for SO2 attainment SIPs, such that states have the primary cites to the definition of ‘‘emission see the April 23, 2014 Guidance for 1-Hour SO2 limitation’’ at CAA section 302(k). The Nonattainment Area SIP Submissions. EPA responsibility for achieving and explained that it is possible, in specific cases, for maintaining the NAAQS within their Commenter also claims EPA has stated states to develop control strategies that account for that 1-hour averaging times are variability in 1-hour emissions rates through geographic areas by submitting SIPs necessary for the 2010 SO2 NAAQS emission limits with averaging times that are longer than 1-hour, using averaging times as long as 30- critical emission value. EPA has not yet evaluated citing to EPA’s April 23, 2014 Guidance days, but still provide for attainment of the 2010 any specific submission of such a limit, and so is for 1-Hour SO2 Nonattainment Area SIP SO2 NAAQS as long as the limits are of at least not at this time prepared to take final action to Submissions, a February 3, 2011, EPA comparable stringency to a 1-hour limit at the implement.
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which will specify the details of how infrastructure SIP must be disapproved Generation, L.P. v. EPA, 696 F.3d 7, 31 the states will meet the NAAQS. for not including enforceable emissions (D.C. Cir. 2012), holding, among other Pursuant to section 107(d), the states limitations to prevent future 1-hour SO2 things, that states had no obligation to make initial recommendations of nonattainment designations. submit good neighbor SIPs until the designations for areas within each state Comment 10: The commenter notes EPA had first quantified each state’s and EPA then promulgates the that New Hampshire did not include a good neighbor obligation. Accordingly, designations after considering the state’s submittal to satisfy CAA section under that decision the submission submission and other information. EPA 110(a)(2)(D)(i)(I) (the so-called ‘‘Good deadline for good neighbor SIPs under promulgated initial designations for the Neighbor’’ provision) and asserts that, as the CAA would not necessarily be tied 2010 SO2 NAAQS in August 2013 for a result, ‘‘EPA must take immediate to the promulgation of a new or revised areas in which monitoring at that time action here to disapprove the SO2 I–SIP NAAQS. While the EPA sought review showed violations of the NAAQS, but Certification . . . and initiate the FIP first with the D.C. Circuit en banc and has not yet issued designations for other [Federal Implementation Plan] process then with the United States Supreme areas and will complete the required with regard to the I–SIP’s ‘Good Court, the EPA complied with the D.C. designations pursuant to the schedule Neighbor’ provisions.’’ Circuit’s ruling during the pendency of contained in the recently entered Response 10: EPA is not taking any its appeal. The D.C. Circuit declined to Consent Decree. EPA will designate action at this time with respect to consider EPA’s appeal en banc, but, on additional areas for the 2010 SO2 Element D(i)(I), which addresses April 29, 2014, the Supreme Court NAAQS in accordance with CAA emissions that significantly contribute reversed the D.C. Circuit’s EME Homer section 107 and existing EPA policy and to nonattainment or interfere with City opinion and held, among other guidance. New Hampshire may, on its maintenance of the NAAQS in another things, that under the plain language of own accord, decide to impose state, also known as ‘‘good neighbor’’ the CAA, states must submit SIPs additional SO2 emission limitations to SIPs or ‘‘interstate transport’’ SIPs. As addressing the good neighbor avoid future designations to the commenter notes, New Hampshire requirement in CAA section nonattainment. If additional New did not include any provisions to 110(a)(2)(D)(i)(I) within three years of Hampshire areas are designated address the requirements of section promulgation of a new or revised nonattainment, New Hampshire will 110(a)(2)(D)(i)(I) in its September 13, NAAQS, regardless of whether the EPA then have the initial opportunity to 2013infrastructure SIP submittal for the first provides guidance, technical data develop additional emissions 2010 SO2 NAAQS. In the NPR, EPA did or rulemaking to quantify the state’s limitations needed to attain the NAAQS, not propose to take any action with obligation. and EPA would be charged with respect to New Hampshire’s obligations Pursuant to CAA section 110(c)(1), reviewing whether the SIP is adequate pursuant to section 110(a)(2)(D)(i)(I) for EPA is authorized and obligated to to demonstrate attainment. See the September 13, 2013 infrastructure promulgate a FIP, if EPA takes any of Commonwealth of Virginia v. EPA, 108 SIP submittal. the following actions: (1) Finds that a F.3d 1397, 1410 (D.C. Cir. 1997) (citing Because New Hampshire did not state has failed to make a required SIP Nat. Res. Def. Council, Inc. v. Browner, make a submission in its September 13, submission; (2) finds that a required 57 F.3d 1122, 1123 (D.C. Cir. 1995)) 2013 SIP submittal to address the submission was incomplete; or (3) (discussing that states have primary requirements of section disapproves a required SIP submission responsibility for determining an 110(a)(2)(D)(i)(I), EPA is not required to in whole or in part. With respect to the have proposed or to take final SIP emission reductions program for its 2010 SO2 NAAQS, EPA has not issued areas subject to EPA approval approval or disapproval action on this a finding of failure to submit, issued a dependent upon whether the SIP as a element under section 110(k) of the finding of incompleteness, or whole meets applicable requirements of CAA. In this case, there has been no disapproved the submission in whole or the CAA). However, such considerations substantive submission for EPA to in part. Consequently, the two-year FIP are not required of New Hampshire at evaluate under section 110(k). Nor does clock has not yet begun to run. EPA the infrastructure SIP stage of NAAQS the lack of a submission addressing agrees in general that sections 110(a)(1) implementation, as the Commenter’s section 110(a)(2)(D)(i)(I) require EPA to and (a)(2) of the CAA require states to statements concern the separate disapprove New Hampshire’s submit, within three years of designations process under section September 13, 2013 SIP submittal as to promulgation of a new or revised 107.18 EPA disagrees that the the other elements of section 110(a)(2). NAAQS, a plan that addresses cross- EPA interprets its authority under state air pollution under section 18 EPA also notes that in EPA’s final rule section 110(k)(3) of the CAA as 110(a)(2)(D)(i)(I). In this rulemaking, regarding the 2010 SO2 NAAQS, EPA noted that it affording EPA the discretion to approve, however, EPA is only approving anticipates several forthcoming national and or conditionally approve, individual regional rules, such as the Industrial Boilers portions of New Hampshire’s standard under CAA section 112, are likely to elements of New Hampshire’s infrastructure SIP submissions for the require significant reductions in SO emissions over infrastructure SIP submissions, separate 2 2010 SO2 NAAQS, which did not the next several years. See 75 FR 35520. EPA and apart from any action with respect continues to believe similar national and regional include provisions for interstate to the requirements of section transport under section rules will lead to SO2 reductions that will help 110(a)(2)(D)(i)(I) of the CAA. EPA views achieve compliance with the 2010 SO2 NAAQS. If 110(a)(2)(D)(i)(I). A finding of failure to it appears that states with areas designated discrete infrastructure SIP requirements submit a SIP submission for the 2010 nonattainment in 2013 will nevertheless fail to in section 110(a)(2), such as the SO NAAQS addressing section attain the NAAQS as expeditiously as practicable requirements of 110(a)(2)(D)(i)(I), as 2 (but no later than October 2018) during EPA’s 110(a)(2)(D)(i)(I) could occur in a review of attainment SIPs required by section 172, severable from the other infrastructure separate rulemaking. As that issue was the CAA provides authorities and tools for EPA to elements and interprets section not addressed in the July 17, 2015 solve such failure, including, as appropriate, 110(k)(3) as allowing it to act on NPR,19 and is thus not pertinent to this disapproving submitted SIPs and promulgating individual severable measures in a plan federal implementation plans. Likewise, for any areas designated nonattainment after 2013, EPA has submission. 19 See 80 FR 42446, 42452 (July 17, 2015) (‘‘In the same authorities and tools available to address On August 21, 2012, the D.C. Circuit today’s rulemaking, EPA is not proposing to any areas which do not timely attain the NAAQS. issued a decision in EME Homer City Continued
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rulemaking, EPA provides no further the required infrastructure elements certain permitting actions in New response. In sum, New Hampshire’s and under sections 110(a)(1) and (2) for the Hampshire. See 80 FR 57722. Therefore, EPA’s obligations regarding interstate 2010 SO2 NAAQS, with the exception of we are conditionally approving herein transport of pollution for the 2010 SO2 certain aspects relating to the state’s the related portions of New Hampshire’s NAAQS will be addressed in later PSD program which we are infrastructure SIP submittals affected by rulemakings. conditionally approving. On September our September 25, 2015 conditional III. Final Action 25, 2015, we conditionally approved the approval. A summary of EPA’s actions portion of New Hampshire’s PSD regarding these infrastructure SIP EPA is approving a SIP submission from New Hampshire certifying the program that pertains to providing requirements are contained in Table 1 state’s current SIP is sufficient to meet notification to neighboring states of below.
TABLE 1—ACTION TAKEN ON NH INFRASTRUCTURE SIP SUBMITTALS FOR LISTED NAAQS
Element 2010 SO2
(A): Emission limits and other control measures ...... A (B): Ambient air quality monitoring and data system ...... A (C)(i): Enforcement of SIP measures ...... A (C)(ii): PSD program for major sources and major modifications ...... A * (C)(iii): Permitting program for minor sources and minor modifications ...... A (D)(i)(I): Contribute to nonattainment/interfere with maintenance of NAAQS (prongs 1 and 2) ...... NS (D)(i)(II): PSD (prong 3) ...... A * (D)(i)(II): Visibility Protection (prong 4) ...... A (D)(ii): Interstate Pollution Abatement ...... A * (D)(ii): International Pollution Abatement ...... A (E)(i): Adequate resources ...... A (E)(ii): State boards ...... A (E)(iii): Necessary assurances with respect to local agencies ...... NA (F): Stationary source monitoring system ...... A (G): Emergency power ...... A (H): Future SIP revisions ...... A (I): Nonattainment area plan or plan revisions under part D ...... + (J)(i): Consultation with government officials ...... A (J)(ii): Public notification ...... A (J)(iii): PSD ...... A * (J)(iv): Visibility protection ...... + (K): Air quality modeling and data ...... A (L): Permitting fees ...... A (M): Consultation and participation by affected local entities ...... A
In the above table, the key is as program. The outstanding issue with the SIP. EPA subsequently will publish a follows: PSD program concerns the lack of a document in the Federal Register A—Approve requirement that neighboring states be notifying the public that the conditional A*—Approve, but conditionally notified of the issuance of a PSD permit approval automatically converted to a approve aspect of PSD program by the New Hampshire Department of disapproval. If the State meets its relating to notification to neighboring Environmental Services. On September commitment within the applicable time states 25, 2015, we conditionally approved frame, the conditionally approved +—Not germane to infrastructure SIPs New Hampshire’s PSD program for this submission will remain a part of the SIP NS—No Submittal reason. See 80 FR 57722. Accordingly, until EPA takes final action approving NA—Not applicable we are also conditionally approving this or disapproving the new submittal. If Additionally, we are updating the aspect of New Hampshire’s EPA disapproves the new submittal, the classification of two air quality control infrastructure SIP revisions for the 2010 conditionally approved aspect of New regions in New Hampshire at 40 CFR SO2 NAAQS. New Hampshire must Hampshire’s PSD program will also be 52.1521. The classification of the submit to EPA a SIP submittal disapproved at that time. If EPA Androscoggin Valley Interstate control addressing the above mentioned approves the revised PSD program region is being revised from Priority 1A deficiency in the state’s PSD program submittal, then the portions of New to Priority III and the Merrimack within the timeframe provided within Hampshire’s infrastructure SIP Valley—Southern New Hampshire our September 25, 2015 action. If the submittals that were conditionally Interstate control region is being revised State fails to do so, the elements we are approved will be fully approved in their from Priority I to Priority III based on conditionally approving in this entirety and replace the conditional recent air quality monitoring data rulemaking will be disapproved on that approval in the SIP. In addition, final collected by the state. date. EPA will notify the State by letter disapproval of an infrastructure SIP EPA is conditionally approving an that this action has occurred. At that submittal triggers the Federal aspect of New Hampshire’s SIP revision time, this commitment will no longer be implementation plan (FIP) requirement submittals pertaining to the state’s PSD a part of the approved New Hampshire under section 110(c).
approve or disapprove New Hampshire’s NAAQS, since New Hampshire’s infrastructure SIPs respect to transport for sub-element 1, prongs 1 and compliance with section 110(a)(2)(D)(i)(I) with for these NAAQS do not include a submittal with 2.’’). respect to the 2008 ozone, 2010 NO2 and 2010 SO2
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IV. Statutory and Executive Order • Does not provide EPA with the List of Subjects in 40 CFR Part 52 Reviews discretionary authority to address, as Environmental protection, Air Under the Clean Air Act, the appropriate, disproportionate human pollution control, Incorporation by Administrator is required to approve a health or environmental effects, using reference, Intergovernmental relations, SIP submission that complies with the practicable and legally permissible Reporting and recordkeeping provisions of the Act and applicable methods, under Executive Order 12898 requirements, Sulfur dioxides. (59 FR 7629, February 16, 1994). Federal regulations. 42 U.S.C. 7410(k); Dated: June 15, 2016. 40 CFR 52.02(a). Thus, in reviewing SIP In addition, the SIP is not approved H. Curtis Spalding, submissions, EPA’s role is to approve to apply on any Indian reservation land state choices, provided that they meet or in any other area where EPA or an Regional Administrator, EPA New England. the criteria of the Clean Air Act. Indian tribe has demonstrated that a Part 52 of chapter I, title 40 of the Accordingly, this action merely tribe has jurisdiction. In those areas of Code of Federal Regulations is amended approves state law as meeting Federal Indian country, the rule does not have as follows: requirements and does not impose tribal implications and will not impose additional requirements beyond those substantial direct costs on tribal PART 52—APPROVAL AND imposed by state law. For that reason, governments or preempt tribal law as PROMULGATION OF this action: specified by Executive Order 13175 (65 IMPLEMENTATION PLANS • Is not a significant regulatory action FR 67249, November 9, 2000). ■ subject to review by the Office of The Congressional Review Act, 5 1. The authority citation for part 52 Management and Budget under U.S.C. 801 et seq., as added by the Small continues to read as follows: Executive Orders 12866 (58 FR 51735, Business Regulatory Enforcement Authority: 42 U.S.C. 7401 et seq. October 4, 1993) and 13563 (76 FR 3821, Fairness Act of 1996, generally provides January 21, 2011); that before a rule may take effect, the Subpart EE—New Hampshire • Does not impose an information agency promulgating the rule must ■ collection burden under the provisions submit a rule report, which includes a 2. Section 52.1519 is amended by of the Paperwork Reduction Act (44 copy of the rule, to each House of the adding paragraph (a)(11) to read as U.S.C. 3501 et seq.); Congress and to the Comptroller General follows: • of the United States. EPA will submit a Is certified as not having a § 52.1519 Identification of plan— significant economic impact on a report containing this action and other conditional approval. required information to the U.S. Senate, substantial number of small entities (a) * * * under the Regulatory Flexibility Act (5 the U.S. House of Representatives, and (11) 2010 Sulfur Dioxide NAAQS: The U.S.C. 601 et seq.); the Comptroller General of the United 110(a)(2) infrastructure SIP submitted • Does not contain any unfunded States prior to publication of the rule in on September 13, 2013, is conditionally mandate or significantly or uniquely the Federal Register. A major rule approved for Clean Air Act (CAA) affect small governments, as described cannot take effect until 60 days after it elements 110(a)(2)(C)(ii), (D)(i)(II), D(ii), in the Unfunded Mandates Reform Act is published in the Federal Register. and (J)(iii) only as it relates to the aspect of 1995 (Pub. L. 104–4); This action is not a ‘‘major rule’’ as • Does not have Federalism defined by 5 U.S.C. 804(2). of the PSD program pertaining to implications as specified in Executive Under section 307(b)(1) of the Clean providing notification to neighboring Order 13132 (64 FR 43255, August 10, Air Act, petitions for judicial review of states of certain permitting activity 1999); this action must be filed in the United being considered by New Hampshire. • Is not an economically significant States Court of Appeals for the This conditional approval is contingent regulatory action based on health or appropriate circuit by September 6, upon New Hampshire taking actions to safety risks subject to Executive Order 2016. Filing a petition for address these requirements as detailed 13045 (62 FR 19885, April 23, 1997); reconsideration by the Administrator of within a final conditional approval • Is not a significant regulatory action this final rule does not affect the finality dated September 25, 2015. subject to Executive Order 13211 (66 FR of this action for the purposes of judicial * * * * * 28355, May 22, 2001); review nor does it extend the time ■ 3. In § 52.1520, the table in paragraph • Is not subject to requirements of within which a petition for judicial (e) is amended by revising the entry for Section 12(d) of the National review may be filed, and shall not ‘‘Infrastructure SIP for the 2010 SO2 Technology Transfer and Advancement postpone the effectiveness of such rule NAAQS’’ to read as follows: Act of 1995 (15 U.S.C. 272 note) because or action. This action may not be application of those requirements would challenged later in proceedings to § 52.1520 Identification of plan. be inconsistent with the Clean Air Act; enforce its requirements. (See section * * * * * and 307(b)(2)). (e) * * *
NEW HAMPSHIRE NONREGULATORY
Applicable State submittal Name of nonregulatory geographic or 3 SIP provision nonattainment date/effective EPA approved date Explanations area date
******* Infrastructure SIP for the Statewide ...... 9/13/2013 7/8/2016 [Insert Federal Approved submittal, except for certain aspects re- 2010 SO2 NAAQS. Register citation] lating to PSD which were conditionally approved. See 52.1519.
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NEW HAMPSHIRE NONREGULATORY—Continued
Applicable Name of nonregulatory geographic or State submittal 3 Explanations SIP provision nonattainment date/effective EPA approved date area date
******* 3 In order to determine the EPA effective date for a specific provision listed in this table, consult the Federal Register notice cited in this col- umn for the particular provision.
■ 4. In § 52.1521, the table is amended ‘‘Merrimack Valley—Southern New § 52.1521 Classification of regions. by revising the entries for Hampshire Interstate’’ to read as * * * * * ‘‘Androscoggin Valley Interstate’’ and follows:
Pollutant Air quality control region Particulate Nitrogen Carbon matter Sulfur oxides dioxide monoxide Ozone
Androscoggin Valley Interstate ...... IA III III III III
******* Merrimack Valley—Southern New Hampshire Interstate ..... I III III III I
[FR Doc. 2016–15623 Filed 7–7–16; 8:45 am] BILLING CODE 6560–50–P
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Proposed Rules Federal Register Vol. 81, No. 131
Friday, July 8, 2016
This section of the FEDERAL REGISTER www.regulations.gov, including any an originating good of a NAFTA party contains notices to the public of the proposed personal information provided. For if: (1) It is wholly obtained or produced issuance of rules and regulations. The detailed instructions on submitting in one or more of the NAFTA parties; purpose of these notices is to give interested comments and additional information (2) it is produced entirely in one or persons an opportunity to participate in the on the rulemaking process, see the rule making prior to the adoption of the final more of the NAFTA parties exclusively rules. ‘‘Public Participation’’ heading of the from materials that originate in those SUPPLEMENTARY INFORMATION section of parties; or (3) each of the non- this document. originating materials used in the DEPARTMENT OF HOMELAND Docket: For access to the docket to production of the good undergoes an SECURITY read background documents or applicable change in tariff classification comments received, go to http:// as a result of production occurring U.S. Customs and Border Protection www.regulations.gov. Submitted entirely in the territory of one or more comments may be inspected during of the parties and satisfies any other DEPARTMENT OF THE TREASURY regular business days between the hours applicable requirement (which may of 9 a.m. and 4:30 p.m. at the Trade and include a regional value-content 19 CFR PART 102 Commercial Regulations Branch, requirement). The NAFTA preference Regulations and Rulings, Office of [Docket No. USCBP–2016–0041] change in tariff classification (or ‘‘tariff- International Trade, Customs and shift’’) rules are set forth in General RIN 1515–AD78 Border Protection, 90 K Street NE., 10th Note 12(t) of the Harmonized Tariff Floor, Washington, DC. Arrangements to Schedule of the United States (HTSUS). North American Free Trade inspect submitted comments should be Agreement; Preference Override made in advance by calling Mr. Joseph General Note 12(a), HTSUS, provides Clark at (202) 325–0118. that an imported good is eligible for AGENCY: U.S. Customs and Border preferential tariff treatment under the FOR FURTHER INFORMATION CONTACT: Protection, Department of Homeland NAFTA only if it is an originating good Monika Brenner, Chief, Valuation and Security; Department of the Treasury. of a NAFTA party and it qualifies to be Special Programs Branch, Regulations ACTION: marked as a good of Canada or Mexico Notice of proposed rulemaking. and Rulings, Office of International under the rules for determining the Trade, (202) 325–0038. SUMMARY: The United States, Canada country of origin of a good for purposes and Mexico have agreed to liberalize SUPPLEMENTARY INFORMATION: of Annex 311 of the NAFTA. The rules provisions of the North American Free Public Participation for determining the country of origin for Trade Agreement (NAFTA) preference Interested persons are invited to marking in such cases are included in rules of origin that relate to certain part 102, CBP regulations (19 CFR part goods, including certain spices. participate in this rulemaking by submitting written data, views, or 102). In situations in which an imported However, such liberalization cannot good is determined under Article 401 of take effect unless U.S. Customs and arguments on all aspects of the proposed rule. CBP also invites the NAFTA to be originating but fails to Border Protection (CBP) amends its qualify as a good of Canada or Mexico regulations to allow the NAFTA comments that relate to the economic, environmental, or federalism effects that under the other applicable provisions preference override to apply to certain set forth in 19 CFR part 102, the NAFTA spice products and other food products. might result from this proposed rulemaking. Comments that will provide preference override in § 102.19 may This document proposes such an provide a basis for enabling the good to amendment. the most assistance to CBP will reference a specific portion of the qualify as a good of Canada or Mexico. DATES: Comments must be received on proposed rulemaking, explain the Under § 102.19, if a good which has or before September 6, 2016. reason for any recommended change, NAFTA originating status is not ADDRESSES: You may submit comments, and include data, information, or determined to be a good of Canada or identified by docket number, by one of authority that support such Mexico under § 102.11(a) or (b) or the following methods: recommended change. See ADDRESSES § 102.21, the country of origin of the • Federal eRulemaking Portal: http:// above for information on how to submit good is determined to be the last www.regulations.gov. Follow the comments. NAFTA country in which the good instructions for submitting comments underwent production other than minor via docket number USCBP–2016–0041. Background processing, provided that a NAFTA • Mail: Trade and Commercial On December 17, 1992, the United Certificate of Origin has been completed Regulations Branch, Regulations and States, Canada, and Mexico (the parties) and signed for the good (emphasis Rulings, Office of International Trade, entered into the North American Free added). ‘‘Production’’ is broadly defined Customs and Border Protection, 90 K Trade Agreement (NAFTA). The in § 102.1(n) as ‘‘growing, mining, Street NE., 10th Floor, Washington, DC provisions of the NAFTA were adopted harvesting, fishing, trapping, hunting, 20229–1177. by the United States with enactment of manufacturing, processing or Instructions: All submissions received the North American Free Trade assembling a good.’’ ‘‘Minor processing’’ must include the agency name and Agreement Implementation Act, Public is defined in § 102.1(m) and includes docket number for this rulemaking. All Law 103–182, 107 Stat. 2057 (December ‘‘[p]utting up in measured doses, comments received will be posted 8, 1993). Under Article 401 of the packing, repacking, packaging, without change to http:// NAFTA, an imported good qualifies as repackaging.’’
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Thus in certain instances § 102.19 Ruling Letter (HQ) 561986 dated August from Canada and Mexico that, under the allows the originating status of a good 21, 2001. liberalized rules of origin in General to ‘‘override’’ a determination that it is However, contrary to the intentions of Note 12(t), are considered NAFTA not a good of Canada or Mexico. In other the NAFTA parties, these goods are not originating as a result of minor words, it allows NAFTA preferential receiving NAFTA preferential tariff processing operations (e.g., packaging) tariff treatment to be granted to certain treatment when imported into the performed in a NAFTA party. goods that otherwise would be ineligible United States from Canada or Mexico for such treatment due to the General because they do not qualify to be Statutory and Regulatory Requirements marked as goods of Canada or Mexico Note 12(a)’s requirement that originating A. Executive Order 13563 and Executive under the NAFTA Marking Rules in 19 goods qualify to be marked as goods of Order 12866 Canada or Mexico under the NAFTA CFR part 102, as required by General Marking Rules. However, under Note 12(a), HTSUS. This anomalous Executive Orders 13563 and 12866 § 102.19, as it currently reads, minor result stems, in part, from the fact that, direct agencies to assess the costs and processing would not be a type of in regard to those goods that obtain benefits of available regulatory production that would qualify a good to originating status as a result of minor alternatives and, if regulation is be labeled as a product of the country processing in a NAFTA party, the necessary, to select regulatory pertinent NAFTA marking rules in 19 in which the labeling took place and approaches that maximize net benefits CFR 102.20 are more stringent than the thus would not enable the good to take (including potential economic, comparable liberalized NAFTA advantage of NAFTA tariff preferences. environmental, public health and safety preference rules set forth in General Explanation of Amendments Note 12(t), HTSUS. As discussed above, effects, distributive impacts, and the NAFTA preference override equity). Executive Order 13563 Since the NAFTA entered into effect, emphasizes the importance of the three parties to the Agreement have provision in § 102.19(a) fails to resolve this problem since, as discussed above, quantifying both costs and benefits, of agreed to liberalizations to the NAFTA reducing costs, of harmonizing rules, preference rules of origin for various this provision overrides a determination that a good is not a good of Canada or and of promoting flexibility. This goods. As a result, a lesser degree of rulemaking is not a ‘‘significant processing in a NAFTA party is required Mexico only in situations in which the regulatory action,’’ under section 3(f) of to constitute ‘‘production’’ which will good undergoes production other than the Executive Order 12866. confer originating status to certain non- minor processing, in a NAFTA country. CBP notes that 19 CFR 102.17 Accordingly, OMB has not reviewed NAFTA materials. The United States provides that a foreign material will not took steps to implement these changes this proposed rule. be considered to have undergone an by amending the NAFTA preference applicable change in tariff classification B. Regulatory Flexibility Act tariff-shift rules in General Note 12(t), specified in § 102.20 or § 102.21 or to HTSUS, through Presidential This section examines the impact of have met any other applicable Proclamations 7870 dated February 9, the rule on small entities as required by requirements of those sections merely the Regulatory Flexibility Act (5 U.S.C. 2005 (published in the Federal Register by reason of having been subjected to 601 et seq.), as amended by the Small on February 14, 2005 (70 FR 7611)), certain specified operations, including 8067 dated October 11, 2006 (published ‘‘[s]imple packing, repacking or retail Business Regulatory Enforcement and in the Federal Register on October 13, packaging without more than minor Fairness Act of 1996 (SBREFA). A small 2006 (71 FR 60649)), and 8405 dated processing.’’ This provision clearly is entity may be a small business (defined August 31, 2009 (published in the not an impediment to the proposed as any independently owned and Federal Register on September 2, 2009 amendment set forth in this document operated business not dominant in its (74 FR 45529)). as the ‘‘non-qualifying operations’’ field that qualifies as a small business For spices and certain other food specified in § 102.17 relate only to the per the Small Business Act); a small not- products, Presidential Proclamation application of the rules set forth in for-profit organization; or a small 7870 specifically liberalized various §§ 102.20 and 102.21 and not to the governmental jurisdiction (locality with rules of origin in General Note 12(t) to NAFTA preference override in § 102.19. fewer than 50,000 people). permit minor processing operations in a CBP understands that, as a result of The proposed rule, if finalized, will NAFTA party, such as packaging, to actions taken or interpretations adopted extend NAFTA preferential tariff confer originating status on a good. For by the Governments of Canada and treatment to certain goods imported example, the NAFTA preference rule for Mexico, the above-referenced spices and from Mexico and Canada that currently tea (heading 0902, HTSUS) was changed other food products subject to the are not receiving such treatment, despite to permit blending and/or packaging to NAFTA liberalizations are receiving the fact that these goods presently confer NAFTA originating status. NAFTA preferential tariff treatment Similarly, changes to the preference when imported from the United States qualify as NAFTA originating under rules of origin for products such as into Canada and Mexico (assuming General Note 12(t), HTSUS. Therefore, peppers (subheading 0904.12, HTSUS), compliance with all applicable the proposed amendment would benefit cloves (heading 0907, HTSUS), poppy requirements). To rectify the problem importers of such goods from Canada seeds (subheading 1207.91, HTSUS), discussed above with respect to imports and Mexico by eliminating the customs and certain other spices were also from Canada and Mexico, CBP is duties and merchandise processing fees liberalized by Proclamation 7870 to proposing to amend § 102.19 by adding that presently are due for these allow these goods to become NAFTA a new paragraph (c) to allow the NAFTA importations. To the extent that this originating as a result of packaging preference override to apply to these rulemaking affects small entities, these operations in a NAFTA party. It is noted specific goods. This proposed change, if entities would experience a cost that blending is considered to be more finalized, will give effect to the savings. Therefore, CBP certifies that the than a minor processing operation for intentions of the NAFTA parties by proposed rule would not have a purposes of the NAFTA Marking Rules. extending NAFTA preferential tariff significant economic impact on a See, for example, CBP Headquarters treatment to certain goods imported substantial number of small entities.
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Paperwork Reduction Act DEPARTMENT OF THE TREASURY Paperwork Reduction Act As there is no collection of The collection of information Internal Revenue Service information proposed in this document, contained in this notice of proposed the provisions of the Paperwork rulemaking has been submitted to the 26 CFR Parts 1 and 301 Reduction Act (44 U.S.C. 3507) are Office of Management and Budget in inapplicable. accordance with the Paperwork [REG–109086–15] Reduction Act of 1995 (44 U.S.C. Signing Authority 3507(d)). Comments on the collection of This document is being issued in RIN 1545–BN50 information should be sent to the Office accordance with § 0.1(a)(1) of the CBP of Management and Budget, Attn: Desk Regulations (19 CFR 0.1(a)(1)) Premium Tax Credit NPRM VI Officer for the Department of the pertaining to the authority of the AGENCY: Internal Revenue Service (IRS), Treasury, Office of Information and Secretary of the Treasury (or his/her Treasury. Regulatory Affairs, Washington, DC delegate) to approve regulations related 20503, with copies to the Internal ACTION: Notice of proposed rulemaking. to certain customs revenue functions. Revenue Service, Attn: IRS Reports Clearance Officer, List of Subjects in 19 CFR Part 102 SUMMARY: This document contains proposed regulations relating to the SE:W:CAR:MP:T:T:SP, Washington, DC Canada, Customs duties and health insurance premium tax credit 20224. Comments on the collection of inspections, Imports, Mexico, Reporting (premium tax credit) and the individual information should be received by and recordkeeping requirements, Trade shared responsibility provision. These September 6, 2016. Comments are agreements. proposed regulations affect individuals specifically requested concerning: Whether the proposed collection of Proposed Amendments to the CBP who enroll in qualified health plans information is necessary for the proper Regulations through Health Insurance Exchanges (Exchanges, also called Marketplaces) performance of the functions of the IRS, For the reasons set forth above, part and claim the premium tax credit, and including whether the information will 102 of title 19 of the Code of Federal Exchanges that make qualified health have practical utility; Regulations (19 CFR part 102) is How the quality, utility, and clarity of plans available to individuals and proposed to be amended as set forth the information to be collected may be employers. These proposed regulations below. enhanced; also affect individuals who are eligible How the burden of complying with PART 102—RULES OF ORIGIN for employer-sponsored health coverage the proposed collection of information and individuals who seek to claim an may be minimized, including through ■ 1. The authority citation for part 102, exemption from the individual shared the application of automated collection CBP regulations, continues to read as responsibility provision because of techniques or other forms of information follows: unaffordable coverage. Although technology; and Authority: 19 U.S.C. 66, 1202 (General employers are not directly affected by Estimates of capital or start-up costs Note 3(i), Harmonized Tariff Schedule of the rules governing the premium tax credit, and costs of operation, maintenance, United States (HTSUS)), 1624, 3314, 3592. these proposed regulations may and purchase of services to provide indirectly affect employers through the information. § 102.19 [Amended] employer shared responsibility The collection of information in these ■ 2. In § 102.19: provisions and the related information proposed regulations is in § 1.36B–5. ■ a. Paragraph (a) is amended by adding reporting provisions. The collection of information is the words ‘‘or (c)’’ after the words DATES: Written (including electronic) necessary to reconcile advance ‘‘paragraph (b)’’; and comments and requests for a public payments of the premium tax credit and ■ b. Paragraph (c) is added to read as hearing must be received by September determine the allowable premium tax follows: 6, 2016. credit. The collection of information is (c) If a good classifiable under required to comply with the provisions heading 0907, 0908, 0909, or ADDRESSES: Send submissions to: CC:PA:LPD:PR (REG–109086–15), Room of section 36B of the Internal Revenue subheading 0910.11, 0910.12, 0910.30, Code (Code). The likely respondents are 0910.99 or 1207.91, HTSUS, is 5203, Internal Revenue Service, P.O. Box 7604, Ben Franklin Station, Marketplaces that enroll individuals in originating within the meaning of qualified health plans. section 181.1(q) of this chapter, but is Washington, DC 20044. Submissions may be hand-delivered Monday through The burden for the collection of not determined under section 102.11(a) information contained in these or (b) to be a good of a single NAFTA Friday between the hours of 8 a.m. and 4 p.m. to CC:PA:LPD:PR (REG–109086– proposed regulations will be reflected in country, the country of origin of such the burden on Form 1095–A, Health good is the last NAFTA country in 15), Courier’s Desk, Internal Revenue Service, 1111 Constitution Avenue NW., Insurance Marketplace Statement, which that good underwent production, which is the form that will request the provided that a Certificate of Origin (see Washington, DC, or sent electronically via the Federal eRulemaking Portal at information from the Marketplaces in § 181.11 of this Chapter) has been the proposed regulations. completed and signed for the good. http://www.regulations.gov (REG– 109086–15). An agency may not conduct or sponsor, and a person is not required to R. Gil Kerlikowske, FOR FURTHER INFORMATION CONTACT: Commissioner, U.S. Customs and Border respond to, a collection of information Concerning the proposed regulations, unless it displays a valid control Protection. Shareen Pflanz, (202) 317–4727; Approved: July 1, 2016. number assigned by the Office of concerning the submission of comments Management and Budget. Timothy E. Skud, and/or requests for a public hearing, Deputy Assistant Secretary of the Treasury. Oluwafunmilayo Taylor, (202) 317–6901 Background [FR Doc. 2016–16088 Filed 7–7–16; 8:45 am] (not toll-free calls). Beginning in 2014, under the Patient BILLING CODE P SUPPLEMENTARY INFORMATION: Protection and Affordable Care Act,
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Public Law 111–148 (124 Stat. 119 income and family size for the taxable (providing the applicable percentage (2010)), and the Health Care and year. Taxpayers who receive the benefit table for taxable years beginning in Education Reconciliation Act of 2010, of advance credit payments are required 2016) and Rev. Proc. 2014–37, 2014–2 Public Law 111–152 (124 Stat. 1029 to file an income tax return to reconcile C.B. 363 (providing the applicable (2010)) (collectively, the Affordable Care the amount of advance credit payments percentage table for taxable years Act), eligible individuals who purchase made during the year with the amount beginning in 2015). A taxpayer’s coverage under a qualified health plan of the credit allowable for the taxable coverage family refers to all members of through an Exchange may claim a year. the taxpayer’s family who enroll in a premium tax credit under section 36B of Under § 1.36B–2(b)(6), in general, a qualified health plan in a month and are the Code. Section 36B was subsequently taxpayer whose household income for a not eligible for minimum essential amended by the Medicare and Medicaid taxable year is less than 100 percent of coverage as defined in section 5000A(f) Extenders Act of 2010, Public Law 111– the applicable FPL is nonetheless (other than coverage in the individual 309 (124 Stat. 3285 (2010)); the treated as an applicable taxpayer if (1) market) for that month. Comprehensive 1099 Taxpayer the taxpayer or a family member enrolls Under section 1301(a)(1)(B) of the Protection and Repayment of Exchange in a qualified health plan, (2) an Affordable Care Act, a qualified health Subsidy Overpayments Act of 2011, Exchange estimates at the time of plan must offer the essential health Public Law 112–9 (125 Stat. 36 (2011)); enrollment that the taxpayer’s benefits package described in section and the Department of Defense and Full- household income for the taxable year 1302(a). Under section 1302(b)(1)(J) of Year Continuing Appropriations Act, will be between 100 and 400 percent of the Affordable Care Act, the essential 2011, Public Law 112–10 (125 Stat. 38 the applicable FPL, (3) advance credit health benefits package includes (2011)). payments are authorized and paid for pediatric services, including oral and The Affordable Care Act also added one or more months during the taxable vision care. Section 1302(b)(4)(F) of the section 5000A to the Code. Section year, and (4) the taxpayer would be an Affordable Care Act provides that, if an 5000A was subsequently amended by applicable taxpayer but for the fact that Exchange offers a plan described in the TRICARE Affirmation Act of 2010, the taxpayer’s household income for the section 1311(d)(2)(B)(ii)(I) of the Public Law 111–159 (124 Stat. 1123 taxable year is below 100 percent of the Affordable Care Act (42 U.S.C. (2010)) and Public Law 111–173 (124 applicable FPL. 13031(d)(2)(B)(ii)(I)) (a stand-alone Stat. 1215 (2010)). Section 5000A dental plan), other health plans offered Premium Assistance Credit Amount provides that, for months beginning through the Exchange will not fail to be after December 31, 2013, a nonexempt Under section 36B(a), a taxpayer’s qualified health plans solely because the individual must have qualifying premium tax credit is equal to the plans do not offer pediatric dental healthcare coverage (called minimum premium assistance credit amount for benefits. essential coverage) or make an the taxable year. Section 36B(b)(1) and For purposes of calculating the individual shared responsibility § 1.36B–3(d) generally provide that the premium assistance amount for a payment. premium assistance credit amount is the taxpayer who enrolls in both a qualified sum of the premium assistance amounts health plan and a stand-alone dental Applicable Taxpayers for all coverage months in the taxable plan, section 36B(b)(3)(E) provides that To be eligible for a premium tax year for individuals in the taxpayer’s the enrollment premium includes the credit, an individual must be an family. The premium assistance amount portion of the premium for the stand- applicable taxpayer. Among other for a coverage month is the lesser of (1) alone dental plan properly allocable to requirements, under section 36B(c)(1) the premiums for the month for one or pediatric dental benefits that are an applicable taxpayer is a taxpayer more qualified health plans that cover a included in the essential health benefits whose household income for the taxable taxpayer or family member (enrollment required to be provided by a qualified year is between 100 percent and 400 premium), or (2) the excess of the health plan. percent of the Federal poverty line (FPL) adjusted monthly premium for the Section 36B(b)(3)(B) provides that the for the taxpayer’s family size (or is a second lowest cost silver plan (as benchmark plan with respect to an lawfully present non-citizen who has described in section 1302(d)(1)(B) of the applicable taxpayer is the second lowest income below 100 percent of the FPL Affordable Care Act (42 U.S.C. cost silver plan offered by the and is ineligible for Medicaid). A 18022(d)(1)(B)) offered through the Marketplace through which the taxpayer’s family size is equal to the Exchange for the rating area where the applicable taxpayer (or a family number of individuals in the taxpayer’s taxpayer resides that would provide member) enrolled and which provides family. Under section 36B(d)(1), a coverage to the taxpayer’s coverage (1) self-only coverage, in the case of taxpayer’s family consists of the family (the benchmark plan), over 1/12 unmarried individuals (other than a individuals for whom the taxpayer of the product of the taxpayer’s surviving spouse or head of household) claims a personal exemption deduction household income and the applicable who do not claim any dependents, or under section 151 for the taxable year. percentage for the taxable year (the any other individual who enrolls in self- Taxpayers may claim a personal contribution amount). In general, the only coverage, and (2) family coverage, exemption deduction for themselves, a benchmark plan’s adjusted monthly in the case of any other applicable spouse, and each of their dependents. premium is the premium an insurer taxpayer. Section 1.36B–1(l) provides Under section 1412 of the Affordable would charge for the plan adjusted only that self-only coverage means health Care Act, advance payments of the for the ages of the covered individuals. insurance that covers one individual. premium tax credit (advance credit The applicable percentage is provided Section 1.36B–1(m) provides that family payments) may be made directly to in a table that is updated annually and coverage means health insurance that insurers on behalf of eligible represents the portion of a taxpayer’s covers more than one individual. individuals. The amount of advance household income that the taxpayer is Under § 1.36B–3(f)(3), if there are one credit payments made on behalf of a expected to pay if the taxpayer’s or more silver-level plans offered taxpayer in a taxable year is determined coverage family enrolls in the through the Exchange for the rating area by a number of factors including benchmark plan. See, for example, Rev. where the taxpayer resides that do not projections of the taxpayer’s household Proc. 2014–62, 2014–2 C.B. 948 cover all members of a taxpayer’s
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coverage family under one policy (for for a period of coverage under a considered affordable if, when an example, because of the relationships qualified health plan if, when the individual enrolls in a qualified health within the family), the benchmark plan individual enrolls in the qualified plan, the Marketplace determines that premium is the second lowest-cost health plan, an Exchange determines or the eligible employer-sponsored plan is option for covering all members of the considers (within the meaning of 45 not affordable. However, that rule does taxpayer’s family, which may be either CFR 155.302(b)) the individual to be not apply for an individual who, with a single silver-level policy or more than ineligible for such program. In addition, reckless disregard for the facts, provides one silver-level policy. § 1.36B–2(c)(2)(iv) provides that if an incorrect information to a Marketplace Section 1.36B–3(d)(2) provides that, if individual receiving the benefit of concerning the employee’s portion of a qualified health plan is terminated advance credit payments is determined the annual premium for coverage under before the last day of a month or an to be eligible for a government- the eligible employer-sponsored plan. In individual is enrolled in coverage sponsored program, and that eligibility addition, under section 36B(c)(2)(C)(iii) effective on the date of the individual’s is effective retroactively, then, for and § 1.36B–2(c)(3)(vii)(A), an birth, adoption, or placement for purposes of the premium tax credit, the individual is treated as eligible for adoption or in foster care, or on the individual is treated as eligible for the employer-sponsored coverage if the effective date of a court order, the program no earlier than the first day of individual actually enrolls in an eligible premium assistance amount for the the first calendar month beginning after employer-sponsored plan, even if the month is the lesser of the enrollment the approval. coverage is not affordable or does not premiums for the month (reduced by Coverage under an eligible employer- provide minimum value. any amounts that were refunded) or the sponsored plan is minimum essential Section 1.36B–2(c)(3)(iii)(A) provides excess of the benchmark plan premium coverage. In general, an eligible that, subject to the rules described for a full month of coverage over the full employer-sponsored plan is coverage above, an employee or related contribution amount for the month. provided by an employer to its individual may be considered eligible employees (and their dependents) under for coverage under an eligible employer- Coverage Month a group health plan maintained by the sponsored plan for a month during a Under section 36B(c)(2)(A) and employer. See section 5000A(f)(2) and plan year if the employee or related § 1.36B–3(c)(1), a coverage month is § 1.5000A–2(c). Under section individual could have enrolled in the generally any month for which the 5000A(f)(3) and § 1.5000A–2(g), plan for that month during an open or taxpayer or a family member is covered minimum essential coverage does not special enrollment period. Under by a qualified health plan enrolled in include any coverage that consists § 1.36B–2(c)(3)(ii), plan year means an through an Exchange on the first day of solely of excepted benefits described in eligible employer-sponsored plan’s the month and the premium is paid by section 2791(c)(1), (c)(2), (c)(3), or (c)(4) regular 12-month coverage period (or the taxpayer or through an advance of the Public Health Service Act (PHS the remainder of a 12-month coverage credit payment. However, section Act) (42 U.S.C. 300gg–91(c)), or period for a new employee or an 36B(c)(2) provides that a month is not regulations issued under those individual who enrolls during a special a coverage month for an individual who provisions (45 CFR 148.220). In general, enrollment period). is eligible for minimum essential excepted benefits are benefits that are Although coverage in the individual coverage other than coverage in the limited in scope or are conditional. market is minimum essential coverage individual market. Under section Under section 36B(c)(2)(C) and under section 5000A(f)(1)(C), under 36B(c)(2)(B)(ii), minimum essential § 1.36B–2(c)(3)(i), except as provided in section 36B(c)(2)(B)(i), an individual coverage is defined by reference to the next paragraph of this preamble, an who is eligible for or enrolled in section 5000A(f). Minimum essential individual is treated as eligible for coverage in the individual market coverage includes government- coverage under an eligible employer- (whether or not obtained through the sponsored programs such as most sponsored plan only if the employee’s Marketplace) nevertheless may have a Medicaid coverage, Medicare part A, the share of the premium is affordable and coverage month for purposes of the Children’s Health Insurance Program the coverage provides minimum value. premium tax credit. (CHIP), most TRICARE programs, most Under section 36B(c)(2)(C), an eligible coverage provided to veterans under employer-sponsored plan is treated as Required Contribution for Employer- title 38 of the United States Code, and affordable for an employee if the Sponsored Coverage the Nonappropriated Fund Health amount of the employee’s required Under section 36B(c)(2)(C) and Benefits Program of the Department of contribution (within the meaning of § 1.36B–2(c)(3)(v)(A)(1) and (2), an Defense. See section 5000A(f)(1) and section 5000A(e)(1)(B)) for self-only eligible employer-sponsored plan is § 1.5000A–2(b). Section 1.36B–2(c)(3)(i) coverage does not exceed a specified treated as affordable for an employee or provides that, for purposes of section percentage of the employee’s household a related individual if the amount the 36B, the government-sponsored income. The affordability of coverage for employee must pay for self-only programs described in section individuals related to an employee is coverage whether by salary reduction or 5000A(f)(1)(A) are not considered determined in the same manner. Thus, otherwise (the employee’s required eligible employer-sponsored plans. under section 36B(c)(2)(C)(i) and contribution) does not exceed a Under § 1.36B–2(c)(2)(i), an § 1.36B–2(c)(3)(v)(A)(2), an eligible specified percentage of the employee’s individual generally is treated as employer-sponsored plan is treated as household income. Under section eligible for government-sponsored affordable for an individual eligible for 36B(c)(2)(C)(i)(II), an employee’s minimum essential coverage as of the the plan because of a relationship to an required contribution has the same first day of the first full month that the employee if the amount of the meaning for purposes of the premium individual meets the criteria for employee’s required contribution for tax credit as in section 5000A(e)(1)(B). coverage and is eligible to receive self-only coverage does not exceed a Section 5000A provides that, for each benefits under the government program. specified percentage of the employee’s month, taxpayers must have minimum However, under § 1.36B–2(c)(2)(v) an household income. essential coverage, qualify for a health individual is treated as not eligible for Under § 1.36B–2(c)(3)(v)(A)(3), an coverage exemption, or make an Medicaid, CHIP, or a similar program eligible employer-sponsored plan is not individual shared responsibility
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payment when they file a Federal only if the employee declines coverage addition, for the same period, an income tax return. Section 5000A(e)(1) (which includes waiving coverage in individual who can demonstrate that he and § 1.5000A–3(e)(1) provide that an which the employee would otherwise be or she meets the condition(s) (in individual is exempt for a month when enrolled) under the employer-sponsored addition to declining the employer’s the individual cannot afford minimum plan, and (2) cannot be used to pay for health coverage) that must be satisfied essential coverage. For this purpose, an coverage under the employer-sponsored to receive an opt-out payment (such as individual cannot afford coverage if the plan. The arrangement under which the demonstrating that the employee has individual’s required contribution opt-out payment is made available is an coverage under a spouse’s group health (determined on an annual basis) for opt-out arrangement. plan) may treat the amount of the minimum essential coverage exceeds a As Notice 2015–87 explains, the conditional opt-out payment as specified percentage of the individual’s Treasury Department and the IRS have increasing the employee’s required household income. Under section determined that it is generally contribution for purposes of sections 5000A(e)(1)(B)(i) and § 1.5000A– appropriate to treat an opt-out payment 36B and 5000A. See the section of this 3(e)(3)(ii)(A), for employees eligible for that is made available under an preamble entitled ‘‘Effective/ coverage under an eligible employer- unconditional opt-out arrangement in Applicability Date’’ for additional sponsored plan, the employee’s required the same manner as a salary reduction related discussion. contribution is the amount an employee contribution for purposes of Notice 2015–87 included a request for would have to pay for self-only coverage determining an employee’s required comments on opt-out arrangements. The (whether paid through salary reduction contribution under sections 36B and Treasury Department and the IRS or otherwise) under the plan. For 5000A and any related consequences received a number of comments, and the individuals eligible to enroll in under sections 4980H(b) and 6056. comments are discussed in section 2.f. employer-sponsored coverage because Accordingly, Notice 2015–87 provides of this preamble entitled ‘‘Opt-out of a relationship to an employee (related that the Treasury Department and the arrangements and an employee’s individual), under section IRS intend to propose regulations required contribution.’’ 5000A(e)(1)(C) and § 1.5000A– reflecting this rule and to request Information Reporting 3(e)(3)(ii)(B), the required contribution comments on those regulations. For this is the portion of the annual premium purpose, an unconditional opt-out Section 36B(f)(3) provides that that the employee would pay (whether arrangement refers to an arrangement Exchanges must report to the IRS and to through salary reduction or otherwise) providing payments conditioned solely taxpayers certain information required for the lowest cost family coverage that on an employee declining coverage to administer the premium tax credit. would cover the employee and all under employer-sponsored coverage and Section 1.36B–5(c)(1) provides that the related individuals who are included in not on an employee satisfying any other information required to be reported the employee’s family and are not meaningful requirement related to the annually includes (1) identifying otherwise exempt under § 1.5000A–3. provision of health care to employees, information for each enrollee, (2) Notice 2015–87, 2015–52 I.R.B. 889, such as a requirement to provide proof identifying information for the coverage, provides guidance on determining the of coverage through a plan of a spouse’s (3) the amount of enrollment premiums affordability of an employer’s offer of employer. and advance credit payments for the eligible employer-sponsored coverage Notice 2015–87 also provides that the coverage, (4) the premium for the for purposes of sections 36B, 5000A, Treasury Department and the IRS benchmark plan used to calculate the and 4980H (and the related information amount of the advance credit payments 1 anticipate requesting comments on the reporting under section 6056). In treatment of conditional opt-out made on behalf of the taxpayer or other relevant part, Notice 2015–87 addresses arrangements, meaning opt-out enrollee, if advance credit payments how to determine the affordability of an arrangements under which payments were made, and the benchmark plan employer’s offer of eligible employer- are conditioned not only on the premium that would apply to all sponsored coverage if an employer also employee declining employer- individuals enrolled in the coverage if makes available an opt-out payment, sponsored coverage but also on advance credit payments were not which is a payment that (1) is available satisfaction of one or more additional made, and (5) the dates the coverage meaningful conditions (such as the started and ended. Section 1.36B– 1 An assessable payment under section 4980H(b) may arise if at least one full-time employee (as employee providing proof of enrollment 5(c)(3)(i) provides that an Exchange defined in § 54.4980H–1(a)(21)) of the applicable in coverage provided by a spouse’s must report this information for each large employer (as defined in § 54.4980H–1(a)(4)) employer or other coverage). family enrolled in the coverage. receives the premium tax credit. A full-time Notice 2015–87 provides that, until employee generally is ineligible for the premium Explanation of Provisions tax credit if the employee is offered minimum the applicability date of any final essential coverage under an eligible employer- regulations (and in any event for plan 1. Effective/Applicability Date sponsored plan that is affordable and provides years beginning before 2017), Except as otherwise provided in this minimum value. The determination of whether an individuals may treat opt-out payments applicable large employer has made an offer of section, these regulations are proposed affordable coverage under an eligible employer- made available under unconditional to apply for taxable years beginning sponsored plan for purposes of section 4980H(b) opt-out arrangements as increasing the after December 31, 2016. As indicated in generally is based on the standard set forth in employee’s required contribution for section 36B, which provides that an offer is 2 affordable if the employee’s required contribution is purposes of sections 36B and 5000A. In a payment made available under a non-relief- at or below 9.5 percent (as indexed) of the eligible opt-out arrangement) for purposes of employee’s household income. However, because 2 Notice 2015–87 also provides that the Treasury section 6056 (Form 1095–C), and an opt-out an employer generally will not know the taxpayer Department and the IRS anticipate that the payment made available under an opt-out employee’s household income, § 54.4980H–5(e)(2) regulations generally will apply only for periods arrangement (other than a payment made available sets forth three safe harbors under which an after the issuance of final regulations and that for under a non-relief-eligible opt-out arrangement) employer may determine affordability (solely for the period prior to the applicability date of the final will not be treated as increasing an employee’s purposes of section 4980H) based on information regulations, employers are not required to increase required contribution for purposes of any potential that is readily available to the employer (that is, the amount of an employee’s required contribution consequences under section 4980H(b). For a Form W–2 wages, the rate of pay, or the Federal by the amount of an opt-out payment made discussion of non-relief-eligible opt-out poverty line). available under an opt-out arrangement (other than arrangements see Notice 2015–87, Q&A–9.
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this section, taxpayers may rely on Basic Health Program) may be treated as plan year and does not have the certain provisions of the proposed eligible for coverage under the program opportunity to enroll in that coverage regulations for taxable years ending after if, with intentional or reckless disregard for one or more succeeding plan years, December 31, 2013. In addition, several for the facts, the individual (or a person for purposes of section 36B, the rules are proposed to apply for taxable claiming a personal exemption for the individual is treated as ineligible for years beginning after December 31, individual) provided incorrect that coverage for the succeeding plan 2018. See the later section of this information to the Exchange. year or years for which there is no 3 preamble entitled ‘‘Effective/ c. Nonappropriated Fund Health enrollment opportunity. Applicability Date’’ for information on Benefits Program e. Excepted Benefits the applicability date for the regulations The existing regulations under section on opt-out arrangements. Under section 36B and § 1.36B– 36B provide that government-sponsored 2(c)(3)(vii)(A), an individual is treated 2. Eligibility programs described in section as eligible for minimum essential a. Applicable Taxpayers 5000A(f)(1)(A), which include the Nonappropriated Fund Health Benefits coverage through an eligible employer- To avoid repayments of advance Program of the Department of Defense, sponsored plan if the individual credit payments for taxpayers who established under section 349 of the actually enrolls in the coverage, even if experience an unforeseen decline in National Defense Authorization Act for the coverage is not affordable or does income, the existing regulations provide Fiscal Year 1995 (Public Law 103–337; not provide minimum value. Although that if an Exchange determines at 10 U.S.C. 1587 note), are not eligible health coverage that consists solely of enrollment that the taxpayer’s employer-sponsored plans. However, excepted benefits may be a group health household income will be at least 100 § 1.5000A–2(c)(2) provides that, because plan and, therefore, is an eligible percent but will not exceed 400 percent the Nonappropriated Fund Health employer-sponsored plan under section of the applicable FPL, the taxpayer will Benefits Program (Program) is offered by 5000A(f)(2) and § 1.5000A–2(c)(1), not lose his or her status as an an instrumentality of the Department of section 5000A(f)(3) provides that health applicable taxpayer solely because Defense to its employees, the Program is coverage that consists solely of excepted household income for the year turns out an eligible employer-sponsored plan. benefits is not minimum essential to be below 100 percent of the The proposed regulations conform the coverage. Therefore, individuals applicable FPL. To reduce the section 36B regulations to the section enrolled in a plan consisting solely of likelihood that individuals who 5000A regulations and provide that the excepted benefits still must obtain recklessly or intentionally provide Program is treated as an eligible minimum essential coverage to satisfy inaccurate information to an Exchange employer-sponsored plan for purposes the individual shared responsibility will benefit from an Exchange of determining if an individual is provision. The proposed regulations determination, the proposed regulations eligible for minimum essential coverage clarify that for purposes of section 36B provide that a taxpayer whose under section 36B. Thus, if coverage an individual is considered eligible for household income is below 100 percent under the Program does not provide coverage under an eligible employer- of the FPL for the taxpayer’s family size minimum value (under § 1.36B– sponsored plan only if that plan is is not treated as an applicable taxpayer 2(c)(3)(vi)) or is not affordable (under minimum essential coverage. if, with intentional or reckless disregard § 36B–2(c)(3)(v)) for an individual who Accordingly, an individual enrolled in for the facts, the taxpayer provided does not enroll in the coverage, he or or offered a plan consisting solely of incorrect information to an Exchange for she is not treated as eligible for excepted benefits is not denied the the year of coverage. minimum essential coverage under the premium tax credit by virtue of that excepted benefits offer or coverage. b. Exchange Determination of Program for purposes of premium tax credit eligibility. Taxpayers may rely on this rule for all Ineligibility for Medicaid or CHIP taxable years beginning after December Similar to the rule for taxpayers who d. Eligibility for Employer-Sponsored 31, 2013. received the benefit of advance credit Coverage for Months During a Plan Year payments but ended the taxable year The existing regulations under section f. Opt-Out Arrangements and an with household income below 100 36B provide that an individual is Employee’s Required Contribution percent of the applicable FPL, the eligible for minimum essential coverage Sections 1.36B–2(c)(3)(v) and existing regulations do not require a through an eligible employer-sponsored 1.5000A–3(e)(3)(ii)(A) provide that, in repayment of advance credit payments plan if the individual had the determining whether employer- for taxpayers with household income opportunity to enroll in the plan and the sponsored coverage is affordable to an within the range for eligibility for plan is affordable and provides employee, an employee’s required certain government-sponsored programs minimum value. The Treasury contribution for the coverage includes if an Exchange determined or Department and the IRS are aware that the amount by which the employee’s considered (within the meaning of 45 in some instances individuals may not salary would be reduced to enroll in the CFR 155.302(b)) the taxpayer or a be allowed an annual opportunity to member of the taxpayer’s family to be decide whether to enroll in eligible 3 Note that for purposes of section 4980H, in ineligible for the program. To reduce the employer-sponsored coverage. This lack general, an applicable large employer will not be likelihood that individuals who of an annual opportunity to enroll in treated as having made an offer of coverage to a full- recklessly or intentionally provide employer-sponsored coverage should time employee for a plan year if the employee does not have an effective opportunity to elect to enroll inaccurate information to an Exchange not limit an individual’s annual choice in the coverage at least once with respect to the will benefit from an Exchange from available coverage options through plan year. For this purpose, a plan year must be determination, the proposed regulations the Marketplace with the possibility of twelve consecutive months, unless a short plan year provide that an individual who was benefitting from the premium tax credit. of less than twelve consecutive months is permitted for a valid business purpose. For additional rules determined or considered by an Thus, the proposed regulations clarify on the definition of ‘‘offer’’ and ‘‘plan year’’ under Exchange to be ineligible for Medicaid, that if an individual declines to enroll section 4980H, see §§ 54.4980H–1(a)(35), CHIP, or a similar program (such as a in employer-sponsored coverage for a 54.4980H–4(b), and 54.4980H–5(b).
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coverage.4 If an employer makes an opt- unconditional opt-out arrangements and that begins following the expiration of out payment available to an employee, provide that the amount of an opt-out the collective bargaining agreement in the choice between cash and health payment made available to the effect before December 16, 2015 coverage presented by the opt-out employee under an unconditional opt- (disregarding any extensions on or after arrangement is analogous to the cash-or- out arrangement increases the December 16, 2015), or (2) the coverage choice presented by the option employee’s required contribution.5 applicability date of these regulations to pay for coverage by salary reduction. Notice 2015–87 provides that, for with respect to sections 4980H and In both cases, the employee may periods prior to the applicability date of 6056, employers participating in the purchase the employer-sponsored any final regulations, employers are not collective bargaining agreement are not coverage only at the price of forgoing a required to increase the amount of an required to increase the amount of an specified amount of cash compensation employee’s required contribution by employee’s required contribution by that the employee would otherwise amounts made available under an opt- amounts made available under such an receive—salary, in the case of a salary out arrangement for purposes of section opt-out arrangement for purposes of reduction, or an equal amount of other 4980H(b) or section 6056 (in particular sections 4980H(b) or 6056 (Form 1095– compensation, in the case of an opt-out Form 1095–C, Employer-Provided C). The Treasury Department and the payment. Therefore, the economic cost Health Insurance Offer and Coverage), IRS further adopt these commenters’ to the employee of the employer- except that, for periods after December request that this treatment apply to any sponsored coverage is the same under 16, 2015, the employee’s required successor employer adopting the opt-out both arrangements. Accordingly, the contribution must include amounts arrangement before the expiration of the employee’s required contribution made available under an unconditional collective bargaining agreement in effect generally should be determined opt-out arrangement that is adopted before December 16, 2015 (disregarding similarly regardless of the type of after December 16, 2015. However, any extensions on or after December 16, payment that an employee must forgo. Notice 2015–87 provided that, for this 2015). Commenters raised the issue of Notice 2015–87 requested comments purpose, an opt-out arrangement will whether other types of agreements on the proposed treatment of opt-out not be treated as adopted after December covering employees may need a similar arrangements outlined in Q&A–9 of that 16, 2015, under limited circumstances, extension of the relief through the end notice. Several commenters objected to including in cases in which a board, of the agreement’s term. The Treasury the proposal that the amount of an committee, or similar body or an Department and the IRS request available unconditional opt-out authorized officer of the employer comments identifying the types of payment increases the employee’s specifically adopted the opt-out agreements raising this issue due to required contribution on the basis that arrangement before December 16, 2015. their similarity to collective bargaining forgoing opt-out payments as part of Some commenters requested agreements because, for example, the enrolling in coverage has not clarification that an unconditional opt- agreement is similar in scope to a traditionally been viewed by employers out arrangement that is required under collective bargaining agreement, binding or employees as economically the terms of a collective bargaining on the parties involved for a multi-year equivalent to making a salary reduction agreement in effect before December 16, period, and subject to a statutory or election and that such a rule would 2015, should be treated as having been regulatory regime. discourage employers from making opt- adopted prior to December 16, 2015, Several commenters suggested that, out payments available. None of the and that amounts made available under notwithstanding the proposal on commenters, however, offered a such an opt-out arrangement should not unconditional opt-out arrangements, the persuasive economic basis for be included in an employee’s required amount of an opt-out payment made distinguishing unconditional opt-out contribution for purposes of sections available should not increase an payments from other compensation that 4980H(b) or 6056 through the expiration employee’s required contribution if the an employee must forgo to enroll in of the collective bargaining agreement opt-out payment is conditioned on the employer-sponsored coverage, such as a that provides for the opt-out employee having minimum essential salary reduction. Because forgoing an arrangement. The Treasury Department coverage through another source, such unconditional opt-out payment is and the IRS now clarify that, under as a spouse’s employer-sponsored plan. economically equivalent to forgoing Notice 2015–87, for purposes of sections These commenters argued that the salary pursuant to a salary reduction 4980H(b) and 6056, an unconditional amount of such a conditional opt-out election, and because §§ 1.36B– opt-out arrangement that is required payment should not affect the 2(c)(3)(v) and 1.5000A–3(e)(3)(ii)(A) under the terms of a collective affordability of an employer’s offer of provide that the employee’s required bargaining agreement in effect before employer-sponsored coverage for an contribution includes the amount of any December 16, 2015, will be treated as employee who does not satisfy the salary reduction, the proposed having been adopted prior to December applicable condition because that regulations adopt the approach 16, 2015. In addition, until the later of employee is ineligible to receive the opt- described in Notice 2015–87 for opt-out (1) the beginning of the first plan year out payment. Moreover, commenters payments made available under argued that an employee who satisfies 5 To distinguish between opt-out payments and the condition (that is, who has employer contributions to a section 125 cafeteria 4 alternative minimum essential coverage) Section 5000A(e)(1)(C) and § 1.5000A– plan (which in some cases could be paid in cash 3(e)(3)(ii)(B) provide that, for purposes of the to an employee who declines coverage in the health is ineligible for the premium tax credit individual shared responsibility provision, the plan or other available benefits), the proposed and does not need to determine the required contribution for individuals eligible to regulations further clarify that an amount provided affordability of the employer’s coverage enroll in employer coverage because of a as an employer contribution to a cafeteria plan and relationship to an employee (related individual) is that may be used by the employee to purchase offer. Thus, the commenters asserted, an the portion of the annual premium that the minimum essential coverage is not an opt-out amount made available under such an employee would pay (whether through salary payment, whether or not the employee may receive arrangement should be excluded from reduction or otherwise) for the lowest cost family the amount as a taxable benefit. This provision the required contribution. coverage that would cover the employee and all clarifies that the effect on an employee’s required While it is clear that the availability related individuals who are included in the contribution of employer contributions to a employee’s family and are not otherwise exempt cafeteria plan is determined under § 1.36B– of an unconditional opt-out payment under § 1.5000A–3. 2(c)(3)(v)(A)(6) rather than § 1.36B–2(c)(3)(v)(A)(7). increases an individual’s required
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contribution, the effect of the the individual of enrolling in the employer for the period to which the availability of a conditional opt-out employer coverage (at least relative to opt-out arrangement applies.6 payment is less obvious. In particular, Marketplace coverage). The Treasury Department and the IRS invite comments on this proposed rule, under an unconditional opt-out Further, an opt-out arrangement that arrangement, an individual who enrolls including suggestions for other is conditioned on an employee’s ability in the employer coverage loses the opt- workable rules that result in the to obtain other coverage (if that coverage out payment as a direct result of required contribution more accurately enrolling in the employer coverage. By can be coverage in the individual reflecting the individual’s cost of contrast, in the case of a conditional market, whether inside or outside the coverage while minimizing undesirable opt-out arrangement, the availability of Marketplace) does not generally raise consequences and incentives. the opt-out payment may depend on the issues described earlier in this For purposes of the proposed eligible information that is not generally section of the preamble regarding the opt-out arrangement rule, reasonable available to the employer (who, if it is difficulty of ascertaining which evidence of alternative coverage an applicable large employer, must individuals could meet the condition includes the employee’s attestation that report the required contribution under under a conditional opt-out the employee and all other members of section 6056 and whose potential arrangement. This is because generally the employee’s expected tax family, if liability under section 4980H may be all individuals are able to obtain any, have or will have minimum affected). Because of this difficulty of coverage in the individual market, essential coverage (other than coverage ascertaining which individuals could pursuant to the guaranteed issue in the individual market, whether or not have met the condition and, therefore, requirements in section 2702 of the PHS obtained through the Marketplace) or would actually forgo the opt-out Act. Thus, in the sense that all other reasonable evidence. payment when enrolling in employer- individuals can satisfy the applicable Notwithstanding the evidence of alternative coverage required under the sponsored coverage, it generally is not condition, such an opt-out arrangement arrangement, to qualify as an eligible feasible to have a rule under which the is similar to an unconditional opt-out opt-out arrangement, the arrangement required contribution perfectly captures arrangement. the cost of coverage for each specific must also provide that any opt-out individual offered a conditional opt-out In an effort to provide a workable rule payment will not be made (and the payment. that balances these competing concerns, payment must not in fact be made) if the Similarly, another way to view opt- the proposed regulations provide that employer knows or has reason to know out payments that are conditioned on amounts made available under that the employee or any other member alternative coverage is that, rather than conditional opt-out arrangements are of the employee’s expected tax family raising the cost to the employee of the disregarded in determining the required does not have (or will not have) the employer’s coverage, they reduce the contribution if the arrangement satisfies required alternative coverage. An cost to the employee of the alternative certain conditions (an ‘‘eligible opt-out eligible opt-out arrangement must also coverage. However, because employers arrangement’’), but otherwise the require that the evidence of coverage be generally do not have information about amounts are taken into account. The provided no less frequently than every the existence and cost of other options proposed regulations define an ‘‘eligible plan year to which the eligible opt-out available to the individual, it is not opt-out arrangement’’ as an arrangement arrangement applies, and that the practical to take into account any offer under which the employee’s right to evidence be provided no earlier than a of coverage other than the offer made by receive the opt-out payment is reasonable period before the the employer in determining the conditioned on (1) the employee commencement of the period of required contribution with respect to coverage to which the eligible opt-out declining to enroll in the employer- the employer coverage (that is, the arrangement applies. Obtaining the sponsored coverage and (2) the coverage that the employee must reasonable evidence (such as an decline to receive the opt-out payment). employee providing reasonable attestation) as part of the regular annual While commenters indicated that the evidence that the employee and all open enrollment period that occurs required contribution with respect to other individuals for whom the within a few months before the the employer coverage does not matter employee reasonably expects to claim a commencement of the next plan year of for an individual enrolled in any other personal exemption deduction for the employer-sponsored coverage meets this minimum essential coverage because taxable year or years that begin or end reasonable period requirement. the individual would be ineligible for in or with the employer’s plan year to Alternatively, the eligible opt-out the premium tax credit, this statement is which the opt-out arrangement applies arrangement would be permitted to not true if the other coverage is (employee’s expected tax family) have require evidence of alternative coverage individual market coverage. In or will have minimum essential to be provided later, such as after the particular, while enrollment in most coverage (other than coverage in the plan year starts, which would enable the types of minimum essential coverage individual market, whether or not employer to require evidence that the results in an individual being ineligible obtained through the Marketplace) employee and other members of the for a premium tax credit, that is not the during the period of coverage to which case for coverage in the individual the opt-out arrangement applies. For 6 The Treasury Department and the IRS note that market. Moreover, for individual market example, if an employee’s expected tax if an opt-out payment is conditioned on an coverage offered through a Marketplace, employee obtaining individual market coverage, the required contribution with respect family consists of the employee, the that opt-out arrangement could act as a to the employer coverage frequently will employee’s spouse, and two children, reimbursement arrangement for some or all of the the employee would meet this employee’s premium for that individual market be relevant in determining whether the coverage; therefore, the opt-out arrangement could individual is eligible for a premium tax requirement by providing reasonable operate as an employer payment plan as discussed credit. In such cases, as in the case of evidence that the employee, the in Notice 2015–87, Notice 2015–17, 2015–14 I.R.B. an unconditional opt-out payment, the employee’s spouse, and the two 845, and Notice 2013–54, 2013–40 I.R.B. 287. children, will have coverage under the Nothing in these proposed regulations is intended availability of a conditional opt-out to affect the prior guidance on employer payment payment effectively increases the cost to group health plan of the spouse’ s plans.
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employee’s expected tax family have regardless of whether the opt-out from the general rule that the already obtained the alternative payment is required to be adjusted or employee’s required contribution is coverage. terminated due to the loss of alternative increased by the amount of an opt-out Commenters on Notice 2015–87 coverage, and regardless of whether the payment made available. These generally stated that typical conditions employee is required to provide notice circumstances include (1) conditional under an opt-out arrangement include a of the loss of alternative coverage to the opt-out payments that are required requirement that the employee have employer. under the terms of a collective alternative coverage through employer- The Treasury Department and the IRS bargaining agreement and (2) opt-out sponsored coverage of a spouse or are aware that the way in which opt-out payments that are below a de minimis another relative, such as a parent. arrangements affect the calculation of amount. Regarding opt-out Provided that, as required under the affordability is important not only to an arrangements contained in collective opt-out arrangement, the employee employee and the other members of the bargaining agreements, the Treasury provided reasonable evidence of this employee’s expected tax family in Department and the IRS anticipate that alternative coverage for the employee determining whether they may be the proposed treatment of eligible opt- and the other members of the eligible for a premium tax credit or out arrangements, generally, will employee’s expected tax family, and whether an individual may be exempt address the concerns raised in the met the related conditions described in under the individual shared comments. Accordingly, the Treasury this preamble, these types of opt-out responsibility provisions, but also to an Department and the IRS do not propose arrangements would be eligible opt-out employer subject to the employer shared to provide a permanent exception for arrangements, and opt-out payments responsibility provisions under section opt-out arrangements provided under made available under such 4980H in determining whether the collective bargaining agreements. Earlier arrangements would not increase the employer may be subject to an in this section of the preamble, employee’s required contribution. assessable payment under section however, the Treasury Department and The Treasury Department and the IRS 4980H(b). An employer subject to the the IRS clarify and expand the transition did not receive comments on opt-out employer shared responsibility relief provided under Notice 2015–87 arrangements indicating that the provisions will be subject to a payment for opt-out arrangements provided meaningful conditions imposed include under section 4980H(b) only with under collective bargaining agreements any requirement other than one relating respect to a full-time employee who in effect before December 16, 2015. As to alternative coverage. Therefore, the receives a premium tax credit, and an for an exception for de minimis proposed rules do not address other opt- employee will not be eligible for the amounts, the Treasury Department and out conditions and would not treat an premium tax credit if the employer’s the IRS decline to adopt such an opt-out arrangement based on other offer of coverage was affordable and exception because there is neither a conditions as an eligible opt-out provided minimum value.7 Commenters statutory nor an economic basis for arrangement. However, the Treasury expressed concern that if the rule establishing a de minimis threshold Department and the IRS invite adopted for conditional opt-outs under which an unconditional opt-out comments on whether opt-out payments required an employee to provide payment would be excluded from the are made subject to additional types of reasonable evidence that the employee employee’s required contribution. conditions in some cases, whether those has or will have minimum essential types of conditions should be addressed g. Effective Date of Eligibility for coverage, the employer may not know Minimum Essential Coverage When in further guidance, and, if so, how. whether the employee is being truthful One commenter suggested that, if opt- Advance Credit Payments and has obtained (or will obtain) such Discontinuance Is Delayed out payments conditioned on alternative coverage, or how long such coverage coverage are not included in an will continue. Under these proposed Section 36B and the regulations under employee’s required contribution, rules regulations, however, the employee’s section 36B provide that an individual will be needed for cases in which an required contribution will not be who may enroll in minimum essential employee receives an opt-out payment increased by an opt-out payment made coverage outside the Marketplace (other and that employee’s alternative coverage available under an eligible opt-out than individual market coverage) for a subsequently terminates. The arrangement, provided that the month is generally not allowed a commenter suggested that, in that case, arrangement provides that the employer premium tax credit for that month. the termination of the alternative makes the payment only if the employee Consequently, individuals enrolled in a coverage should have no impact on the provides reasonable evidence of qualified health plan with advance determination of the employee’s alternative coverage and the employer credit payments must return to the required contribution for the employer- does not know or have reason to know Exchange to report eligibility for other sponsored coverage from which the that the employee or any other member minimum essential coverage so the employee opted out. In response, under of the employee’s expected tax family Exchange can discontinue the advance the proposed regulations, provided that fails or will fail to meet the requirement credit payments for Marketplace the reasonable evidence requirement is coverage. Similarly, individuals to have alternative coverage (other than met, the amount of an opt-out payment enrolled in a qualified health plan with individual market coverage, whether or made available under an eligible opt-out advance credit payments may be not obtained through the Marketplace). arrangement may continue to be Some commenters requested determined eligible for coverage under a excluded from the employee’s required exceptions for special circumstances government-sponsored program, such as contribution for the remainder of the Medicaid. In some cases, individuals period of coverage to which the opt-out 7 The affordability rules under section 36B, may inform the Exchange of their payment originally applied. The opt-out including rules regarding opt-out payments, may opportunity to enroll in other minimum payment may be excluded for this also affect the application of section 4980H(a) essential coverage or receive approval period even if the alternative coverage because one element that is required for an for coverage under a government- applicable large employer to be subject to an subsequently terminates for the assessable payment under section 4980H(a) is that sponsored program after the time for employee or any other member of the at least one full-time employee must receive the which the Exchange can discontinue employee’s expected tax family, premium tax credit. advance credit payments for the next
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month. Because taxpayers should process, may elect to be retroactively a coverage month that is less than a full generally not have to repay the advance enrolled in a health plan through the calendar month, the proposed credit payments for that next month in Exchange. In that case, the individual is regulations provide that the premium these circumstances, the proposed treated as having been enrolled in the assistance amount for a month is the regulations provide a rule for situations qualified health plan from the date on lesser of the enrollment premiums for in which an Exchange’s discontinuance which the individual would have the month (reduced by any amounts that of advance credit payments is delayed. enrolled had he or she initially been were refunded), or the excess of the Under the proposed regulations, if an determined eligible for advance credit benchmark plan premium over the individual who is enrolled in a qualified payments. If retroactively enrolled, the contribution amount for the month. health plan for which advance credit deadline for paying premiums for the Taxpayers may rely on this rule for all payments are made informs the retroactive coverage may be after the taxable years beginning after December Exchange that the individual is or will unextended due date for filing an 31, 2013. soon be eligible for other minimum income tax return for the year of 4. Benchmark Plan Premium essential coverage and that advance coverage. Consequently, the proposed credit payments should be regulations provide that a taxpayer who a. Effective/Applicability Date of discontinued, but the Exchange does not is eligible for advance credit payments Benchmark Plan Rules pursuant to an eligibility appeal for a discontinue advance credit payments The rules relating to the benchmark member of the taxpayer’s coverage for the first calendar month beginning plan in this section are proposed to after the month the individual notifies family who, based on the appeals decision, retroactively enrolls in a apply for taxable years beginning after the Exchange, the individual is treated December 31, 2018. as eligible for the other minimum qualified health plan, is considered to essential coverage no earlier than the have met the requirement in § 1.36B– b. Pediatric Dental Benefits 3(c)(1)(ii) for a month if the taxpayer first day of the second calendar month Under section 1311(d)(2)(B) of the pays the taxpayer’s share of the beginning after the first month the Affordable Care Act, only qualified premium for coverage under the plan for individual may enroll in the other health plans, including stand-alone the month on or before the 120th day minimum essential coverage. Similarly, dental plans offering pediatric dental following the date of the appeals if a determination is made that an benefits, may be offered through a decision. Taxpayers may rely on this individual is eligible for Medicaid or Marketplace. In general, a qualified rule for all taxable years beginning after CHIP but advance credit payments are health plan is required to provide December 31, 2013. not discontinued for the first calendar coverage for all ten essential health month beginning after the eligibility b. Month That Coverage Is Terminated benefits described in section 1302(b) of determination, the individual is treated Section 1.36B–3(d)(2) provides that if the Affordable Care Act, including as eligible for Medicaid or CHIP no a qualified health plan is terminated pediatric dental coverage. However, earlier than the first day of the second before the last day of a month, the under section 1302(b)(4)(F), a plan that calendar month beginning after the premium assistance amount for the does not provide pediatric dental determination. Taxpayers may rely on month is the lesser of the enrollment benefits may nonetheless be a qualified this rule for all taxable years beginning premiums for the month (reduced by health plan if it covers each essential after December 31, 2013. any amounts that were refunded), or the health benefit described in section 3. Premium Assistance Amount excess of the benchmark plan premium 1302(b) other than pediatric dental for a full month of coverage over the full benefits and if it is offered through a a. Payment of Taxpayer’s Share of contribution amount for the month. Marketplace in which a stand-alone Premiums for Advance Credit Payments Section 1.36B–3(c)(2) provides that an dental plan offering pediatric dental Following Appeal Determinations individual whose enrollment in a benefits is offered as well. Under § 1.36B–3(c)(1)(ii), a month in qualified health plan is effective on the Section 36B(b)(3)(E) and § 1.36B–3(k) which an individual who is enrolled in date of the individual’s birth or provide that if an individual enrolls in a qualified health plan is a coverage adoption, or placement for foster care, both a qualified health plan and a stand- month for the individual only if the or upon the effective date of a court alone dental plan, the portion of the taxpayer’s share of the premium for the order, is treated as enrolled as of the premium for the stand-alone dental plan individual’s coverage for the month is first day of the month and, therefore, the properly allocable to pediatric dental paid by the unextended due date of the month of enrollment may be a coverage benefits is treated as a premium payable taxpayer’s income tax return for the year month. The regulations, however, do for the individual’s qualified health of coverage, or the premium is fully not expressly address how the premium plan. Thus, in determining a taxpayer’s paid by advance credit payments. assistance amount is computed when a premium assistance amount for a month One of the functions of an Exchange covered individual disenrolls before the in which a member of the taxpayer’s is to make determinations as to whether last day of a month but the plan is not coverage family is enrolled in a stand- an individual who enrolls in a qualified terminated because other individuals alone dental plan, the taxpayer’s health plan is eligible for advance credit remain enrolled. For purposes of the enrollment premium includes the payments for the coverage. If an premium tax credit, the premium portion of the premium for the stand- Exchange determines that the individual assistance amount for an individual alone dental plan allocable to pediatric is not eligible for advance credit who is not enrolled for an entire month dental benefits. The existing regulations payments, the individual may appeal should be the same regardless of the do not provide a similar adjustment for that decision. An individual who is circumstances causing the partial-month the taxpayer’s applicable benchmark initially determined ineligible for coverage, provided that the individual plan premium to reflect the cost of advance credit payments, does not was enrolled, or is treated as enrolled, pediatric dental benefits in cases where enroll in a qualified health plan under as of the first day of the month (that is, the second-lowest cost silver plan does the contested determination, and is later so long as the month is a coverage not provide pediatric dental benefits. determined to be eligible for advance month). Accordingly, to provide Section 36B(b)(3)(B) provides that the credit payments through the appeals consistency for all individuals who have applicable benchmark plan with respect
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to a taxpayer is the second lowest cost that do not include pediatric dental taxpayer’s benchmark plan premium is silver plan available through the benefits plus the portion of the premium the sum of the premiums for the applicable Marketplace that provides allocable to pediatric dental benefits for applicable benchmark plans for each ‘‘self-only coverage’’ or ‘‘family stand-alone dental plans offered by the group of coverage family members coverage,’’ depending generally on Exchange. In constructing this ranking, residing in different locations, based on whether the coverage family includes the premium for the lowest-cost silver the plans offered to the group through one or more individuals. Neither the plan that does not include pediatric the Exchange for the rating area where Code nor the Affordable Care Act dental benefits is added to the premium the group resides. If all members of a defines the terms ‘‘self-only coverage’’ allocable to pediatric dental benefits for taxpayer’s coverage family reside in a or ‘‘family coverage’’ for this purpose. the lowest cost stand-alone dental plan, single location that is different from Under the existing regulations, the and similarly, the premium for the where the taxpayer resides, the references in section 36B(b)(3)(B) to second lowest-cost silver plan that does taxpayer’s benchmark plan premium is plans that provide self-only coverage not include pediatric dental benefits is the premium for the applicable and family coverage are interpreted to added to the premium allocable to benchmark plan for the coverage family, refer to all qualified health plans offered pediatric dental benefits for the second based on the plans offered to the through the applicable Marketplace, lowest-cost stand-alone dental plan. The taxpayer’s coverage family through the regardless of whether the coverage second lowest-cost amount from this Exchange for the rating area where the offered by those plans includes all ten combined ranking is the taxpayer’s coverage family resides. essential health benefits. Because applicable benchmark plan premium. qualified health plans that do not offer d. Aggregation of Silver-Level Policies pediatric dental benefits tend to be c. Coverage Family Members Residing Section 1.36B–3(f)(3) provides that if cheaper than qualified health plans that in Different Locations one or more silver-level plans offered cover all ten essential health benefits, Under § 1.36B–3(f), a taxpayer’s through an Exchange do not cover all the second lowest-cost silver plan (and applicable benchmark plan is the members of a taxpayer’s coverage family therefore the premium tax credit) for second lowest cost silver plan offered at under one policy (for example, because taxpayers purchasing coverage through the time a taxpayer or family member an issuer will not cover a taxpayer’s a Marketplace in which stand-alone enrolls in a qualified health plan dependent parent on the same policy dental plans are offered is likely to not through the Exchange for the rating area the taxpayer enrolls in), the premium account for the cost of obtaining where the taxpayer resides. Under for the applicable benchmark plan may pediatric dental coverage. § 1.36B–3(f)(4), if members of a be the premium for a single policy or for The Treasury Department and the IRS taxpayer’s family reside in different more than one policy, whichever is the believe that the current rule frustrates states and enroll in separate qualified second lowest-cost silver option. This the statute’s goal of making coverage health plans, the premium for the rule does not specify which that provides the essential health taxpayer’s applicable benchmark plan is combinations of policies must be taken benefits affordable to individuals the sum of the premiums for the into account for this purpose, suggesting eligible for the premium tax credit. applicable benchmark plans for each that all such combinations must be Accordingly, the proposed regulations group of family members living in the considered, which is unduly complex reflect a modification in the same state. for taxpayers, difficult for Exchanges to interpretation of the terms ‘‘self-only Referring to the residence of the implement, and difficult for the IRS to coverage’’ and ‘‘family coverage’’ in taxpayer to establish the cost for a administer. Accordingly, to clarify and section 36B(b)(3)(B) to refer to coverage benchmark health plan is appropriate simplify the benchmark premium that provides each of the essential when the taxpayer and all members of determination for situations in which a health benefits described in section the taxpayer’s coverage family live in silver-level plan does not cover all the 1302(b) of the Affordable Care Act. This the same location because it reflects the members of a taxpayer’s coverage family coverage may be obtained from either a cost of available coverage for the under one policy, the proposed qualified health plan alone or from a taxpayer’s coverage family. However, regulations delete the existing rule and qualified health plan in combination because premiums and plan availability provide a new rule in its place. with a stand-alone dental plan. In may vary based on location, the existing Under the proposed regulations, if a particular, self-only coverage refers to rule for a taxpayer whose family silver-level plan offers coverage to all coverage obtained from such plans members reside in different locations in members of a taxpayer’s coverage family where the coverage family is a single the same state may not accurately reflect who reside in the same location under individual. Similarly, family coverage the cost of available coverage. In a single policy, the plan premium taken refers to coverage obtained from such addition, the rules for calculating the into account for purposes of plans where the coverage family premium tax credit should operate the determining the applicable benchmark includes more than one individual. same for families residing in multiple plan is the premium for that policy. In Consistent with this interpretation, locations within a state and families contrast, if a silver-level plan would the proposed regulations provide that residing in multiple states. Accordingly, require multiple policies to cover all for taxable years beginning after § 1.36B–3(f)(4) of the proposed members of a taxpayer’s coverage family December 31, 2018, if an Exchange regulations provides that if a taxpayer’s who reside in the same location, the offers one or more silver-level qualified coverage family members reside in plan premium taken into account for health plans that do not cover pediatric multiple locations, whether within the purposes of determining the applicable dental benefits, the applicable same state or in different states, the benchmark plan is the sum of the benchmark plan is determined by taxpayer’s benchmark plan is premiums for self-only policies under ranking (1) the premiums for the silver- determined based on the cost of the plan for each member of the level qualified health plans that include available coverage in the locations coverage family who resides in the same pediatric dental benefits offered by the where members of the taxpayer’s location. Under the proposed Exchange and (2) the aggregate of the coverage family reside. In particular, if regulations, similar rules would apply premiums for the silver-level qualified members of a taxpayer’s coverage family to the portion of premiums for stand- health plans offered by the Exchange reside in different locations, the alone dental plans allocable to pediatric
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dental coverage taken into account for pediatric dental benefits is used for the taxpayer’s child who is 25 and not purposes of determining the premium purposes of determining the taxpayer’s a dependent of the taxpayer), the for a taxpayer’s applicable benchmark applicable benchmark plan. premium tax credit is computed for plan. each applicable taxpayer covered by the 5. Reconciliation of Advance Credit Comments are requested on the rule plan. In addition, in computing the tax contained in the proposed regulations, Payments credit for each taxpayer, premiums for as well as on an alternative rule under Section 301.6011–8 provides that a the qualified health plan the taxpayers which the plan premium taken into taxpayer who receives the benefit of purchase (the enrollment premiums) are account for purposes of determining a advance credit payments must file an allocated to each taxpayer in proportion taxpayer’s applicable benchmark plan income tax return for that taxable year to the premiums for each taxpayer’s would be equal to the sum of the self- on or before the due date for the return applicable benchmark plan. only policies under a plan for each (including extensions of time for filing) The existing regulations provide that member of the taxpayer’s coverage and reconcile the advance credit the Exchange must report the family, regardless of whether all payments. In addition, the regulations enrollment premiums for each family, members of the taxpayer’s coverage under section 36B provide that if but do not specify the manner in which family could be covered under a single advance credit payments are made for the Exchange must divide the policy under the plan. coverage of an individual for whom no enrollment premiums among the families enrolled in the policy. e. Silver-Level Plan Not Available for taxpayer claims a personal exemption Consequently, the proposed regulations Enrollment deduction, the taxpayer who attests to the Exchange to the intention to claim clarify that when multiple families Section 1.36B–3(f)(5) provides that if a personal exemption deduction for the enroll in a single qualified health plan a qualified health plan is closed to individual as part of the determination and advance credit payments are made enrollment for a taxpayer or a member that the taxpayer is eligible for advance for the coverage, the enrollment of the taxpayer’s coverage family, that credit payments for coverage of the premiums reported by the Exchange for plan is disregarded in determining the individual must reconcile the advance each family is the family’s allocable taxpayer’s applicable benchmark plan. credit payments. share of the enrollment premiums, Similarly, § 1.36B–3(f)(6) provides that a Questions have been raised which is based on the proportion of plan that is the applicable benchmark concerning how these two rules apply, each family’s applicable benchmark plan for a taxpayer does not cease to be and consequently which individual plan premium. the applicable benchmark plan solely must reconcile advance credit b. Partial Months of Enrollment because the plan or a lower cost plan payments, when a taxpayer (a parent, terminates or closes to enrollment for example) attests that he or she will The existing regulations do not during the taxable year. Because stand- claim a personal exemption deduction specify how the enrollment premiums alone dental plans are considered in for an individual, the advance payments and benchmark plan premiums are determining a taxpayer’s applicable are made with respect to coverage for reported in cases in which one or more benchmark plan under the proposed the individual, the taxpayer does not individuals is enrolled or disenrolled in regulations, the proposed regulations claim a personal exemption deduction coverage mid-month. To ensure that this provide consistency in the treatment of for the individual, and the individual reporting is consistent with the rules for calculating the premium assistance qualified health plans and stand-alone does not file a tax return for the year. amounts for partial months of coverage, dental plans that are closed to The intent of the existing regulation is the proposed regulations provide that, if enrollment or that terminate during the that the taxpayer, not the individual for an individual is enrolled in a qualified taxable year. whose coverage advance credit health plan after the first day of a payments were made, must reconcile f. Only One Silver-Level Plan Offered to month, generally no value should be the advance credit payments in the Coverage Family reported for the individual’s enrollment situations in which a taxpayer attests to In general, § 1.36B–3(f)(1) provides premium or benchmark plan premium the intention to claim a personal that a taxpayer’s applicable benchmark for that month. However, if an exemption for the individual and no one plan is the second lowest-cost silver- individual’s coverage in a qualified level plan available to the taxpayer for claims a personal exemption deduction health plan is terminated before the last self-only or family coverage. However, for the individual. Consequently, the day of a month, or an individual is for taxpayers who reside in certain proposed regulations clarify that if enrolled in coverage after the first day locations, only one silver-level plan advance credit payments are made for of a month and the coverage is effective providing such coverage may be coverage of an individual for whom no on the date of the individual’s birth, available. Section 1.36B–3(f)(8) of the taxpayer claims a personal exemption adoption, or placement for adoption or proposed regulations clarifies that if deduction, the taxpayer who attests to in foster care, or on the effective date of there is only one silver-level qualified the Exchange to the intention to claim a court order, an Exchange must report health plan offered through the a personal exemption deduction for the the premium for the applicable Exchange that would cover all members individual, not the individual for whose benchmark plan for a full month of of the taxpayer’s coverage family coverage the advance credit payments coverage (excluding the premium (whether under one policy or multiple were made, must file a tax return and allocated to benefits in excess of policies), that silver-level plan is used reconcile the advance credit payments. essential health benefits). In addition, for purposes of the taxpayer’s applicable 6. Information Reporting the proposed regulations provide that benchmark plan. Similarly, if there is the Exchange must report the only one stand-alone dental plan offered a. Two or More Families Enrolled in enrollment premiums for the month through the Exchange that would cover Single Qualified Health Plan (excluding the premium allocated to all members of the taxpayer’s coverage Section 1.36B–3(h) provides that if a benefits in excess of essential health family (whether under one policy or qualified health plan covers more than benefits), reduced by any amount that multiple policies), the portion of the one family under a single policy (for was refunded due to the plan’s premium of that plan that is allocable to example, a plan covers a taxpayer and termination.
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c. Use of Electronic Media applicable for plan years beginning on rulemaking has been submitted to the 9 Section 301.6011–2(b) provides that if or after January 1, 2017, and for the Chief Counsel for Advocacy of the Small the use of certain forms, including the period prior to this applicability date Business Administration for comment Form 1095 series, is required by the employers are not required to increase on its impact on small business. applicable regulations or revenue the amount of an employee’s required Comments and Requests for Public procedures for the purpose of making an contribution by the amount of an opt- Hearing information return, the information out payment made available under an opt-out arrangement (other than a Before these proposed regulations are required by the form must be submitted adopted as final regulations, on magnetic media. Form 1095–A payment made available under a non- 10 consideration will be given to any should not have been included in relief-eligible opt-out arrangement ). See also section 2.f of this preamble for comments that are submitted timely to § 301.6011–2 because Form 1095–A is the IRS as prescribed in this preamble not an information return. transition relief provided under Notice 2015–87 as clarified and expanded for under the ADDRESSES heading. Treasury Consequently, the proposed regulations and the IRS request comments on all replace the general reference in opt-out arrangements contained in collective bargaining agreements in aspects of the proposed rules. All § 301.6011–2(b) to the forms in the 1095 comments will be available at series with specific references to Forms effect before December 16, 2015. See § 601.601(d)(2)(ii)(b). www.regulations.gov or upon request. A 1095–B and 1095–C, but not Form public hearing will be scheduled if 1095–A. Special Analyses requested in writing by any person who Effective/Applicability Date Certain IRS regulations, including this timely submits written comments. If a one, are exempt from the requirements public hearing is scheduled, notice of Except as otherwise provided, these the date, time, and place for the hearing regulations are proposed to apply for of Executive Order 12866, as supplemented and reaffirmed by will be published in the Federal taxable years beginning after December Register. 31, 2016. In addition, taxpayers may Executive Order 13563. Therefore, a rely on certain provisions of the regulatory assessment is not required. It Drafting Information has also been determined that section proposed regulations for taxable years The principal authors of these ending after December 31, 2013, as 553(b) of the Administrative Procedure Act (5 U.S.C. chapter 5) does not apply proposed regulations are Shareen S. indicated earlier in this preamble. In Pflanz and Stephen J. Toomey of the addition, rules relating to the to these regulations. It is hereby certified that these Office of Associate Chief Counsel benchmark plan described in section 4 regulations will not have a significant (Income Tax and Accounting). However, of this preamble are proposed to apply economic impact on a substantial other personnel from the IRS and the for taxable years beginning after number of small entities. This Treasury Department participated in the December 31, 2018. certification is based on the fact that the development of the regulations. Notwithstanding the proposed information collection required under applicability date, nothing in the List of Subjects these regulations is imposed under proposed regulations is intended to section 36B. Consistent with the statute, 26 CFR Part 1 limit any relief for opt-out arrangements the proposed regulations require a Income taxes, Reporting and provided in Notice 2015–87, Q&A 9, or person that provides minimum essential recordkeeping requirements. in section 2.f of the preamble to these coverage to an individual to file a return proposed regulations (regarding opt-out 26 CFR Part 301 with the IRS reporting certain arrangements provided for in collective information and to furnish a statement Employment taxes, Estate taxes, bargaining agreements). For purposes of to the responsible individual who Excise taxes, Gift taxes, Income taxes, sections 36B and 5000A, although under enrolled an individual or family in the Penalties, Reporting and recordkeeping the proposed regulations amounts made coverage. These regulations merely requirements. available under an eligible opt-out provide the method of filing and arrangement are not added to an Proposed Amendments to the furnishing returns and statements under employee’s required contribution, for Regulations section 36B. Moreover, the proposed periods before the final regulations are Accordingly, 26 CFR parts 1 and 301 regulations attempt to minimize the applicable and, if later, through the end are proposed to be amended as follows: burden associated with this collection of of the most recent plan year beginning information by limiting reporting to the before January 1, 2017, an individual PART 1—INCOME TAXES information that the IRS requires to who can demonstrate that he or she verify minimum essential coverage and ■ Paragraph 1. The authority citation meets the condition for an opt-out administer tax credits. for part 1 is amended by adding entries payment under an eligible opt-out Based on these facts, a Regulatory in numerical order to read in part as arrangement is permitted to treat the Flexibility Analysis under the follows: opt-out payment as increasing the Regulatory Flexibility Act (5 U.S.C. employee’s required contribution.8 Authority: 26 U.S.C. 7805 * * * chapter 6) is not required. For purposes of the consequences of Pursuant to section 7805(f) of the ■ Par. 2. Section 1.36B–0 is amended these regulations under sections 4980H Code, this notice of proposed by: and 6056 (and in particular Form 1095– ■ 1. Adding the entries for §§ 1.36B– C), the regulations regarding opt-out 9 Notice 2015–87, Q&A 9 provides that the 2(b)(6)(i) and (ii). ■ arrangements are proposed to be first Treasury Department and the IRS anticipate that the 2. Adding entries for §§ 1.36B– regulations on opt-out arrangements generally will 2(c)(3)(v)(A)(7), (v)(A)(7)(i), (ii), (iii), 8 For periods prior to the applicability date, an apply only for periods after the issuance of final (iii)(A), (iii)(B), (iii)(C), and (iv). individual who cannot demonstrate that he or she regulations. The Treasury Department and the IRS ■ 3. Redesignating entry for § 1.36B– meets the condition for an opt-out payment under anticipate finalizing these regulations prior to the an eligible opt-out arrangement is not permitted to end of 2016. 2(c)(4) as (c)(5) and adding new entries treat the opt-out payment as increasing the 10 For a discussion of non-relief-eligible opt-out for § 1.36B–2(c)(4), (c)(4)(i), (ii), (ii)(A), employee’s required contribution. arrangements see Notice 2015–87, Q&A–9. and (ii)(B).
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■ 4. Redesignating entry for § 1.36B– (c) * * * through an Exchange for one or more 3(c)(4) as (c)(5) and adding a new entry (3) * * * months during the taxable year; for § 1.36B–3(c)(4). (iii) Partial month of coverage. (B) An Exchange estimates at the time ■ 5. Revising entries for §§ 1.36B– (A) In general. of enrollment that the taxpayer’s 3(d)(1) and (d)(2). (B) Certain mid-month enrollments. household income will be at least 100 ■ 6. Revising entries for §§ 1.36B– * * * * * percent but not more than 400 percent 3(f)(3), (4), (5), (6), and (7). ■ Par. 3. Section 1.36B–1 is amended by of the Federal poverty line for the ■ 7. Adding entries for §§ 1.36B–3(f)(8), revising paragraphs (l), (m), and (o) to taxable year; (9), and (10). read as follows: (C) Advance credit payments are ■ 8. Adding entries for §§ 1.36B– § 1.36B–1 Premium tax credit definitions. authorized and paid for one or more 5(c)(3)(iii). months during the taxable year; and The revisions and additions read as * * * * * (D) The taxpayer would be an (l) Self-only coverage. Self-only follows: applicable taxpayer if the taxpayer’s coverage means health insurance that household income for the taxable year § 1.36B–0 Table of contents. covers one individual and provides was at least 100 but not more than 400 * * * * * coverage for the essential health benefits percent of the Federal poverty line for § 1.36B–2 Eligibility for premium tax credit. as defined in section 1302(b)(1) of the the taxpayer’s family size. * * * * * Affordable Care Act (42 U.S.C. 18022). (ii) Exceptions. This paragraph (b)(6) (b) * * * (m) Family coverage. Family coverage does not apply for an individual who, (6) * * * means health insurance that covers with intentional or reckless disregard (i) In general. more than one individual and provides (ii) Exceptions. for the facts, provides incorrect coverage for the essential health benefits information to an Exchange for the year * * * * * as defined in section 1302(b)(1) of the of coverage. A reckless disregard of the (c) * * * Affordable Care Act (42 U.S.C. 18022). (3) * * * facts occurs if the taxpayer makes little (v) * * * * * * * * or no effort to determine whether the (A) * * * (o) Effective/applicability date. Except information provided to the Exchange is (7) Opt-out arrangements. for paragraphs (l) and (m), this section accurate under circumstances that (i) In general. applies to taxable years ending after demonstrate a substantial deviation (ii) Eligible opt-out arrangements. December 31, 2013. Paragraphs (l) and (iii) Definitions. from the standard of conduct a (A) Opt-out payment. (m) of this section apply to taxable years reasonable person would observe. A (B) Opt-out arrangement. beginning after December 31, 2018. disregard of the facts is intentional if the (C) Eligible opt-out arrangement. Paragraphs (l) and (m) of § 1.36B–1 as taxpayer knows the information (iv) Examples. contained in 26 CFR part I edition provided to the Exchange is inaccurate. revised as of April 1, 2016, apply to * * * * * * * * * * taxable years ending after December 31, (4) Special eligibility rules. (c) * * * (i) Related individuals not claimed as a 2013, and beginning before January 1, (2) * * * personal exemption deduction. 2019. (v) * * * This paragraph (c)(2)(v) does (ii) Exchange unable to discontinue ■ Par. 4. Section 1.36B–2 is amended advance credit payments. not apply for an individual who, with by: intentional or reckless disregard for the (A) In general. ■ 1. Revise paragraph (b)(6) (B) Medicaid or CHIP. facts, provides incorrect information to introductory text, (b)(6)(i) and (ii). an Exchange for the year of coverage. A * * * * * ■ 2. Adding three new sentences to the § 1.36B–3 Computing the premium reckless disregard of the facts occurs if end of paragraph (c)(2)(v). assistance credit amount. the taxpayer makes little or no effort to ■ 3. Revising paragraph (c)(3)(i). determine whether the information * * * * * ■ 4. Revising paragraph (c)(3)(iii)(A). (c) * * * provided to the Exchange is accurate ■ 5. Adding three new sentences to the (4) Appeals of coverage eligibility. under circumstances that demonstrate a end of paragraph (c)(3)(v)(A)(3). (d) * * * substantial deviation from the standard ■ 6. Adding new paragraphs (1) Premium assistance amount. of conduct a reasonable person would (c)(3)(v)(A)(7) (2) Examples. observe. A disregard of the facts is ■ 7. Revising paragraph (c)(4). * * * * * intentional if the taxpayer knows that ■ 8. Adding a new paragraph (e). (f) * * * information provided to the Exchange is (3) Silver-level plan not covering pediatric inaccurate. dental benefits. § 1.36B–2 Eligibility for premium tax (4) Family members residing in different credit. * * * * * locations. * * * * * (3) * * * (5) Single or multiple policies needed to (b) * * * (i) In general. For purposes of section cover the family. (6) Special rule for taxpayers with 36B, an employee who may enroll in an (i) Policy covering a taxpayer’s family. household income below 100 percent of eligible employer-sponsored plan (as (ii) Policy not covering a taxpayer’s family. the Federal poverty line for the taxable defined in section 5000A(f)(2) and the (6) Plan not available for enrollment. (7) Benchmark plan terminates or closes to year—(i) In general. A taxpayer (other regulations under that section) that is enrollment during the year. than a taxpayer described in paragraph minimum essential coverage, and an (8) Only one silver-level plan offered to the (b)(5) of this section) whose household individual who may enroll in the plan coverage family. income for a taxable year is less than because of a relationship to the (9) Effective date. 100 percent of the Federal poverty line employee (a related individual), are (10) Examples. for the taxpayer’s family size is treated eligible for minimum essential coverage * * * * * as an applicable taxpayer for the taxable under the plan for any month only if the § 1.36B–5 Information reporting by year if— plan is affordable and provides Exchanges. (A) The taxpayer or a family member minimum value. Except for the * * * * * enrolls in a qualified health plan Nonappropriated Fund Health Benefits
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Program of the Department of Defense, affordability of the eligible employer- employee’s attestation that the established under section 349 of the sponsored plan to which the opt-out employee and all other members of the National Defense Authorization Act for arrangement relates, regardless of employee’s expected tax family have or Fiscal Year 1995 (Pub. L. 103–337; 10 whether the employee enrolls in the will have minimum essential coverage U.S.C. 1587 note), government- eligible employer-sponsored plan or (other than coverage in the individual sponsored minimum essential coverage declines to enroll in that coverage and market, whether or not obtained through is not an eligible employer-sponsored is paid the opt-out payment. the Marketplace) for the relevant period. plan. The Nonappropriated Fund Health (ii) Eligible opt-out arrangements. The Regardless of the evidence of alternative Benefits Program of the Department of amount of an opt-out payment made coverage required under the Defense is considered eligible employer- available to an employee under an arrangement, to be an eligible opt-out sponsored coverage, but not eligible opt-out arrangement does not arrangement, the arrangement must government-sponsored coverage, for increase the employee’s required provide that the opt-out payment will purposes of determining if an individual contribution for purposes of not be made, and the employer in fact is eligible for minimum essential determining the affordability of the must not make the payment, if the coverage under this section. eligible employer-sponsored plan to employer knows or has reason to know * * * * * which the eligible opt-out arrangement that the employee or any other member (iii) * * * relates, regardless of whether the of the employee’s expected tax family (A) Failure to enroll in plan. An employee enrolls in the eligible does not have or will not have the employee or related individual may be employer-sponsored plan or is paid the alternative coverage. The arrangement eligible for minimum essential coverage opt-out payment. must also require that the evidence of (iii) Definitions. The following under an eligible employer-sponsored the alternative coverage be provided no definitions apply for purposes of this plan for a month during a plan year if less frequently than every plan year to the employee or related individual paragraph (c)(3)(v)(A)(7): (A) Opt-out payment. The term opt- which the eligible opt-out arrangement could have enrolled in the plan for that out payment means a payment that is applies, and that it must be provided no month during an open or special available only if an employee declines earlier than a reasonable period of time enrollment period for the plan year. If coverage, including waiving coverage in before the commencement of the period an enrollment period relates to coverage which the employee would otherwise be of coverage to which the eligible opt-out for not only the upcoming plan year (or enrolled, under an eligible employer- arrangement applies. If the reasonable the current plan year in the case of an sponsored plan and that is not evidence (such as an attestation) is enrollment period other than an open permitted to be used to pay for coverage obtained as part of the regular annual enrollment period), but also coverage in under the eligible employer-sponsored open enrollment period that occurs one or more succeeding plan years, this plan. An amount provided as an within a few months before the paragraph (c)(3)(iii)(A) applies only to employer contribution to a cafeteria commencement of the next plan year of eligibility for the coverage in the plan that is permitted to be used by the employer-sponsored coverage, it will upcoming plan year (or the current plan employee to purchase minimum qualify as being provided no earlier than year in the case of an enrollment period essential coverage is not an opt-out a reasonable period of time before other than an open enrollment period). payment, whether or not the employee commencement of the applicable period * * * * * may receive the amount as a taxable of coverage. An eligible opt-out (v) * * * benefit. See paragraph (c)(3)(v)(A)(6) of arrangement is also permitted to require (A) * * * this section for the treatment of evidence of alternative coverage to be (3) * * * This paragraph employer contributions to a cafeteria provided at a later date, such as after the (c)(3)(v)(A)(3) does not apply for an plan. plan year starts, which would enable the individual who, with intentional or (B) Opt-out arrangement. The term employer to require evidence that the reckless disregard for the facts, provides opt-out arrangement means the employee and all other members of the incorrect information to an Exchange arrangement under which an opt-out employee’s expected tax family have concerning the portion of the annual payment is made available. already obtained the alternative premium for coverage for the employee (C) Eligible opt-out arrangement. The coverage. Nothing in this rule prohibits or related individual under the plan. A term eligible opt-out arrangement means an employer from requiring reasonable reckless disregard of the facts occurs if an arrangement under which an evidence of alternative coverage other the taxpayer makes little or no effort to employee’s right to receive an opt-out than an attestation in order for an determine whether the information payment is conditioned on the employee to qualify for an opt-out provided to the Exchange is accurate employee providing reasonable payment under an eligible opt-out under circumstances that demonstrate a evidence that the employee and all arrangement. Further, provided that the substantial deviation from the standard other individuals for whom the reasonable evidence requirement is met, of conduct a reasonable person would employee reasonably expects to claim a the amount of an opt-out payment made observe. A disregard of the facts is personal exemption deduction for the available under an eligible opt-out intentional if the taxpayer knows that taxable year or years that begin or end arrangement continues to be excluded the information provided to the in or with the employer’s plan year to from the employee’s required Exchange is inaccurate. which the opt-out arrangement applies contribution for the remainder of the * * * * * (employee’s expected tax family) have period of coverage to which the opt-out (7) Opt-out arrangements—(i) In or will have minimum essential payment originally applied even if the general. Except as otherwise provided coverage (other than coverage in the alternative coverage subsequently in this paragraph (c)(3)(v)(A)(7), the individual market, whether or not terminates for the employee or for any amount of an opt-out payment made obtained through the Marketplace) other member of the employee’s available to an employee under an opt- during the period of coverage to which expected tax family, regardless of out arrangement increases the the opt-out arrangement applies. For whether the opt-out payment is required employee’s required contribution for this purpose, reasonable evidence of to be adjusted or terminated due to the purposes of determining the alternative coverage may include the loss of alternative coverage, and
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regardless of whether the employee is increase B’s required contribution under X’s individual may enroll in the other required to provide notice of the loss of eligible employer-sponsored plan because the minimum essential coverage. alternative coverage to the employer. opt-out arrangement provided by X is an (B) Medicaid or CHIP. If a (iv) Examples. The following eligible opt-out arrangement. B’s required determination is made that an examples illustrate the provisions of contribution for self-only coverage under X’s eligible employer-sponsored plan is $3,000. individual who is enrolled in a qualified this paragraph (c)(3)(v)(A)(7). In each Example 4. Taxpayer D is married and is health plan for which advance credit example, the eligible employer- employed by Employer Z, which offers its payments are made is eligible for sponsored plan’s plan year is the employees coverage under an eligible Medicaid or CHIP but the advance calendar year. employer-sponsored plan that requires D to credit payments are not discontinued Example 1. Taxpayer B is an employee of contribute $2,000 for self-only coverage. Z for the first calendar month beginning Employer X, which offers its employees also makes available to D a payment of $300 after the eligibility determination, the coverage under an eligible employer- if D declines to enroll in the eligible individual is treated as eligible for the sponsored plan that requires B to contribute employer-sponsored plan and provides Medicaid or CHIP no earlier than the reasonable evidence no earlier than the $3,000 for self-only coverage. X also makes first day of the second calendar month available to B a payment of $500 if B declines regular annual open enrollment period for the next plan year that D is or will be beginning after the eligibility to enroll in the eligible employer-sponsored determination. plan. Therefore, the $500 opt-out payment enrolled in minimum essential coverage made available to B under the opt-out through another source (other than coverage * * * * * arrangement increases B’s required in the individual market, whether or not (e) Effective/applicability date. (1) contribution under X’s eligible employer- obtained through the Marketplace); the opt- Except as provided in paragraph (f)(2) of sponsored plan from $3,000 to $3,500, out arrangement is not conditioned on this section, this section applies to regardless of whether B enrolls in the eligible whether the other members of D’s expected tax family have other coverage. This opt-out taxable years ending after December 31, employer-sponsored plan or declines to 2013. enroll and is paid the opt-out payment. arrangement is not an eligible opt-out Example 2. The facts are the same as in arrangement because it does not condition (2) Paragraph (b)(6)(ii), the last three Example 1, except that availability of the the right to receive the opt-out payment on sentences of paragraph (c)(2)(v), $500 opt-out payment is conditioned not D providing reasonable evidence that D and paragraph (c)(3)(i), paragraph only on B declining to enroll in X’s eligible the other members of D’s expected tax family (c)(3)(iii)(A), the last three sentences of employer-sponsored plan but also on B have (or will have) minimum essential paragraph (c)(3)(v)(A)(3), paragraph providing reasonable evidence no earlier coverage (other than coverage in the (c)(3)(v)(A)(7), and paragraph (c)(4) of than the regular annual open enrollment individual market, whether or not obtained this section apply to taxable years through the Marketplace). Therefore, the period for the next plan year that B and all beginning after December 31, 2016. other members of B’s expected tax family are $300 opt-out payment made available to D or will be enrolled in minimum essential under the opt-out arrangement increases D’s Paragraphs (b)(6), (c)(3)(i), (c)(3)(iii)(A), coverage through another source (other than required contribution under Z’s eligible and (c)(4) of § 1.36B–2 as contained in coverage in the individual market, whether employer-sponsored plan. D’s required 26 CFR part I edition revised as of April or not obtained through the Marketplace). B’s contribution for self-only coverage under Z’s 1, 2016, apply to taxable years ending expected tax family consists of B and B’s eligible employer-sponsored plan is $2,300. after December 31, 2013, and beginning spouse, C, who is an employee of Employer * * * * * before January 1, 2017. Y. During the regular annual open enrollment (4) Special eligibility rules—(i) ■ Par. 5. Section 1.36B–3 is amended period for the upcoming plan year, B Related individual not claimed as a by: declines coverage under X’s eligible ■ employer-sponsored plan and provides X personal exemption deduction. An 1. Redesignating paragraph (c)(4) as with reasonable evidence that B and C will individual who may enroll in minimum paragraph (c)(5) and adding a new be enrolled in Y’s employer-sponsored plan, essential coverage because of a paragraph (c)(4). which is minimum essential coverage. The relationship to another person eligible ■ 2. Revising paragraph (d)(1). opt-out arrangement provided by X is an for the coverage, but for whom the other ■ 3. Revising paragraph (d)(2). eligible opt-out arrangement, and, therefore, eligible person does not claim a ■ 4. Revising paragraph (f) the $500 opt-out payment made available to personal exemption deduction under ■ 5. Adding paragraph (n). B does not increase B’s required contribution section 151, is treated as eligible for under X’s eligible employer-sponsored plan. minimum essential coverage under the § 1.36B–3 Computing the premium tax B’s required contribution for self-only credit amount. coverage under X’s eligible employer- coverage only for months that the sponsored plan is $3,000. related individual is enrolled in the * * * * * Example 3. The facts are the same as in coverage. (c) * * * Example 2, except that B and C have two (ii) Exchange unable to discontinue (4) Appeals of coverage eligibility. A children that B expects to claim as advance credit payments—(A) In taxpayer who is eligible for advance dependents for the taxable year that general. If an individual who is enrolled credit payments pursuant to an coincides with the upcoming plan year. in a qualified health plan for which eligibility appeal decision implemented During the regular annual open enrollment advance credit payments are made under 45 CFR 155.545(c)(1)(ii) for period for the upcoming plan year, B coverage of a member of the taxpayer’s declines coverage under X’s eligible informs the Exchange that the employer-sponsored plan and provides X individual is or will soon be eligible for coverage family who, based on the with reasonable evidence that B and C will other minimum essential coverage and appeal decision, retroactively enrolls in be enrolled in Y’s employer-sponsored plan, that advance credit payments should be a qualified health plan is considered to which is minimum essential coverage. discontinued, but the Exchange does not have met the requirement in paragraph However, B does not provide reasonable discontinue advance credit payments (c)(1)(ii) of this section for a month if evidence that B’s children will be enrolled in for the first calendar month beginning the taxpayer pays the taxpayer’s share of minimum essential coverage (other than after the month the individual informs the premiums for coverage under the coverage in the individual market, whether the Exchange, the individual is treated plan for the month on or before the or not obtained through the Marketplace); 120th day following the date of the therefore, X determines B is not eligible for as eligible for the other minimum the opt-out payment, and B does not receive essential coverage no earlier than the appeals decision. it. The $500 opt-out payment made available first day of the second calendar month * * * * * under the opt-out arrangement does not beginning after the first month the (d) * * *
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(1) Premium assistance amount. The (42 U.S.C. 18022(d)(1)(B))) offered to the (4) Family members residing in premium assistance amount for a taxpayer’s coverage family through the different locations. If members of a coverage month is the lesser of— Exchange for the rating area where the taxpayer’s coverage family reside in (i) The premiums for the month, taxpayer resides for— different locations, the taxpayer’s reduced by any amounts that were (i) Self-only coverage for a taxpayer— benchmark plan premium is the sum of refunded, for one or more qualified (A) Who computes tax under section the premiums for the applicable health plans in which a taxpayer or a 1(c) (unmarried individuals other than benchmark plans for each group of member of the taxpayer’s family enrolls surviving spouses and heads of coverage family members residing in (enrollment premiums); or household) and is not allowed a different locations, based on the plans (ii) The excess of the adjusted deduction under section 151 for a offered to the group through the monthly premium for the applicable dependent for the taxable year; Exchange where the group resides. If all benchmark plan (benchmark plan (B) Who purchases only self-only members of a taxpayer’s coverage family premium) over 1/12 of the product of a coverage for one individual; or reside in a single location that is taxpayer’s household income and the (C) Whose coverage family includes different from where the taxpayer applicable percentage for the taxable only one individual; and resides, the taxpayer’s benchmark plan year (the taxpayer’s contribution (ii) Family coverage for all other premium is the premium for the amount). taxpayers. applicable benchmark plan for the (2) Family coverage. The applicable (2) Examples. The following examples coverage family, based on the plans benchmark plan for family coverage is illustrate the rules of paragraph (d)(1) of offered through the Exchange to the the second lowest-cost silver plan that this section. taxpayer’s coverage family for the rating would cover the members of the area where the coverage family resides. Example 1. Taxpayer Q is single and has taxpayer’s coverage family (such as a (5) Single or multiple policies needed no dependents. Q enrolls in a qualified plan covering two adults if the members to cover the family—(i) Policy covering health plan with a monthly premium of $400. of a taxpayer’s coverage family are two Q’s monthly benchmark plan premium is a taxpayer’s family. If a silver-level plan $500, and his monthly contribution amount adults). or a stand-alone dental plan offers is $80. Q’s premium assistance amount for a (3) Silver-level plan not covering coverage to all members of a taxpayer’s coverage month is $400 (the lesser of $400, pediatric dental benefits. If one or more coverage family who reside in the same Q’s monthly enrollment premium, and $420, silver-level qualified health plans location under a single policy, the the difference between Q’s monthly offered through an Exchange do not premium (or allocable portion thereof, benchmark plan premium and Q’s cover pediatric dental benefits, the in the case of a stand-alone dental plan) contribution amount). premium for the applicable benchmark taken into account for the plan for Example 2. (i) Taxpayer R is single and has plan is determined based on the second purposes of determining the applicable no dependents. R enrolls in a qualified health lowest-cost option among— plan with a monthly premium of $450. The benchmark plan under paragraphs (f)(1), (i) The silver-level qualified health (f)(2), and (f)(3) of this section is the difference between R’s benchmark plan plans that provide pediatric dental premium and contribution amount for the premium for this single policy. month is $420. R’s premium assistance benefits offered by the Exchange to the (ii) Policy not covering a taxpayer’s amount for a coverage month is $420 (the members of the coverage family; family. If a silver-level qualified health lesser of $450 and $420). (ii) The lowest-cost silver-level plan or a stand-alone dental plan would (ii) The issuer of R’s qualified health plan qualified health plan that does not require multiple policies to cover all is notified that R died on September 20. The provide pediatric dental benefits offered members of a taxpayer’s coverage family issuer terminates coverage as of that date and by the Exchange to the members of the who reside in the same location (for refunds the remaining portion of the coverage family in conjunction with the example, because of the relationships September enrollment premiums ($150) for lowest-cost portion of the premium for within the family), the premium (or R’s coverage. a stand-alone dental plan (within the allocable portion thereof, in the case of (iii) Under paragraph (d)(1) of this section, meaning of section 1311(d)(2)(B)(ii) of R’s premium assistance amount for a standalone dental plan) taken into September is the lesser of the enrollment the Affordable Care Act (42 U.S.C. account for the plan for purposes of premiums for the month, reduced by any 13031(d)(2)(B)(ii)) offered through the determining the applicable benchmark amounts that were refunded ($300 ($450 ¥ Exchange to the members of the plan under paragraphs (f)(1), (f)(2), and $150)) or the difference between the coverage family that is properly (f)(3) of this section is the sum of the benchmark plan premium and the allocable to pediatric dental benefits premiums (or allocable portion thereof, contribution amount for the month ($420). determined under guidance issued by in the case of a stand-alone dental plan) R’s premium assistance amount for the Secretary of Health and Human for self-only policies under the plan for September is $300, the lesser of $420 and Services; and each member of the coverage family $300. (iii) The second-lowest-cost silver- Example 3. The facts are the same as in who resides in the same location. Example 2 of this paragraph (d)(2), except level qualified health plan that does not (6) Plan not available for enrollment. that the qualified health plan issuer does not provide pediatric dental benefits offered A silver-level qualified health plan or a refund any enrollment premiums for by the Exchange to the members of the stand-alone dental plan that is not open September. Under paragraph (d)(1) of this coverage family in conjunction with the to enrollment by a taxpayer or family section, R’s premium assistance amount for second-lowest-cost portion of the member at the time the taxpayer or September is $420, the lesser of $450 and premium for a stand-alone dental plan family member enrolls in a qualified $420. (within the meaning of section health plan is disregarded in * * * * * 1311(d)(2)(B)(ii) of the Affordable Care determining the applicable benchmark (f) Applicable benchmark plan—(1) In Act (42 U.S.C. 13031(d)(2)(B)(ii)) offered plan. general. Except as otherwise provided through the Exchange to the members of (7) Benchmark plan terminates or in this paragraph (f), the applicable the coverage family that is properly closes to enrollment during the year. A benchmark plan for each coverage allocable to pediatric dental benefits silver-level qualified health plan or a month is the second-lowest-cost silver determined under guidance issued by stand-alone dental plan that is used for plan (as described in section the Secretary of Health and Human purposes of determining the applicable 1302(d)(1)(B) of the Affordable Care Act Services. benchmark plan under this paragraph (f)
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for a taxpayer does not cease to be the dental benefits, for the two dental plans are premium for D’s applicable benchmark plan applicable benchmark plan for a taxable as follows: is $1,180. year solely because the plan or a lower DP1—$100 ($25 allocable to pediatric dental Example 5. Single taxpayer enrolls with cost plan terminates or closes to benefits) dependent and nondependent in a qualified health plan. Taxpayer G is single and resides enrollment during the taxable year. DP2—$80 ($40 allocable to pediatric dental benefits). with his daughter, H, and with his teenage (8) Only one silver-level plan offered son, I, but may only claim I as a dependent. (iii) Under paragraph (f)(3) of this section, to the coverage family. If there is only G, H, and I enroll in coverage through the D’s applicable benchmark plan is the second one silver-level qualified health plan Exchange in the rating area in which they all lowest cost option among the following reside. The Exchange offers only silver-level providing pediatric dental benefits, one offered by the rating area in which D resides: plans providing pediatric dental benefits. silver-level qualified health plan not silver-level qualified health plans providing Under paragraphs (f)(1) and (f)(2) of this providing pediatric dental benefits, or pediatric dental benefits ($1,250 for S1 and section, G’s applicable benchmark plan is the one stand-alone dental plan offered $1,200 for S2); the lowest-cost silver-level second lowest-cost silver plan covering G qualified health plan not providing pediatric through an Exchange that would cover and I. However, H may qualify for a premium dental benefits, in conjunction with the all members of a taxpayer’s coverage tax credit if H is otherwise eligible. See lowest-cost portion of the premium for a family who reside in the same location paragraph (h) of this section. stand-alone dental plan properly allocable to (whether under one policy or multiple Example 6. Change in coverage family. pediatric dental benefits ($1,180 for S3 in policies), that plan is used for purposes Taxpayer J is single and has no dependents conjunction with $25 for DP1 = $1,205); and when she enrolls in a qualified health plan. of determining the taxpayer’s applicable the second lowest cost silver-level qualified benchmark plan. The Exchange in the rating area in which she health plan not providing pediatric health resides offers only silver-level plans that (9) Examples. The following examples benefits, in conjunction with the second illustrate the rules of this paragraph (f). provide pediatric dental benefits. On August lowest-cost portion of the premium for a 1, J has a child, K, whom she claims as a Unless otherwise stated, in each stand-alone dental plan allocable to pediatric dependent. J enrolls in a qualified health example the plans are open to dental benefits ($1,180 for S3 in conjunction plan covering J and K effective August 1. enrollment to a taxpayer or family with $40 for DP2 = $1,220). Under paragraph Under paragraphs (f)(1) and (f)(2) of this member at the time of enrollment and (f)(8) of this section, S3, as the lone silver- section, J’s applicable benchmark plan for are offered through the Exchange for the level qualified health plan not providing January through July is the second lowest- pediatric dental benefits offered by the rating area where the taxpayer resides: cost silver plan providing self-only coverage Exchange, is treated as the second lowest- for J, and J’s applicable benchmark plan for Example 1. Single taxpayer enrolls in a cost silver-level qualified health plan not the months August through December is the qualified health plan. Taxpayer A is single, providing pediatric dental benefits. Under second lowest-cost silver plan covering J and has no dependents, and enrolls in a qualified paragraph (e) of this section, the adjusted K. health plan. The Exchange in the rating area monthly premium for D’s applicable Example 7. Minimum essential coverage in which A resides offers only silver-level benchmark plan is $1,205. for some coverage months. Taxpayer L claims qualified health plans that provide pediatric Example 4. Benchmark plan for a coverage his daughter, M, as a dependent. L and M dental benefits. Under paragraphs (f)(1) and family with no family members eligible for enroll in a qualified health plan through an (f)(2) of this section, A’s applicable pediatric dental coverage. (i) The facts are the Exchange that offers only silver-level plans benchmark plan is the second lowest cost same as in Example 3, except Taxpayer D’s that provide pediatric dental benefits. L, but silver plan providing self-only coverage for coverage family consists of D and D’s 22-year not M, is eligible for government-sponsored A. old son, F, who is a dependent of D and not minimum essential coverage for September to Example 2. Single taxpayer enrolls with eligible for pediatric dental coverage and the December. Thus, under paragraph (c)(1)(iii) dependent in a qualified health plan. monthly premiums allocable to essential of this section, January through December are Taxpayer B is single and claims her daughter, health benefits for the silver-level plans are coverage months for M, and January through C, as a dependent. B purchases family as follows: August are coverage months for L. Because, coverage for herself and C. The Exchange in S1—$1,210 under paragraphs (d) and (f)(1) of this the rating area in which B and C reside offers S2—$1,190 section, the premium assistance amount for qualified health plans that provide pediatric S3—$1,180 a coverage month is computed based on the dental benefits but does not offer qualified (ii) Because no one in D’s coverage family applicable benchmark plan for that coverage health plans without pediatric dental is eligible for pediatric dental benefits, $0 of month, L’s applicable benchmark plan for benefits. Under paragraphs (f)(1) and (f)(2) of the premium for a stand-alone dental plan is January through August is the second lowest- this section, B’s applicable benchmark plan allocable to pediatric dental benefits in cost option covering L and M. Under is the second lowest-cost silver plan determining A’s applicable benchmark plan. paragraph (f)(1)(i)(C) of this section, L’s providing family coverage to B and C. Consequently, under paragraphs (f)(1), (f)(2), applicable benchmark plan for September Example 3. Benchmark plan for a coverage and (f)(3) of this section, D’s applicable through December is the second lowest-cost family with a family member eligible for benchmark plan is the second lowest-cost silver plan providing self-only coverage for pediatric dental benefits. (i) Taxpayer D’s option among the following options offered M. coverage family consists of D and D’s 10-year by the rating area in which D resides: silver- Example 8. Family member eligible for old son, E, who is a dependent of D and level qualified health plans providing minimum essential coverage for the taxable eligible for pediatric dental benefits. The pediatric dental benefits ($1,210 for S1 and year. The facts are the same as in Example Exchange in the rating area in which D and $1,190 for S2), the lowest-cost silver-level 7, except that L is not eligible for E reside offers three silver-level qualified qualified health plan not providing pediatric government-sponsored minimum essential health plans, two of which provide pediatric dental benefits, in conjunction with the coverage for any months and M is eligible for dental benefits (S1 and S2) and one of which lowest-cost portion of the premium for a government sponsored minimum essential does not (S3), in which D and E may enroll. stand-alone dental plan properly allocable to coverage for the entire year. Under paragraph The Exchange also offers two stand-alone pediatric dental benefits ($1,180 for S3 in (f)(1)(i)(C) of this section, L’s applicable dental plans (DP1 and DP2) available to D conjunction with $0 for DP1 = $1,180), and benchmark plan is the second lowest-cost and E. The monthly premiums allocable to the second lowest cost silver-level qualified silver plan providing self-only coverage for L. essential health benefits for the silver-level health plan not providing pediatric health Example 9. Benchmark plan premium for plans are as follows: benefits, in conjunction with the second a coverage family with family members who S1—$1,250 lowest-cost portion of the premium for a reside in different locations. (i) Taxpayer N’s S2—$1,200 stand-alone dental plan allocable to pediatric coverage family consists of N and her three S3—$1,180 dental benefits ($1,180 for S3 in conjunction dependents O, P, and Q. N, O, and P reside (ii) The monthly premiums, and the with $0 for DP2 = $1,180). Under paragraph together but Q resides in a different location. portion of the premium allocable to pediatric (e) of this section, the adjusted monthly Under paragraphs (f)(1), (f)(2), and (f)(3) of
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this section, the monthly applicable area in which U and V reside that would applicable benchmark plan that DD uses to benchmark plan premium for N, O, and P is cover U and V under self-only policies with determine DD’s applicable benchmark plan is $1,000 and the monthly applicable the second-lowest aggregate premium costs Plan 3, because Plan 2 is not open to benchmark plan premium for Q is $220. $400 a month for self-only coverage for U and enrollment through the Exchange when the (ii) Under paragraph (f)(4) of this section, $600 a month for self-only coverage for V. DD family enrolls. because the members of N’s coverage family The monthly premium for the second-lowest Example 14. Benchmark plan terminates reside in different locations, the monthly cost silver plan covering W and X that is for all enrollees during the year. The facts are premium for N’s applicable benchmark plan offered by the Exchange for the rating area in the same as in Example 13, except that Plan is the sum of $1,000, the monthly premiums which W and X reside is $500. 2 terminates for all enrollees on June 30. for the applicable benchmark plan for N, O, (ii) Under paragraph (f)(5)(ii) of this Under paragraphs (f)(1), (f)(2), (f)(3), and and P, who reside together, and $220, the section, because multiple policies are (f)(7) of this section, Plan 2 is the silver-level monthly applicable benchmark plan required to cover U and V, the members of plan that BB and CC use to determine their premium for Q, who resides in a different U’s coverage family who reside together in applicable benchmark plan for all coverage location than N, O, and P. Consequently, the Location 1, the premium taken into account months during the year, and Plan 3 is the premium for N’s applicable benchmark plan in determining U’s benchmark plan is $1,000, applicable benchmark plan that DD uses. is $1,220. the sum of the premiums for the second- Example 15. Exchange offers only one Example 10. Aggregation of silver-level lowest aggregate cost of self-only policies silver-level plan. Taxpayer EE’s coverage policies for plans not covering a family under covering U ($400) and V ($600) offered by the family consists of EE, his spouse FF, and a single policy. (i) Taxpayers R and S are Exchange to U and V for the rating area in their two dependent children GG and HH, married and live with S’s mother, T, whom which U and V reside. Under paragraph who all reside together. The Exchange for the they claim as a dependent. The Exchange for (f)(5)(i) of this section, because all silver-level rating area in which they reside offers only their rating area offers self-only and family plans offered by the Exchange in which W one silver-level plan that EE’s family may coverage at the silver level through Issuers A, and X reside cover W and X under a single enroll in and the plan does not provide B, and C, which each offer only one silver- policy, the premium for W and X’s coverage pediatric dental benefits. The Exchange also level plan. The silver-level plans offered by that is taken into account in determining U’s offers one stand-alone dental plan in which Issuers A and B do not cover R, S, and T benchmark plan is $500, the second-lowest the family may enroll. Under paragraph (f)(8) under a single policy. The silver-level plan cost silver policy covering W and X that is of this section, the silver-level plan and the offered by Issuer A costs the following offered by the Exchange for the rating area in stand-alone dental plan offered by the monthly amounts for self-only coverage of R, which W and X reside. Under paragraph Exchange are used for purposes of S, and T, respectively: $400, $450, and $600. (f)(4) of this section, because the members of determining EE’s applicable benchmark plan The silver-level plan offered by Issuer B costs U’s coverage family reside in different under paragraph (f)(3) of this section. the following monthly amounts for self-only locations, U’s monthly benchmark plan Moreover, the lone silver-level plan and the coverage of R, S, and T, respectively: $250, premium is $1,500, the sum of the premiums lone stand-alone dental plan offered by the $300, and $450. The silver-level plan offered for the applicable benchmark plans for each Exchange are used for purposes of by Issuer C provides coverage for R, S, and group of family members residing in different determining EE’s applicable benchmark plan T under one policy for a $1,200 monthly locations ($1,000 for U and V, who reside in regardless of whether these plans cover EE’s premium. Location 1, plus $500 for W and X, who family under a single policy or multiples (ii) Under paragraph (f)(5) of this section, reside in Location 2). policies. Issuer C’s silver-level plan that covers R, S, Example 12. Qualified health plan closed * * * * * and T under one policy ($1,200 monthly to enrollment. Taxpayer Y has two (n) Effective/applicability date. (1) premium) and Issuer A’s and Issuer B’s dependents, Z and AA. Y, Z, and AA enroll Except as provided in paragraph (o)(2) silver-level plans that do not cover R, S and in a qualified health plan through the of this section, this section applies to T under one policy are considered in Exchange for the rating area where the family taxable years ending after December 31, determining R’s and S’s applicable resides. The Exchange, which offers only benchmark plan. In addition, under qualified health plans that include pediatric 2013. paragraph (f)(5)(ii) of this section, in dental benefits, offers silver-level plans J, K, (2) Paragraphs (c)(4) and (d)(2) apply determining R’s and S’s applicable L, and M, which are, respectively, the first, to taxable years beginning after benchmark plan, the premium taken into second, third, and fourth lowest cost silver December 31, 2016. Paragraphs (f)(1), account for Issuer A’s plan is $1,450 (the plans covering Y’s family. When Y’s family (f)(3), (f)(4), (f)(6), (f)(7), (f)(8), and (f)(9) aggregate premiums for self-only policies enrolls, Plan J is closed to enrollment. Under of this section apply to taxable years covering R ($400), S ($450), and T ($600) and paragraph (f)(6) of this section, Plan J is beginning after December 31, 2018. the premium taken into account for Issuer B’s disregarded in determining Y’s applicable Paragraphs (c)(4) and (d)(2) of § 1.36B– plan is $1,000 (the aggregate premiums for benchmark plan, and Plan L is used in 3 as contained in 26 CFR part I edition self-only policies covering R ($250), S ($300), determining Y’s applicable benchmark plan. revised as of April 1, 2016, apply to and T ($450). Consequently, R’s and S’s Example 13. Benchmark plan closes to new applicable benchmark plan is the Issuer C enrollees during the year. (i) Taxpayers BB, taxable years ending after December 31, silver-level plan covering R’s and S’s CC, and DD each have coverage families 2013, and beginning before January 1, coverage family and the premium for their consisting of two adults. In that rating area, 2017. Paragraphs (f)(1), (f)(3), (f)(4), applicable benchmark plan is $1,200. Plan 2 is the second lowest cost silver plan (f)(6), and (f)(7) of § 1.36B–3 as Example 11. Benchmark plan premium for and Plan 3 is the third lowest cost silver plan contained in 26 CFR part I edition a taxpayer with family members who cannot covering the two adults in each coverage revised as of April 1, 2016, apply to enroll in one policy and who reside in family offered through the Exchange. The BB taxable years ending after December 31, different locations. (i) Taxpayer U’s coverage and CC families each enroll in a qualified 2013, and beginning before January 1, family consists of U, U’s mother, V, and U’s health plan that is not the applicable 2019. benchmark plan (Plan 4) in November during two daughters, W and X. U and V reside ■ Par. 6. Section 1.36B–5 is amended together in Location 1 and W and X reside the annual open enrollment period. Plan 2 together in Location 2. The Exchange in the closes to new enrollees the following June. by: ■ rating area in which U and V reside does not Thus, on July 1, Plan 3 is the second lowest 1. Adding a new sentence to the end offer a silver-level plan that covers U and V cost silver plan available to new enrollees of paragraph (c)(3)(i). under a single policy, whereas all the silver- through the Exchange. The DD family enrolls ■ 2. Adding paragraphs (c)(3)(iii) and level plans offered through the Exchange in in a qualified health plan in July. (h). the rating area in which W and X reside (ii) Under paragraphs (f)(1), (f)(2), (f)(3), cover W and X under a single policy. Both and (f)(7) of this section, the silver-level plan § 1.36B–5 Information reporting by Exchanges offer only silver-level plans that that BB and CC use to determine their Exchanges. provide pediatric dental benefits. The silver applicable benchmark plan for all coverage * * * * * plan offered by the Exchange for the rating months during the year is Plan 2. The (c) * * *
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(3) —* * * in this paragraph (e)(3)(ii)(G), the coverage (other than coverage in the (i) * * * If advance credit payments amount of an opt-out payment made individual market, whether or not are made for coverage under the plan, available to an employee under an opt- obtained through the Marketplace) the enrollment premiums reported to out arrangement increases the during the period of coverage to which each family under paragraph (c)(1)(viii) employee’s (or related individual’s) the opt-out arrangement applies. For of this section are the premiums required contribution for purposes of this purpose, reasonable evidence of allocated to the family under § 1.36B– determining the affordability of the alternative coverage may include the 3(h) (allocating enrollment premiums to eligible employer-sponsored plan to employee’s attestation that the each taxpayer in proportion to the which the opt-out arrangement relates, employee and all other members of the premiums for each taxpayer’s applicable regardless of whether the employee (or employee’s expected tax family have, or benchmark plan). related individual) enrolls in the eligible will have, minimum essential coverage * * * * * employer-sponsored plan or declines to (other than coverage in the individual (iii) Partial month of coverage—(A) In enroll in that coverage and is paid the market, whether or not obtained through general. Except as provided in opt-out payment. the Marketplace) for the relevant period. paragraph (c)(iii)(B) of this section, if an (2) Eligible opt-out arrangements. The Regardless of the evidence of alternative individual is enrolled in a qualified amount of an opt-out payment made coverage required under the health plan after the first day of a available to an employee under an arrangement, to be an eligible opt-out month, the amount reported for that eligible opt-out arrangement does not arrangement, the arrangement must month under paragraphs (c)(1)(iv), increase the employee’s (or related provide that the opt-out payment will (c)(1)(v), and (c)(1)(viii) of this section is individual’s) required contribution for not be made, and the employer in fact purposes of determining the $0. must not make the payment, if the affordability of the eligible employer- (B) Certain mid-month enrollments. If employer knows or has reason to know sponsored plan to which the eligible an individual’s qualified health plan is that the employee or any other member opt-out arrangement relates, regardless terminated before the last day of a of the employee’s expected tax family month, or if an individual is enrolled in of whether the employee (or related does not have, or will not have, the coverage after the first day of a month individual) enrolls in the eligible alternative coverage. The arrangement and the coverage is effective on the date employer-sponsored plan or is paid the must also require that the evidence of of the individual’s birth, adoption, or opt-out payment. the alternative coverage be provided no placement for adoption or in foster care, (3) Definitions. The following less frequently than every plan year to or on the effective date of a court order, definitions apply for purposes of this which the eligible opt-out arrangement the amount reported under paragraphs paragraph (e)(3)(ii)(G): applies, and that it must be provided no (c)(1)(iv) and (c)(1)(v) of this section is (A) Opt-out payment. The term opt- earlier than a reasonable period of time the premium for the applicable out payment means a payment that is before the commencement of the period benchmark plan for a full month of available only if an employee declines of coverage to which the eligible opt-out coverage (excluding the premium coverage, including waiving coverage in arrangement applies. If the reasonable allocated to benefits in excess of which the employee would otherwise be evidence (such as an attestation) is essential health benefits) and the enrolled, under an eligible employer- obtained as part of the regular annual amount reported under paragraph sponsored plan and that is not open enrollment period that occurs (c)(1)(viii) of this section is the permitted to be used to pay for coverage within a few months before the enrollment premium for the month, under the eligible employer-sponsored commencement of the next plan year of reduced by any amounts that were plan. An amount provided as an employer-sponsored coverage, it will refunded. employer contribution to a cafeteria plan that is permitted to be used by the qualify as being provided no earlier than * * * * * employee to purchase minimum a reasonable period of time before (h) Effective/applicability date. Except essential coverage is not an opt-out commencement of the applicable period for the last sentence of paragraph payment, whether or not the employee of coverage. An eligible opt-out (c)(3)(i) of this section and paragraph may receive the amount as a taxable arrangement is also permitted to require (c)(3)(iii) of this section, this section benefit. See paragraph (e)(3)(ii)(E) of this evidence of alternative coverage to be applies to taxable years ending after section for the treatment of employer provided at a later date, such as after the December 31, 2013. The last sentence of contributions to a cafeteria plan. plan year starts, which would enable the paragraph (c)(3)(i) of this section and (B) Opt-out arrangement. The term employer to require evidence that the paragraph (c)(3)(iii) of this section apply opt-out arrangement means the employee and all other members of the to taxable years beginning after arrangement under which an opt-out employee’s expected tax family have December 31, 2016. Paragraph (c)(3)(iii) payment is made available. already obtained the alternative of § 1.36B–5 as contained in 26 CFR part (C) Eligible opt-out arrangement. The coverage. Nothing in this rule prohibits I edition revised as of April 1, 2016, term eligible opt-out arrangement means an employer from requiring reasonable applies to taxable years ending after an arrangement under which an evidence of alternative coverage other December 31, 2013, and beginning employee’s right to receive an opt-out than an attestation in order for an before January 1, 2017. ■ payment is conditioned on the employee to qualify for an opt-out Par. 7. Section 1.5000A–3 is amended employee providing reasonable payment under an eligible opt-out by adding a new paragraph (e)(3)(ii)(G) evidence that the employee and all arrangement. Further, provided that the to read as follows: other individuals for whom the reasonable evidence requirement is met, § 1.5000A–3 Exempt individuals. employee reasonably expects to claim a the amount of an opt-out payment made * * * * * personal exemption deduction for the available under an eligible opt-out (e) * * * taxable year or years that begin or end arrangement continues to be excluded (3) * * * in or with the employer’s plan year to from the employee’s required (ii) * * * which the opt-out arrangement applies contribution for the remainder of the (G) Opt-out arrangements—(1) In (employee’s expected tax family) have, period of coverage to which the opt-out general. Except as otherwise provided or will have, minimum essential payment originally applied even if the
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alternative coverage subsequently after ‘‘1094 series’’, and removing ‘‘1095 • Regular Mail or Hand Delivery or terminates for the employee or for any series’’. Courier: Written comments mailed by regular mail must be sent to the other member of the employee’s John Dalrymple, expected tax family, regardless of following address ONLY: The Substance Deputy Commissioner for Services and Abuse and Mental Health Services whether the opt-out payment is required Enforcement. to be adjusted or terminated due to the Administration, Department of Health [FR Doc. 2016–15940 Filed 7–6–16; 11:15 am] and Human Services, Attn: Jinhee Lee, loss of alternative coverage, and BILLING CODE 4830–01–P regardless of whether the employee is SAMHSA, 5600 Fishers Lane, Room required to provide notice of the loss of 13E21C, Rockville, Maryland 20857. Please allow sufficient time for mailed alternative coverage to the employer. DEPARTMENT OF HEALTH AND comments to be received before the * * * * * HUMAN SERVICES close of the comment period. ■ Par. 8. Section 1.5000A–5 is amended • Express or Overnight Mail: Written 42 CFR Part 8 by revising paragraph (c). comments sent by hand delivery, or RIN 0930–AA22 regular, express or overnight mail must § 1.5000A–5 Administration and be sent to the following address ONLY: procedure. Medication Assisted Treatment for The Substance Abuse and Mental * * * * * Opioid Use Disorders Reporting Health Services Administration, Requirements Department of Health and Human (c) Effective/applicability date. (1) Services, Attn: Jinhee Lee, SAMHSA, Except as provided in paragraph (c)(2), AGENCY: Substance Abuse and Mental 5600 Fishers Lane, Room 13E21C, this section and §§ 1.5000A–1 through Health Services Administration (SAMHSA), HHS. Rockville, Maryland 20857. 1.5000A–4 apply for months beginning Instructions: To avoid duplication, after December 31, 2013. ACTION: Supplemental notice of please submit only one copy of your (2) Paragraph (e)(3)(ii)(G) of proposed rulemaking. comments by only one method. All § 1.5000A–3 applies to months SUMMARY: On March 30, 2016, the U.S. submissions received must include the beginning after December 31, 2016. Department of Health and Human agency name and docket number or RIN for this rulemaking. All comments ■ Par. 9. Revise § 1.6011–8 to read as Services (HHS) published a Notice of received will become a matter of public follows: Proposed Rulemaking (NPRM) to increase the highest patient limit for record and will be posted without § 1.6011–8 Requirement of income tax qualified physicians to treat opioid use change to http://www.regulations.gov, return for taxpayers who claim the premium disorder under section 303(g)(2) of the including any personal information tax credit under section 36B. Controlled Substances Act (CSA). On provided. For detailed instructions on July 6, 2016, HHS published a final rule submitting comments and additional (a) Requirement of return. Except as information on the rulemaking process otherwise provided in this paragraph based on the NPRM but delayed finalizing the reporting requirements and viewing public comments, see the (a), a taxpayer who receives the benefit outlined in the NPRM. In this ‘‘Public Participation’’ heading of the of advance payments of the premium Supplemental Notice of Proposed SUPPLEMENTARY INFORMATION section of tax credit under section 36B must file an Rulemaking (SNPRM), HHS seeks this document. income tax return for that taxable year further comment on the same reporting Docket: For access to the docket to on or before the due date for the return requirements outlined in the NPRM. read background documents or comments received, go to http:// (including extensions of time for filing) These reporting requirements would www.regulations.gov. and reconcile the advance credit require annual reporting by payments. However, if advance credit practitioners who are approved to treat FOR FURTHER INFORMATION CONTACT: payments are made for coverage of an up to 275 patients under subpart F to Jinhee Lee, Pharm.D., Public Health individual for whom no taxpayer claims help HHS ensure compliance with the Advisor, Center for Substance Abuse a personal exemption deduction, the requirements of the ‘‘Medication Treatment, 240–276–0545, Email taxpayer who attests to the Exchange to Assisted Treatment for Opioid Use address: WaiverRegulations@ the intention to claim a personal Disorders’’ final rule published samhsa.hhs.gov. exemption deduction for the individual elsewhere in this issue of the Federal SUPPLEMENTARY INFORMATION: as part of the determination that the Register. HHS will consider the public I. Executive Summary taxpayer is eligible for advance credit comments on this SNPRM as well as payments must file a tax return and any comments already received on the A. Purpose reconcile the advance credit payments. March 30, 2016 NPRM before issuing a The purpose of this Supplemental final rule pertaining to the reporting (b) Effective/applicability date. Except Notice of Proposed Rulemaking requirements. as otherwise provided, this section (SNPRM) is to solicit additional applies for taxable years beginning after DATES: To be assured consideration, comment on the proposed reporting December 31, 2016. Paragraph (a) of comments must be received at one of requirements in the U.S. Department of § 1.6011–8 as contained in 26 CFR part the addresses provided below, no later Health and Human Services (HHS) I edition revised as of April 1, 2016, than 5 p.m. on August 8, 2016. March 30, 2016 Notice of Proposed applies to taxable years ending after ADDRESSES: You may submit comments, Rulemaking (NPRM) on Medication December 31, 2013, and beginning identified by Regulatory Information Assisted Treatment for Opioid Use before January 1, 2017. Number (RIN) 0930–AA22, by any of the Disorders under section 303(g)(2) of the following methods: Controlled Substances Act (CSA) (81 FR § 301.6011–2 [Amended] • Electronically: Federal eRulemaking 17639). These requirements will assist Portal: Go to http://www.regulations.gov HHS in ensuring practitioner ■ Par. 10. Section 301.6011–2(b)(1) is and follow the instructions for compliance with the requirements of 42 amended by adding ‘‘1095–B, 1095–C’’ submitting comments. CFR part 8, subpart F.
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B. Summary of Major Provisions with certain medications, including a. The average monthly caseload of These proposed regulatory provisions, buprenorphine and combination patients receiving buprenorphine- which amend § 8.635 of 42 CFR part 8, buprenorphine/naloxone (hereinafter based MAT, per year b. Percentage of active buprenorphine subpart F, would establish annual referred to as buprenorphine) patients (patients in treatment as of reporting requirements for practitioners medications, in office-based setting as reporting date) that received who are approved to treat up to 275 authorized under 21 U.S.C. 823(g)(2). psychosocial or case management patients under 42 CFR part 8, subpart F. Section 303(g)(2) of the CSA (21 U.S.C. 823(g)(2)) allows individual services (either by direct provision or C. Summary of Impacts practitioners to dispense or prescribe by referral) in the past year due to: A summary of the anticipated impact 1. Treatment initiation Schedule III, IV, or V controlled 2. Change in clinical status of the reporting requirements, along substances that have been approved by c. Percentage of patients who had a with the other provisions of 42 CFR part the Food and Drug Administration prescription drug monitoring program 8, subpart F, was provided in the (FDA). Section 303(g)(2)(B)(iii) of the query in the past month NPRM, dated March 30, 2016. Please see CSA allows qualified practitioners who d. Number of patients at the end of the the NPRM, I. Executive Summary, file an initial notification of intent (NOI) reporting year who: Paragraph C (Summary of Impacts) for a to treat a maximum of 30 patients at a 1. Have completed an appropriate summary of impacts of the reporting time. After 1 year, the practitioner may course of treatment with requirements in the context of 42 CFR file a second NOI indicating his/her buprenorphine in order for the part 8, subpart F. intent to treat up to 100 patients at a patient to achieve and sustain II. Public Participation time. The final rule expands access to recovery MAT by allowing eligible practitioners 2. Are not being seen by the provider Comments Invited to request approval to treat up to 275 due to referral by the provider to a HHS invites interested parties to patients under section 303(g)(2) of the more or less intensive level of care 3. No longer desire to continue use of submit comments on all aspects of this CSA. The final rule also includes proposal. All comments received before buprenorphine requirements to help ensure that 4. Are no longer receiving the close of the comment period are patients receive the full array of services available for viewing by the public, buprenorphine for reasons other that comprise evidence-based MAT and than 1–3. including any personally identifiable minimize the risk that the medications and/or confidential information that is In addition, HHS seeks comment on provided for treatment are misused or the following questions: included in a comment. We post all diverted. comments received as soon as possible Are there different or additional after they have been received on the The proposed regulatory provisions in elements that should be reported in following Web site: http:// this SNPRM will help HHS assess order to assist HHS in ensuring www.regulations.gov. Follow the search practitioner compliance with the compliance with the final rule? Are there ways in which some instructions on that Web site to view requirements of 42 CFR part 8, subpart elements can be combined that will public comments. F. lessen the burden for reporting Comments received before the close of IV. Summary of SNPRM practitioners while maintaining the the comment period will also be important function of collecting available for public inspection, In the NPRM, HHS proposed 42 CFR, information that ensure compliance generally beginning approximately 3 part 8, subpart F, § 8.635 to describe the with the final rule? weeks after publication of the proposed reporting requirements for practitioners Are there other ways that HHS can rule, at the headquarters of the whose Request for Patient Limit collect the necessary information to Substance Abuse and Mental Health Increase is approved under § 8.625. The ensure compliance with the final rule? Services Administration, 5600 Fishers purpose of the reporting requirements is Would it be less burdensome to report Lane, Rockville, Maryland 20857, to help HHS assess practitioner on the number of patients in treatment Monday through Friday of each week compliance with the additional for each month of the reporting period from 8:30 a.m. to 4:00 p.m. To schedule responsibilities of practitioners who are that: an appointment to view public authorized to treat up to the higher (i) Were provided counseling services comments, call 240–276–1660. patient limit, as outlined in the MAT at the same location as the practitioner, We will consider all comments we final rule published elsewhere in this and how frequently those patients receive by the date and time specified issue of the Federal Register. Reporting utilized the counseling services; in the DATES section of this preamble, is an integral component of HHS’s (ii) the practitioner referred for and will respond to the comments in the approach to increase access to MAT counseling services at a different preamble of the final rule. Please allow while helping to ensure that patients location? sufficient time for mailed comments to Would it be less burdensome to report receive the full array of services that be received before the close of the on the number of patients at the end of comprise evidence-based MAT and comment period. the reporting year who had terminated minimize the risk that the medications III. Background utilization of covered medications? provided for treatment are misused or Are there other suggested changes that On March 30, 2016 HHS issued a diverted. While HHS received many would be less burdensome while Notice of Proposed Rulemaking (NPRM) comments on the burden of these maintaining the important function of entitled ‘‘Medication Assisted requirements, the comments did not collecting information that ensure Treatment for Opioid Use Disorders’’ in provide specific suggestions on how compliance with the final rule? the Federal Register. Elsewhere in this HHS can ensure compliance in a issue of the Federal Register, HHS is manner that is not overly burdensome to V. Collection of Information publishing a final rule with the same practitioners. HHS seeks additional Requirements title. That final rule increases access to comment on the proposed reporting Under the Paperwork Reduction Act medication-assisted treatment (MAT) requirements: of 1995 (PRA), agencies are required to
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provide notice in the Federal Register considered in rulemaking. We explicitly reporting date) who received and solicit public comment before a seek, and will consider, public comment psychosocial or case management collection of information requirement is on our assumptions as they relate to the services (either by direct provision or by submitted to the Office of Management PRA requirements summarized in this referral) in the past year due to and Budget (OMB) for review and section. This proposed rule includes treatment initiation or change in clinical approval. In order to fairly evaluate changes to information collection status; (3) Percentage of patients who whether changes to an information requirements, that is, reporting, had a prescription drug monitoring collection should be approved by the recordkeeping or third-party disclosure program query in the past month; (4) OMB, section 3506(c)(2)(A) of the PRA requirements, as defined under the PRA Number of patients at the end of the requires that we solicit comment on the (5 CFR part 1320). Some of the reporting year who: (a) Have completed following issues: provisions would involve changes from an appropriate course of treatment with 1. Whether the information collection the information collections set out in buprenorphine in order for the patient is necessary and useful to carry out the the previous regulations. to achieve and sustain recovery, (b) Are proper functions of the agency; Information collection requirements not being seen by the provider due to 2. The accuracy of the agency’s would be: referral by the provider to a more or less estimate of the information collection Reporting, 42 CFR 8.635: Reporting intensive level of care, (c) No longer burden; desire to continue use of 3. The quality, utility, and clarity of will be required annually to ensure that buprenorphine, (d) Are no longer the information to be collected; and eligibility requirements are being 4. Recommendations to minimize the maintained and that waiver conditions receiving buprenorphine for reasons information collection burden on the are being fulfilled. Reporting other than (a) through (c). To facilitate affected public, including automated requirements may include a request for public comment, we have placed a draft collection techniques. information regarding: (1) The average version of the collection template in the Under the PRA, the time, effort, and monthly caseload of patients receiving public docket. financial resources necessary to meet buprenorphine-based MAT, per year; (2) Annual burden estimates for these the information collection requirements the percentage of active buprenorphine requirements are summarized in the referenced in this section are to be patients (patients in treatment as of following table:
Burden/ Hourly wage Total wage 42 CFR Citation Purpose of Number of Responses/ response Total burden cost cost submission respondents respondent (hour) (hours) ($) ($)
8.635 ...... Annual Report ...... 1,350 1 3 4,050 64.47 261,104
For more detailed estimates, please PART 8—CERTIFICATION OF OPIOID provision or by referral) in the past year refer to the public docket, which TREATMENT PROGRAMS due to: includes a copy of the draft supporting (i) Treatment initiation. statement submitted as part of the ■ 1. The authority citation for part 8 (ii) Change in clinical status. NPRM and associated with this continues to read as follows: (3) Percentage of patients who had a information collection. prescription drug monitoring program Authority: 21 U.S.C. 823; 42 U.S.C. 257a, query in the past month; and 290aa(d), 290dd–2, 300x–23, 300x–27(a), VI. Regulatory Impact Analysis 300y–11. (4) Number of patients at the end of the reporting year who: HHS has examined the impact of this ■ 2. Add § 8.635 to read as follows: (i) Have completed an appropriate proposed rule under Executive Order § 8.635 What are the reporting course of treatment with buprenorphine 12866 on Regulatory Planning and requirements for practitioners whose in order for the patient to achieve and Review (September 30, 1993), Executive Request for Patient Limit Increase is sustain recovery. Order 13563 on Improving Regulation approved? (ii) Are not being seen by the provider due to referral by the provider to a more and Regulatory Review (January 18, (a) All practitioners whose Request for or less intensive level of care. 2011), the Regulatory Flexibility Act of Patient Limit Increase is approved (iii) No longer desire to continue use 1980 (Pub. L. 96–354, September 19, under § 8.625 must submit reports to 1980), the Unfunded Mandates Reform of buprenorphine. SAMHSA, along with documentation (iv) Are no longer receiving Act of 1995 (Pub. L. 104–4, March 22, and data, as requested by SAMHSA, to buprenorphine for reasons other than 1995), and Executive Order 13132 on demonstrate compliance with § 8.620, paragraphs (b)(4)(i) through (iii) of this Federalism (August 4, 1999) and applicable eligibility requirements section. included it in the NPRM published on specified in § 8.610, and all attestation (c) The report must be submitted March 30, 2016. Please refer to the requirements in § 8.620(b). within twelve months after the date that NPRM for this analysis (81 FR 17639). (b) Reporting requirements may a practitioner’s Request for Patient Limit include a request for information List of Subjects in 42 CFR Part 8 Increase is approved under § 8.625, and regarding: annually thereafter. Health professions, Methadone, (1) The average monthly caseload of (d) SAMHSA may check reports from Reporting and recordkeeping patients receiving buprenorphine-based practitioners prescribing under the requirements. MAT, per year. higher patient limit against other (2) Percentage of active existing data sources, such as PDMPs. If For the reasons stated in the buprenorphine patients (patients in discrepancies between reported preamble, HHS proposes to amend 42 treatment as of reporting date) that information and other existing data are CFR part 8 as follows: received psychosocial or case identified, SAMHSA may require management services (either by direct additional documentation from
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practitioners whose reports are increase, and may result in the Dated: June 30, 2016. identified as including these withdrawal of SAMHSA’s approval of Kana Enomoto, discrepancies. the practitioner’s Request for Patient Principal Deputy Administrator, Substance (e) Failure to submit reports under Limit Increase. Abuse and Mental Health Services Administration. this section, or deficient reports, may be deemed a failure to satisfy the Approved: June 30, 2016. requirements for a patient limit Sylvia M. Burwell, Secretary, Department of Health and Human Services. [FR Doc. 2016–16069 Filed 7–6–16; 8:45 am] BILLING CODE 4162–20–P
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Notices Federal Register Vol. 81, No. 131
Friday, July 8, 2016
This section of the FEDERAL REGISTER Instructions: All items submitted by responsibly connected person or entity, contains documents other than rules or mail or electronic mail must include the has been charged, indicted, or convicted proposed rules that are applicable to the Agency name and docket number FSIS– of any crime listed in 9 CFR 439.52. If public. Notices of hearings and investigations, 2016–0019. Comments received in a laboratory or a responsibly connected committee meetings, agency decisions and response to this docket will be made person or entity has been charged or rulings, delegations of authority, filing of petitions and applications and agency available for public inspection and indicted of such a crime, FSIS will statements of organization and functions are posted without change, including any suspend the laboratory from the examples of documents appearing in this personal information, to http:// Accredited Laboratory Program (9 CFR section. www.regulations.gov. 439.52). If a laboratory or a responsibly Docket: For access to background connected person or entity has been documents or comments received, go to convicted of such a crime, FSIS will DEPARTMENT OF AGRICULTURE the FSIS Docket Room at Patriots Plaza revoke the laboratory’s accreditation (9 3, 355 E Street SW., Room 8–164, CFR 439.53). Food Safety and Inspection Service Washington, DC 20250–3700 between The approval for this information [Docket No. FSIS–2016–0019] 8:00 a.m. and 4:30 p.m., Monday collection will expire on December 31, through Friday. 2016. There are no changes to the Notice of Request To Renew an FOR FURTHER INFORMATION CONTACT: Gina existing information collection. FSIS Approved Information Collection Kouba, Office of Policy and Program has made the following estimates on the (Accredited Laboratory Contact Update Development, Food Safety and basis of an information collection Form) Inspection Service, USDA, 1400 assessment. Estimate of Burden: FSIS estimates AGENCY: Food Safety and Inspection Independence Avenue SW., Room 6065, that it takes respondents an average of Service, USDA. South Building, Washington, DC 20250; (202) 720–5627. 15 hours per year to complete the forms. ACTION: Notice and request for Respondents: Accredited comments. SUPPLEMENTARY INFORMATION: Title: Accredited Laboratory Program Laboratories. SUMMARY: In accordance with the Annual Contact Update Form. Estimated Number of Respondents: Paperwork Reduction Act of 1995 and OMB Control Number: 0583–0163. 60. Office of Management and Budget Type of Request: Renewal of an Estimated Number of Annual (OMB) regulations, the Food Safety and approved information collection. Responses per Respondent: 1. Inspection Service (FSIS) is announcing Abstract: FSIS has been delegated the Estimated Total Annual Burden on its intention to renew the approved authority to exercise the functions of the Respondents: 15 hours. information collection regarding the Secretary (7 CFR 2.18, 2.53) as specified Copies of this information collection accredited laboratory contact update in the Federal Meat Inspection Act assessment can be obtained from Gina form. The approval for this information (FMIA) (21 U.S.C. 601, et seq.) and the Kouba, Office of Policy and Program collection will expire on December 31, Poultry Products and Inspection Act Development, Food Safety and 2016. (PPIA) (21 U.S.C. 451, et seq.). FSIS Inspection Service, USDA, 1400 DATES: Submit comments on or before protects the public by verifying that Independence SW., 6065, South September 6, 2016. meat and poultry products are safe, Building, Washington, DC 20250; (202) ADDRESSES: FSIS invites interested wholesome, not adulterated, and 720–5627. persons to submit comments on this correctly labeled. Comments are invited on: (a) Whether information collection. Comments may In addition, the Food, Agriculture, the proposed collection of information be submitted by one of the following Conservation, and Trade Act of 1990, as is necessary for the proper performance methods: amended, (7 U.S.C. 138–138i) provides of FSIS’s functions, including whether • Federal eRulemaking Portal: This authority for the accreditation of non- the information will have practical Web site provides the ability to type Federal laboratories. Under these utility; (b) the accuracy of FSIS’s short comments directly into the provisions, FSIS accredits non-Federal estimate of the burden of the proposed comment field on this Web page or laboratories as eligible to perform collection of information, including the attach a file for lengthier comments. Go analysis on official regulatory meat and validity of the methodology and to http://www.regulations.gov. Follow poultry samples. assumptions used; (c) ways to enhance the on-line instructions at that site for Non-Federal laboratories that are part the quality, utility, and clarity of the submitting comments. of the FSIS Accredited Laboratory information to be collected; and (d) • Mail, including CD–ROMs, etc.: Program complete the FSIS Accredited ways to minimize the burden of the Send to Docket Clerk, U.S. Department Laboratory Program Annual Contact collection of information, including of Agriculture, Food Safety and Update Form annually. FSIS will use through the use of appropriate Inspection Service, Docket Clerk, the information collected by the form to automated, electronic, mechanical, or Patriots Plaza 3, 1400 Independence maintain necessary contact information other technological collection Avenue SW., Mailstop 3782, Room 8– for responsibly connected personnel at techniques, or other forms of 163A, Washington, DC 20250–3700. the laboratories (see 9 CFR 439.20(e) information technology. Comments may • Hand- or courier-delivered and 9 CFR 439.1(w)). The completed be sent to both FSIS, at the addresses submittals: Deliver to Patriots Plaza 3, FSIS Accredited Laboratory Program provided above, and the Desk Officer for 355 E Street SW., Room 8–163A, Annual Contact Update Form will also Agriculture, Office of Information and Washington, DC 20250–3700. inform the Agency if a laboratory, or Regulatory Affairs, Office of
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Management and Budget, Washington, Independence Avenue SW., Instructions: All items submitted by DC 20253. Washington, DC, 20250–9410. mail or electronic mail must include the Responses to this notice will be Fax: (202) 690–7442. Agency name and docket number FSIS– summarized and included in the request Email: [email protected]. 2016–0020. Comments received in for OMB approval. All comments will Persons with disabilities who require response to this docket will be made also become a matter of public record. alternative means for communication available for public inspection and Additional Public Notification (Braille, large print, audiotape, etc.), posted without change, including any should contact USDA’s TARGET Center personal information, to http:// Public awareness of all segments of at (202) 720–2600 (voice and TDD). www.regulations.gov. rulemaking and policy development is Done at Washington, DC on: June 29, 2016. Docket: For access to background important. Consequently, FSIS will documents or comments received, go to Alfred V. Almanza, announce this Federal Register the FSIS Docket Room at Patriots Plaza publication on-line through the FSIS Acting Administrator. 3, 355 E Street SW., Room 8–164, Web page located at: http:// [FR Doc. 2016–16160 Filed 7–7–16; 8:45 am] Washington, DC 20250–3700 between www.fsis.usda.gov/federal-register. BILLING CODE 3410–DM–P 8:00 a.m. and 4:30 p.m., Monday FSIS also will make copies of this through Friday. publication available through the FSIS FOR FURTHER INFORMATION CONTACT: Gina Constituent Update, which is used to DEPARTMENT OF AGRICULTURE Kouba, Office of Policy and Program provide information regarding FSIS Development, Food Safety and policies, procedures, regulations, Food Safety and Inspection Service Inspection Service, USDA, 1400 Federal Register notices, FSIS public [Docket No. FSIS–2016–0020] Independence Avenue SW., Room 6065, meetings, and other types of information South Building, Washington, DC 20250; that could affect or would be of interest Notice of Request To Renew an (202) 720–5627. to our constituents and stakeholders. Approved Information Collection The Update is available on the FSIS (Industry Responses to SUPPLEMENTARY INFORMATION: Web page. Through the Web page, FSIS Noncompliance Records) Title: Industry Responses to is able to provide information to a much Noncompliance Records AGENCY: Food Safety and Inspection broader, more diverse audience. In OMB Control Number: 0583–0146. Service, USDA. addition, FSIS offers an email Type of Request: Renewal of an subscription service which provides ACTION: Notice and request for approved information collection. automatic and customized access to comments. Expiration Date: 12/31/2016. selected food safety news and Abstract: FSIS has been delegated the SUMMARY: In accordance with the authority to exercise the functions of the information. This service is available at: Paperwork Reduction Act of 1995 and http://www.fsis.usda.gov/subscribe. Secretary of Agriculture (7 CFR 2.18, Office of Management and Budget 2.53) as specified in the Federal Meat Options range from recalls to export (OMB) regulations, the Food Safety and information, regulations, directives, and Inspection Act (FMIA) (21 U.S.C. 601, et Inspection Service (FSIS) is announcing seq.), the Poultry Products and notices. Customers can add or delete its intention to renew the approved subscriptions themselves, and have the Inspection Act (PPIA) (21 U.S.C. 451, et information collection regarding seq.), and the Egg Products Inspection option to password protect their industry responses to noncompliance accounts. Act (EPIA) (21 U.S.C. 1031, et seq.). records. The approval for this FSIS protects the public by verifying USDA Non-Discrimination Statement information collection will expire on that meat, poultry, and egg products are December 31, 2016. No agency, officer, or employee of the safe, wholesome, not adulterated, and USDA shall, on the grounds of race, DATES: Submit comments on or before correctly labeled. color, national origin, religion, sex, September 6, 2016. FSIS is requesting a renewal of the gender identity, sexual orientation, ADDRESSES: FSIS invites interested previously approved information disability, age, marital status, family/ persons to submit comments on this collection addressing paperwork parental status, income derived from a information collection. Comments may requirements related to the collection of public assistance program, or political be submitted by one of the following information on official meat or poultry beliefs, exclude from participation in, methods: establishment and egg products plant • deny the benefits of, or subject to Federal eRulemaking Portal: This responses to noncompliance records. discrimination any person in the United Web site provides the ability to type The noncompliance record, FSIS Form States under any program or activity short comments directly into the 5400–4, serves as FSIS’s official record conducted by the USDA. comment field on this Web page or of noncompliance with one or more attach a file for lengthier comments. Go regulatory requirements. Inspection How To File a Complaint of to http://www.regulations.gov. Follow program personnel use the form to Discrimination the on-line instructions at that site for document their findings and provide To file a complaint of discrimination, submitting comments. written notification of the official complete the USDA Program • Mail, including CD–ROMs, etc.: establishment’s or plant’s failure to Discrimination Complaint Form, which Send to Docket Clerk, U.S. Department comply with regulatory requirements. may be accessed online at http:// of Agriculture, Food Safety and The establishment or plant management www.ocio.usda.gov/sites/default/files/ Inspection Service, Docket Clerk, receives a copy of the form and has an docs/2012/Complain_combined_6_8_ Patriots Plaza 3, 1400 Independence opportunity to respond in writing using 12.pdf, or write a letter signed by you Avenue SW., Mailstop 3782, Room 8– the noncompliance record form. or your authorized representative. 163A, Washington, DC 20250–3700. The OMB approval of this information Send your completed complaint form • Hand- or courier-delivered collection will expire on December 31, or letter to USDA by mail, fax, or email: submittals: Deliver to Patriots Plaza 3, 2016. The number of estimated burden Mail: U.S. Department of Agriculture, 355 E Street SW., Room 8–163A, hours for this requested renewal has Director, Office of Adjudication, 1400 Washington, DC 20250–3700. decreased because of a decrease in the
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average number of responses to provide information regarding FSIS DEPARTMENT OF AGRICULTURE noncompliance records that were policies, procedures, regulations, collected over the past three years. Federal Register notices, FSIS public Forest Service Upon approval of this request, the hours meetings, and other types of information will be merged into the FSIS that could affect or would be of interest Kenai Peninsula-Anchorage Borough information collection titled Public to our constituents and stakeholders. Resource Advisory Committee Health Information System (0583–0153). The Update is available on the FSIS AGENCY: Forest Service, USDA. FSIS has made the following Web page. Through the Web page, FSIS ACTION: Notice of meeting. estimates on the basis of an information is able to provide information to a much collection assessment: broader, more diverse audience. In SUMMARY: The Kenai Peninsula- Estimate of Burden: FSIS estimates addition, FSIS offers an email Anchorage Borough Resource Advisory that it will take respondents an average subscription service which provides Committee (RAC) will meet in of 60 minutes per response. automatic and customized access to Girdwood, Alaska. The committee is Respondents: Official establishments selected food safety news and authorized under the Secure Rural and plants. information. This service is available at: Schools and Community Self- Estimated No. of Respondents: 7,057. http://www.fsis.usda.gov/subscribe. Determination Act (the Act) and Estimated No. of Annual Responses Options range from recalls to export operates in compliance with the Federal per Respondent: 17. information, regulations, directives, and Advisory Committee Act. The purpose Estimated Total Annual Burden on notices. Customers can add or delete of the committee is to improve Respondents: 119,969 hours. subscriptions themselves, and have the collaborative relationships and to Copies of this information collection option to password protect their provide advice and recommendations to assessment can be obtained from Gina accounts. the Forest Service concerning projects Kouba, Office of Policy and Program and funding consistent with title II of Development, Food Safety and USDA Non-Discrimination Statement the Act. RAC information can be found Inspection Service, USDA, 1400 at the following Web site: http:// Independence SW., 6065, South No agency, officer, or employee of the USDA shall, on the grounds of race, www.fs.usda.gov/main/pts/ Building, Washington, DC 20250; (202) specialprojects/racweb. 720–5627. color, national origin, religion, sex, DATES: The meeting will be held August Comments are invited on: (a) Whether gender identity, sexual orientation, disability, age, marital status, family/ 6, 2016, at 10:00 a.m. the proposed collection of information All RAC meetings are subject to is necessary for the proper performance parental status, income derived from a public assistance program, or political cancellation. For status of meeting prior of FSIS’s functions, including whether to attendance, please contact the person the information will have practical beliefs, exclude from participation in, deny the benefits of, or subject to listed under FOR FURTHER INFORMATION utility; (b) the accuracy of FSIS’s CONTACT. estimate of the burden of the proposed discrimination any person in the United collection of information, including the States under any program or activity ADDRESSES: The meeting will be held at validity of the methodology and conducted by the USDA. Glacier Ranger District Office, 145 assumptions used; (c) ways to enhance Forest Station Road Girdwood, Alaska How To File a Complaint of 99587. A conference line will be the quality, utility, and clarity of the Discrimination information to be collected; and (d) available, if you would like to attend the ways to minimize the burden of the To file a complaint of discrimination, meeting via conference call, please collection of information, including complete the USDA Program contact the person listed under FOR through the use of appropriate Discrimination Complaint Form, which FURTHER INFORMATION CONTACT. Written comments may be submitted automated, electronic, mechanical, or may be accessed online at http:// as described under Supplementary other technological collection www.ocio.usda.gov/sites/default/files/ Information. All comments, including techniques, or other forms of docs/2012/Complain_combined_6_8_ names and addresses when provided, information technology. Comments may 12.pdf, or write a letter signed by you are placed in the record and are be sent to both FSIS, at the addresses or your authorized representative. provided above, and the Desk Officer for available for public inspection and Send your completed complaint form copying. The public may inspect Agriculture, Office of Information and or letter to USDA by mail, fax, or email: Regulatory Affairs, Office of comments received at the Glacier Management and Budget, Washington, Mail: U.S. Department of Agriculture, Ranger District. Please call ahead to DC 20253. Director, Office of Adjudication, 1400 facilitate entry into the building. Responses to this notice will be Independence Avenue SW., FOR FURTHER INFORMATION CONTACT: summarized and included in the request Washington, DC 20250–9410. Nancy O’Brien, RAC Coordinator, by for OMB approval. All comments will Fax: (202) 690–7442. phone at 907–424–4722 or via email at also become a matter of public record. [email protected]. Email: [email protected]. Individuals who use Additional Public Notification Persons with disabilities who require telecommunication devices for the deaf Public awareness of all segments of alternative means for communication (TDD) may call the Federal Information rulemaking and policy development is (Braille, large print, audiotape, etc.), Relay Service (FIRS) at 1–800–877–8339 important. Consequently, FSIS will should contact USDA’s TARGET Center between 8:00 a.m. and 8:00 p.m., announce this Federal Register at (202) 720–2600 (voice and TDD). Eastern Standard Time, Monday publication on-line through the FSIS Done at Washington, DC on, June 29, 2016. through Friday. Web page located at: http:// SUPPLEMENTARY INFORMATION: The Alfred V. Almanza, www.fsis.usda.gov/federal-register. purpose of the meeting is to discuss and FSIS also will make copies of this Acting Administrator. vote on project proposals. publication available through the FSIS [FR Doc. 2016–16159 Filed 7–7–16; 8:45 am] The meeting is open to the public. Constituent Update, which is used to BILLING CODE 3410–DM–P The agenda will include time for people
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to make oral statements of three minutes Agriculture, Office of Information and Administration, Congress, and the or less. Individuals wishing to make an Regulatory Affairs, Office of Federal Agencies to formulate and oral statement should request in writing Management and Budget (OMB), New evaluate national agricultural programs by July 30, 2016, to be scheduled on the Executive Office Building, 725 17th and policy. The Department of agenda. Anyone who would like to Street NW., Washington, DC, 20503. Agriculture and the Bureau of Economic bring related matters to the attention of Commenters are encouraged to submit Analysis use Census data to compile the committee may file written their comments to OMB via email to: farm sector economic indicators. State statements with the committee staff [email protected] or fax and local governments use Census data before or after the meeting. Written (202) 395–5806 and to Departmental in the development of local agricultural comments and requests for time to make Clearance Office, USDA, OCIO, Mail programs. oral comments must be sent to Nancy Stop 7602, Washington, DC 20250– Description of Respondents: Farms; O’Brien, RAC Coordinator, P.O. Box 7602. Copies of the submission(s) may Individuals or households. 280, Cordova, Alaska 99574; by email to be obtained by calling (202) 720–8681. Number of Respondents: 4,438,800. [email protected], or via facsimile to An agency may not conduct or Frequency of Responses: Reporting: 907–424–7214. sponsor a collection of information Other (Every 5 years). Meeting Accommodations: If you are unless the collection of information Total Burden Hours: 2,763,085. a person requiring reasonable displays a currently valid OMB control accommodation, please make requests number and the agency informs Ruth Brown, in advance for sign language potential persons who are to respond to Departmental Information Collection interpreting, assistive listening devices, the collection of information that such Clearance Officer. or other reasonable accommodation. For persons are not required to respond to [FR Doc. 2016–16179 Filed 7–7–16; 8:45 am] access to the facility or proceedings, the collection of information unless it BILLING CODE 3410–20–P please contact the person listed in the displays a currently valid OMB control section titled FOR FURTHER INFORMATION number. CONTACT. All reasonable National Agricultural Statistics Service COMMISSION ON CIVIL RIGHTS accommodation requests are managed on a case by case basis. Title: 2017 Census of Agriculture. Notice of Public Meeting of the OMB Control Number: 0535–0226. Dated: July 1, 2016. Michigan Advisory Committee for a Summary of Collection: The National Meeting To Discuss Testimony Tim Charnon, Agricultural Statistics Service (NASS) is Regarding Civil Rights and Civil Asset District Ranger. responsible for conducting the Census Forfeiture in the State [FR Doc. 2016–16205 Filed 7–7–16; 8:45 am] of Agriculture under the authority of the BILLING CODE 3411–15–P Census of Agriculture Act of 1997, AGENCY: U.S. Commission on Civil Public Law 105–113. The census of Rights. agriculture is required by law every five ACTION: Announcement of meeting. DEPARTMENT OF AGRICULTURE years and is the primary source of statistics concerning the nation’s SUMMARY: Notice is hereby given, National Agricultural Statistics Service agricultural industry. It provides the pursuant to the provisions of the rules and regulations of the U.S. Commission Submission for OMB Review; only basis of consistent, comparable on Civil Rights (Commission) and the Comment Request data throughout the more than 3,000 counties in the 50 States and Puerto Federal Advisory Committee Act that The Department of Agriculture has Rico. For the outlying areas of American the Michigan Advisory Committee submitted the following information Samoa, Commonwealth of the Northern (Committee) will hold a meeting on collection requirement(s) to OMB for Mariana Islands, Guam and U.S. Virgin Tuesday, July 19, 2016, at 10:00 a.m. review and clearance under the Islands, it is the only source of EDT for the purpose of discussing civil Paperwork Reduction Act of 1995, consistent, comparable agricultural data. rights topics emerging from testimony Public Law 104–13. Comments are Need and Use of the Information: The regarding civil asset forfeiture practices requested regarding (1) whether the data collection for the censuses of in the state. collection of information is necessary agriculture for the 50 states and Puerto Members of the public can listen to for the proper performance of the Rico will be conducted primarily by the discussion. This meeting is available functions of the agency, including mail-out/mail-back procedures (US to the public through the following toll- whether the information will have Postal Service), internet, and with free call-in number: 888–438–5524, practical utility; (2) the accuracy of the phone and field enumeration for conference ID: 3344476. Any interested agency’s estimate of burden including targeted non-respondents. Data member of the public may call this the validity of the methodology and collection for Guam, the U.S. Virgin number and listen to the meeting. An assumptions used; (3) ways to enhance Islands, Commonwealth of the Northern open comment period will be provided the quality, utility and clarity of the Mariana Islands and American Samoa to allow members of the public to make information to be collected; (4) ways to will be conducted using direct a statement as time allows. The minimize the burden of the collection of enumeration methods only. The census conference call operator will ask callers information on those who are to provides data on the number and types to identify themselves, the organization respond, including through the use of of farms, land use, crop area and they are affiliated with (if any), and an appropriate automated, electronic, selected production, livestock inventory email address prior to placing callers mechanical or other technological and sales, production contracts, into the conference room. Callers can collection techniques or other forms of production expenses, farm-related expect to incur regular charges for calls information technology. income, and other demographic they initiate over wireless lines, Comments regarding this information characteristics. This information will according to their wireless plans. The collection received by August 8, 2016 serve as the basis for many Commission will not refund any will be considered. Written comments agriculturally-based decisions. Census incurred charges. Callers will incur no should be addressed to: Desk Officer for information is used by the charge for calls they initiate over land-
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line connections to the toll-free ACTION: Notice of Commission business • Tennessee telephone number. Persons with hearing meeting. • Idaho impairments may also follow the • District of Columbia proceedings by first calling the Federal DATES: Friday, July 15, 2016, at 10:00 • Ohio Relay Service at 1–800–977–8339 and a.m. EST. • Advisory Committee Presentation by providing the Service with the ADDRESSES: Place: National Place the Chair of the Oklahoma Advisory conference call number and conference Building, 1331 Pennsylvania Ave. NW., Committee on their School-to-Prison ID number. 11th Floor, Suite 1150, Washington, DC Pipeline report Member of the public are also entitled 20245 (Entrance on F Street NW.) D. Management and Operations to submit written comments; the FOR FURTHER INFORMATION CONTACT: • comments must be received in the Staff Director’s Report Latrice Foshee, Acting Media Advisor at • regional office within 30 days following Status of USCCR Web site Transition telephone: (202) 376–8371 or email: • the meeting. Written comments may be [email protected]. Introduction of Brian Walch Communications & Public mailed to the Midwestern Regional SUPPLEMENTARY INFORMATION: This Office, U.S. Commission on Civil Rights, business meeting is open to the public. Engagement Director 55 W. Monroe St., Suite 410, Chicago, If you would like to listen to the II. Adjourn Meeting IL 60615. They may also be faxed to the business meeting, please contact the Commission at (312) 353–8324, or above for the call-in information. Dated: July 6, 2016. emailed to Carolyn Allen at callen@ Persons with hearing impairments, David Mussatt, usccr.gov. Persons who desire please contact the above for how to Regional Programs Unit Chief, U.S. additional information may contact the access the Federal Relay Service for the Commission on Civil Rights. Midwestern Regional Office at (312) meeting. [FR Doc. 2016–16370 Filed 7–6–16; 4:15 pm] 353–8311. Hearing-impaired persons who will BILLING CODE 6335–01–P Records generated from this meeting attend the briefing and require the may be inspected and reproduced at the services of a sign language interpreter Midwestern Regional Office, as they should contact Pamela Dunston at (202) DEPARTMENT OF COMMERCE become available, both before and after 376–8105 or at [email protected] the meeting. Records of the meeting will at least seven business days before the [Docket No. 160329305–6305–01] be available via www.facadatabase.gov scheduled date of the meeting. under the Commission on Civil Rights, Privacy Act of 1974, System of Meeting Agenda Michigan Advisory Committee link. Records Persons interested in the work of this I. Business Meeting AGENCY: National Oceanic and Committee are directed to the A. Approval of Agenda Atmospheric Administration, U.S. Commission’s Web site, http:// B. Program Planning Department of Commerce. www.usccr.gov, or may contact the • Discussion and Vote on 2016 ACTION: Notice of a revised Privacy Act Midwestern Regional Office at the above System of Records: COMMERCE/ email or street address. Statutory Enforcement Report on Justice: Toxic Materials, Poor NOAA–12, Marine Mammals, Agenda Economics and the Impact and the Endangered and Threatened Species, Permits and Authorizations, Applicants. Welcome and Introductions Impact of the Environment on Low- Discussion of Civil Asset Forfeiture Income, Minority Communities. • Discussion and Vote on Concept SUMMARY: This notice announces the Testimony in Michigan Department of Commerce’s Public Comment Paper for 2017 Statutory Enforcement Report. (Department’s) proposal to amend a Future Plans and Actions • System of Records under the 1974 Adjournment Discussion and vote on Commission Statement on Supreme Court’s 4–4 Privacy Act. The National Oceanic and DATES: The meeting will be held on decision in United States v. Texas Atmospheric Administration’s Tuesday, July 19, 2016, at 10:00 a.m. affirming 5th Circuit Court of (NOAA’s) National Marine Fisheries EDT. Appeals decision to block DAPA Service (NMFS) is amending their system of records for marine mammal Public Call Information (Deferred Action for Parents of Americans and Lawful Permanent and threatened and endangered species Dial: 888–438–5524 Residents) program and expand permit and authorization programs. Conference ID: 3344476 DACA (Deferred Action for Information will be collected from FOR FURTHER INFORMATION CONTACT: Childhood Arrivals). individuals and entities under the Carolyn Allen at [email protected] or • Discussion and vote on Commission authority of the Marine Mammal 312–353–8311. Statement on Supreme Court Protection Act and the Endangered Decision on Fisher v. University of Species Act. This record system is Dated: July 1, 2016. necessary to identify permit and David Mussatt, Texas at Austin allowing universities to continue considering authorization applicants and to evaluate Chief, Regional Programs Unit. race and ethnicity as a factor in the qualifications of the applicants. [FR Doc. 2016–16126 Filed 7–7–16; 8:45 am] selecting incoming students. DATES: To be considered, written BILLING CODE 6335–01–P • Discussion and Vote on comments must be submitted on or Commission letter regarding before August 8, 2016. Unless comments Antonio Zambrano-Montes killed are received, the amended system of COMMISSION ON CIVIL RIGHTS by police in Washington State. records will become effective as Sunshine Act Meeting Notice proposed on August 17, 2016. If C. State Advisory Committees comments are received, the Department AGENCY: United States Commission on • Appointment of members to Advisory will publish a subsequent notice in the Civil Rights. Committees Federal Register within 10 days after
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the comment period closes, stating that b. NMFS, Greater Atlantic Regional non-vessel gear and name and address the current system of records will Fisheries Office. 55 Great Republic of the operator if other than the owner; remain in effect until publication of a Drive, Gloucester, MA 01930–2276. name and length of the vessel, home final action in the Federal Register. c. NMFS, Southeast Region, 263 13th port, United States Coast Guard (USCG) ADDRESSES: Comments may be mailed to Avenue South, St. Petersburg, FL 33701. documentation number or State Amy Sloan, Deputy Chief, Permits and d. NMFS, West Coast Region, registration number, State commercial Conservation Division, NOAA, National Sustainable Fisheries Division, 7600 license number of the fishing vessel Marine Fisheries Service, Office of Sand Point Way NE., Bldg. #1, Seattle, which will operate under the Protected Resources, 1315 East-West WA 98115. authorization, and for a non-vessel Highway, F/PR1 Room 13824, Silver e. NMFS, West Coast Region, 501 fishery, a description of the gear and Spring, MD 20910. West Ocean Boulevard, Suite 4200, state commercial license number; a list Long Beach, CA 90802. of the fishery(s) in which the fisher will FOR FURTHER INFORMATION CONTACT: f. NMFS, Southwest Fisheries Science be engaged; for an individual, social Amy Sloan (Phone: 301–427–8401; Center, 8604 La Jolla Shores Drive, La security number and date of birth of the Email: [email protected]). Jolla, CA 92037. owner(s) of a vessel or non-vessel gear; SUPPLEMENTARY INFORMATION: NMFS is g. NMFS, Pacific Islands Region, Ford and for a business, corporation name, amending its system of applicant Island Honolulu at 1845 Wasp Blvd., employer identification number and records for use with marine mammal Building 176, Honolulu, HI 96818. date of incorporation. Any time there is and threatened and endangered species h. NMFS, Alaska Region, 709 West an incidental or intentional mortality or permit and authorization programs to Ninth Street, Juneau, AK 99802–1668. injury to a marine mammal during make minor administrative updates commercial fishing activities, the including updating addresses where CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: following information must be records are located and how records are submitted by all authorized fisheries Researchers, wildlife managers, stored. The Marine Mammal Protection (electronically or by mail): Name of photographers, holders of marine Act, Fur Seal Act, and Endangered vessel owner/operator or permit holder, mammals in captivity, corporations, Species Act prohibit certain actions mailing address, vessel name, fishery partnerships, associations, affecting marine mammals and gear type and target species, and organizations, Federal, state, local or endangered and threatened species, information about the marine mammal tribal governments and other members with limited exceptions. Permits mortality/injury incident. involving marine mammals and of the public seeking exceptions to endangered and threatened species can prohibited activities related to marine AUTHORITIES FOR MAINTENANCE OF THE SYSTEM: be obtained for scientific research, mammals and endangered and The Marine Mammal Protection Act, enhancing the survival or recovery of a threatened species, and owners of 16 U.S.C. 1361 et seq.; the Fur Seal Act, species or stock, commercial and commercial fishing vessels engaged in 16 U.S.C. 1151 et seq.; and the educational photography, and import Category I or II fisheries seeking an Endangered Species Act, 16 U.S.C. 1531 and capture for public display. exception to prohibited activities on et seq. [For collection of the Tax Authorizations can be obtained for marine mammals and endangered and Identifying Number (Employer scientific research that involves threatened species. Identification Number or Social Security minimal disturbance. Also U.S. citizens CATEGORIES OF RECORDS IN THE SYSTEM: Number), 31 U.S.C. 7701.] may request and obtain, authorizations This information is collected and/or PURPOSES: for the incidental taking of marine maintained by all regions and divisions: mammals for specified activities other This information will allow NMFS to Permit or authorization number, permit identify applicants and holders of than commercial fishing. Owners of a and authorization status information; commercial vessel or non-vessel gear permits and authorizations, identify type of application, name of applicant vessel owners, evaluate requests by engaging in a Category I or II fishery and of other individuals on application, must obtain a marine mammal applicants, or agency actions, related to affiliations, addresses, email addresses, the issuance, renewal, revocation, authorization certificate from NOAA and telephone and fax numbers. For Fisheries, or a designated agent, to suspension or modification of a permit marine mammal and threatened and or authorization. lawfully incidentally take a marine endangered species special exception mammal in a commercial fishery. NMFS permits and authorizations, the ROUTINE USES OF RECORDS MAINTAINED IN THE collects information from individuals in following information is also included: SYSTEM, INCLUDING CATEGORIES OF USERS AND order to issue, amend, or renew permits Qualifications of individuals listed on PURPOSES OF SUCH USES: or authorizations. the applications and a description of In addition to those disclosures COMMERCE/NOAA–12 proposed activities. generally permitted under 5 U.S.C. For the marine mammal authorization 552a(b) of the Privacy Act, these records SYSTEM NAME: program (MMAP), if a commercial or information contained therein may COMMERCE/NOAA–12, Marine fisherman has a state or Federal fishery specifically be disclosed outside the Mammals, Endangered and Threatened license, they are not required to submit Department. These records or Species, Permits and Authorizations information to NMFS. Their registration information contained therein may Applicants. is automatically renewed by mail and specifically be disclosed as a routine use their registration information is not as stated below. The Department will, SECURITY CLASSIFICATION: stored in this system, but in the when so authorized, make the None. applicable regional Sustainable determination as to the relevancy of a Fisheries Permit Office. For those record prior to its decision to disclose SYSTEM LOCATION: without a state or Federal fishery a document. a. NMFS, Office of Protected license, the following information is 1. In the event that a system of records Resources, 1315 East West Highway, included: Name, address, and telephone maintained by the Department to carry Silver Spring, MD 20910. number of the owner(s) of a vessel or out its functions indicates a violation or
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potential violation of law or contract, property interests, identify theft or 2906. Such disclosure shall be made in whether civil, criminal or regulatory in fraud, or harm to the security or accordance with the GSA regulations nature and whether arising by general integrity of this system or other systems governing inspection of records for this statute or particular program statute or or programs (whether maintained by the purpose, and any other relevant (i.e., contract, rule, regulation, or order Department or another agency) that rely GSA or Commerce) directive. Such issued pursuant thereto, or the necessity upon the compromised information; and disclosure shall not be used to make to protect an interest of the Department, (3) the disclosure made to such determinations about individuals. the relevant records in the system of agencies, entities, and persons is records may be referred to the reasonably necessary to assist in DISCLOSURE TO CONSUMER REPORTING AGENCIES: appropriate agency, whether Federal, connection with the Department’s State, local, or foreign, charged with the efforts to respond to the suspected or None. responsibility of investigating or confirmed compromise and prevent, POLICIES AND PRACTICES FOR STORING, prosecuting such violation or charged minimize, or remedy such harm. RETRIEVING, ACCESSING, RETAINING, AND with enforcing or implementing the 9. A record from this system of DISPOSING OF RECORDS IN THE SYSTEM: statute or contract, rule, regulation, or records may be disclosed, as a routine STORAGE: use, to a Federal, state or local agency order issued pursuant thereto, or Online application system protecting the interest of the maintaining civil, criminal or other (Authorizations and Permits for Department. relevant enforcement information or Protected Species only for scientific 2. A record from this system of other pertinent information, such as records may be disclosed in the course current licenses, if necessary to obtain research permits and authorizations; of presenting evidence to a court, information relevant to a Department https://apps.nmfs.noaa.gov/); other magistrate, or administrative tribunal, decision concerning the assignment, computerized databases; CDs; paper including disclosures to opposing hiring or retention of an individual, the records stored in file folders in cabinets counsel in the course of settlement issuance of a security clearance, the and/or storage rooms; electronic files negotiations. letting of a contract, or the issuance of maintained on the agency’s network 3. A record in this system of records a license, grant or other benefit. server. may be disclosed to a Member of 10. A record from this system of RETRIEVABILITY: Congress submitting a request involving records may be disclosed, as a routine Records are organized and retrieved an individual when the individual has use, to a Federal, state, local, or by NMFS internal identification number requested assistance from the Member international agency, in response to its or permit or authorization number; with respect to the subject matter of the request, in connection with the name of entity or vessel name or record. assignment, hiring or retention of an identification number. Records can be 4. A record in this system of records individual, the issuance of a security accessed by any file element or any may be disclosed to the Department of clearance, the reporting of an combination thereof. Justice in connection with determining investigation of an individual, the whether the Freedom of Information Act letting of a contract, or the issuance of SAFEGUARDS: (5 U.S.C. 552) requires disclosure a license, grant, or other benefit by the The paper systems of records are thereof. requesting agency, to the extent that the stored in buildings with doors that are 5. A record in this system may be information is relevant and necessary to locked during and after business hours. disclosed to the Department of the requesting agency’s decision on the Visitors to the facilities must register Homeland Security for the purposes of matter. with security guards and must be determining the admissibility of certain 11. A record in this system of records accompanied by Federal personnel at all marine mammal or threatened or may be disclosed, as a routine use, to times. The electronic systems of records endangered species or species parts the Office of Management and Budget in are stored on the agency’s network imports into the United States. connection with the review of private servers. Electronic records containing 6. A record in this system will be relief legislation as set forth in OMB Privacy Act information are protected disclosed to the Department of Treasury Circular No. A–19 at any stage of the by a user identification/password. for the purpose of reporting and legislative coordination and clearance All electronic information recouping delinquent debts owed the process as set forth in that Circular. disseminated by NOAA adheres to the United States pursuant to 31 U.S.C. 12. A record in this system may be standards set out in Appendix III, 7701 (this applies to MMAP permittees transferred, as a routine use, to the Security of Automated Information only). Office of Personnel Management: For Resources, OMB Circular A–130; the 7. A record in this system of records personnel research purposes; as a data Computer Security Act (15 U.S.C. 278g– may be disclosed to a contractor of the source for management information; for 3 and 278g–4); and the Government Department having need for the the production of summary descriptive Information Security Reform Act, Public information in the performance of the statistics and analytical studies in Law 106–398; and follows NIST SP contract, but not operating a system of support of the function for which the 800–18, Guide for Developing Security records within the meaning of 5 U.S.C. records are collected and maintained; or Plans for Federal Information Systems; 552a(m). for related manpower studies. NIST SP 800–26, Security Self- 8. A record in this system of records 13. A record from this system of Assessment Guide for Information may be disclosed to appropriate records may be disclosed, as a routine Technology Systems; and NIST SP 800– agencies, entities, and persons when: (1) use, to the Administrator, General 53, Recommended Security and Privacy It is suspected or determined that the Services Administration (GSA), or his Controls for Federal Information security or confidentiality of designee, during an inspection of Systems and Organizations. information in the system of records has records conducted by GSA as part of been compromised; (2) the Department that agency’s responsibility to RETENTION AND DISPOSAL: has determined that as a result of the recommend improvements in records All records are retained and disposed suspected or confirmed compromise management practices and programs, of in accordance with National Archive there is a risk of harm to economic or under authority of 44 U.S.C. 2904 and and Records Administration regulations
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(36 CFR chapter XII, subchapter B— Privacy Act Officer, NMFS Alaska Commerce’s (the Department) final Records Management); Departmental Region, P.O. Box 21668, Juneau, Alaska results of the fourth redetermination directives and comprehensive records 99802, or delivered to the Federal pursuant to remand.1 Consistent with schedules; NOAA Administrative Order Building, 709 West 9th Street, Juneau, the decision of the United States Court 205–01; and the NMFS Records Alaska, 99802–1668. of Appeals for the Federal Circuit Disposition Schedule, Chapter 1500. Written requests must be signed by (Federal Circuit) in Timken Co., v the requesting individual. Requestor United States, 893 F.2d 337 (Fed. Cir. SYSTEM MANAGER(S) AND ADDRESS: must make the request in writing and 1990) (Timken), as clarified by Diamond For records at location a.: Office of provide his/her name, address, and date Sawblades Mfrs. Coalition v. United Protected Resources, NMFS of the request and record sought. All States, 626 F.3d 1374 (Fed. Cir. 2010) Headquarters, 1315 East-West Highway, such requests must comply with the (Diamond Sawblades), the Department Silver Spring, MD 20910. inquiry provisions of the Department’s is notifying the public that the final For records at location b.: Office of Privacy Act rules which appear at 15 judgment in this case is not in harmony Protected Resources, NMFS Greater CFR part 4, appendix A. with the Department’s final results of Atlantic Regional Fisheries Office, 55 the antidumping duty administrative Great Republic Drive, Gloucester, MA RECORD ACCESS PROCEDURES: review of floor-standing, metal-top 01930–2276. Requests for access to records ironing tables and certain parts thereof For records at location c.: Office of maintained in this system of records Protected Resources, NMFS Southeast from the People’s Republic of China should be addressed to the same address covering the period August 1, 2006, Region, 263 13th Avenue South, St. given in the Notification Procedure Petersburg, FL 33701. through July 31, 2007, and is amending section. Note: Complete records for the final results with respect to the For records at location d.: Office of jointly-owned permits are made Protected Resources, West Coast Region, weighted-average dumping margin accessible to each owner upon his/her assigned to Since Hardware Sustainable Fisheries Division, 7600 request. Sand Point Way NE., Bldg. #1, Seattle, (Guangzhou) Co., Ltd. (Since 2 WA 98115. CONTESTING RECORDS PROCEDURES: Hardware). For records at locations e and f.: The Department’s rules for access, for DATES: Effective Date: May 8, 2016. Office of Protected Resources, NMFS contesting contents, and appealing FOR FURTHER INFORMATION CONTACT: West Coast Region, 501 West Ocean initial determinations by the individual Michael J. Heaney or Robert James, AD/ Boulevard, Suite 4200, Long Beach, CA concerned are provided for in 15 CFR CVD Operations, Office VI, Enforcement 90802. part 4, appendix A. and Compliance, International Trade For records at location g.: Office of Administration, U.S. Department of Protected Resources, NMFS, Pacific RECORD SOURCE CATEGORIES: Commerce, 14th Street and Constitution Islands Region, Ford Island Honolulu at Information in this system will be Avenue NW., Washington, DC 20230; 1845 Wasp Blvd., Building 176, collected from individuals or entities telephone: (202) 482–4475 or (202) 482– Honolulu, HI 96818. applying for a permit or authorization. 0649, respectively. For records at location h.: Office of SUPPLEMENTARY INFORMATION: Protected Resources, NMFS Alaska EXEMPTIONS CLAIMED FOR THE SYSTEM: Region, 709 West Ninth Street, Juneau, None. Background AK 99802–1668. Dated: July 5, 2016. On March 16, 2009, the Department 3 NOTIFICATION PROCEDURE: Michael J. Toland, published its Final Results. On March Individuals seeking to determine Department of Commerce, Freedom of 18, 2009, Since Hardware, an exporter whether information about them is Information/Privacy Act Officer. of the subject merchandise, timely filed contained in this system should address [FR Doc. 2016–16170 Filed 7–7–16; 8:45 am] a complaint with the CIT to challenge written inquiries to the national or BILLING CODE 3510–22–P certain aspects of the Final Results. The regional Privacy Act Officer: litigation history of this procedure is Privacy Act Officer, NOAA, 1315 outlined below. East-West Highway, Room 9719, Silver DEPARTMENT OF COMMERCE On September 27, 2010, the Court 4 Spring, MD 20910. remanded this matter. On February 17, Privacy Act Officer, NMFS, 1315 East- International Trade Administration 2011, the Department issued its First West Highway, Room 13706, Silver [A–570–888] Redetermination, in which it declined Spring, MD 20910. to issue a separate rate to Since Privacy Act Officer, Greater Atlantic Floor-Standing, Metal-Top Ironing Hardware and continued to assign Since Regional Fisheries Office, 55 Great Tables and Certain Parts Thereof From Republic Drive, Gloucester, MA 01930– the People’s Republic of China: Notice 1 See Final Results of Redetermination Pursuant of Court Decision Not in Harmony With to Court Remand, Floor-Standing Metal-Top Ironing 2276. Tables and Certain Parts Thereof from the People’s Privacy Act Officer, NMFS Southeast Final Results and Notice of Amended Republic of China, Since Hardware (Guangzhou) Region, 263 13th Avenue South, St. Final Results of the Antidumping Duty Co., Ltd. v. United States, Court No. 09–00123, Slip Petersburg, FL 33701. Administrative Review; 2006–2007 Op. 15–15 (CIT February 18, 2015), dated June 18, Privacy Act Officer, NMFS West Coast 2015 (Fourth Redetermination), available at http:// Region, 7600 Sand Point Way NE., Bldg. AGENCY: Enforcement and Compliance, enforcement.trade.gov/remands/index.htm. International Trade Administration, 2 See Floor-Standing Metal-Top Ironing Tables #1, Seattle, WA 98115. and Certain Parts Thereof From the People’s Privacy Act Officer, NMFS West Coast Department of Commerce. Republic of China: Final Results of Antidumping Region, 501 West Ocean Boulevard, SUMMARY: On April 28, 2016, the United Duty Administrative Review, 74 FR 11085 (March Suite 4200, Long Beach, CA 90802. States Court of International Trade (the 16, 2009), and accompanying Issues and Decision Privacy Act Officer, NMFS Pacific CIT or the Court) issued final judgment Memorandum (Final Results). 3 Id. Islands Region, Ford Island Honolulu at in Since Hardware (Guangzhou) Co., 4 Since Hardware (Guangzhou) Co., Ltd. v. United 1845 Wasp Blvd., Building 176, Ltd., v. United States, Court No. 09– States, Court No. 09–00123, Slip. Op. 10–108 Honolulu, HI 96818. 00123, sustaining the Department of (September 27, 2010) (Since Hardware I).
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Hardware an AFA rate of 157.68 On February 18, 2015, in Since appealed, pending a final and percent.5 Hardware IV, the Court rejected the conclusive court decision. Upon consideration of the First analysis concerning corroboration of the Amended Final Results Redetermination, on November 29, 157.68 percent rate assigned to Since 2011, the Court determined that the Hardware, as outlined in the Third Because there is now a final court Department failed to consider record Redetermination.14 The Court ordered decision, the Department is amending information relating to Since the Department to support the rate the Final Results with respect to the Hardware’s application for a separate assigned to Since Hardware by dumping margin of Since Hardware. rate.6 In Since Hardware II, the Court demonstrating that the information had The revised weighted-average dumping directed the Department to determine some grounding in commercial reality.15 margin for Since Hardware during the whether Since Hardware was entitled to The Court further determined that the period August 1, 2006, through July 31, a separate rate and, if so, to determine Department’s analysis of the Customs 2007, is as follows: that rate.7 On May 29, 2012, the data set forth in the Third Department issued its Second Redetermination was insufficient to Weighted Redetermination, in which it average corroborate the 157.68 percent AFA rate Exporter dumping determined that Since Hardware was assigned to Since Hardware.16 On June margin entitled to a separate rate.8 However, 18, 2015, the Department issued its (percent) because Since Hardware’s questionnaire Fourth Redetermination. In the Fourth responses had otherwise been Redetermination, the Department, under Since Hardware (Guangzhou) determined to be unreliable, the protest, assigned a revised AFA rate of Co., Ltd ...... 72.29 Department continued to assign an AFA 72.29 percent to Since Hardware to rate of 157.68 percent to Since better address the Court’s concerns of For Since Hardware, the cash deposit Hardware.9 In the Second relevance and commercial reality.17 rate will remain the rate established in Redetermination, the Department also This 72.29 percent rate was the rate the 2008–2009 Amended Final Results, reviewed data from U.S. Customs and a subsequent review, which is 83.83 assigned to Separate Rate companies in 20 Border Protection (CBP), and the less-than-fair value investigation.18 percent. determined that these CBP data On April 28, 2016, the Court In the event the Court’s ruling is not established that selected importers paid sustained the Department’s Fourth appealed, or if appealed and upheld by 10 antidumping duties of 157.68 percent. Redetermination, and entered final the Federal Circuit, the Department will instruct CBP to assess antidumping Based on this finding, the Department judgment.19 concluded the 157.68 percent rate was duties on entries of the subject relevant with regard to Since Hardware. Timken Notice merchandise exported by Since On May 31, 2013, in Since Hardware In its decision in Timken, 893 F.2d at Hardware using the revised assessment III, the Court sustained the Department’s 341, as clarified by Diamond Sawblades, rate calculated by the Department in the determination not to reopen the record the Federal Circuit has held that, Fourth Redetermination. 11 of the proceeding. The Court also pursuant to section 516A(e) of the Tariff This notice is issued and published in determined that the 157.68 percent rate accordance with sections 516(A)(e), 12 Act of 1930, as amended (the Act), the was reliable. However, the Court Department must publish a notice of a 751(a)(1), and 777(i)(1) of the Act. found the Department did not court decision not ‘‘in harmony’’ with a Dated: June 30, 2016. demonstrate the relevance and Department determination, and must Ronald K. Lorentzen, commercial reality of the 157.68 percent suspend liquidation of entries pending AFA rate. On October 31, 2013, the Acting Assistant Secretary for Enforcement a ‘‘conclusive’’ court decision. The & Compliance. Department issued its Third Court’s April 28, 2016 judgment Redetermination, determining that the [FR Doc. 2016–16253 Filed 7–7–16; 8:45 am] sustaining the Fourth Redetermination 157.68 percent rate assigned to Since BILLING CODE 3510–DS–P constitutes a final decision of the Court Hardware was corroborated to the extent that is not in harmony with the practicable by the use of CBP data.13 Department’s Final Results. This notice DEPARTMENT OF COMMERCE
5 is published in fulfillment of the See Final Results of Redetermination Pursuant International Trade Administration to Court Remand Floor Standing Metal-Top Ironing publication requirement of Timken. Tables and Certain Parts Thereof from the People’s Accordingly, the Department will [A–570–016] Republic of China Since Hardware (Guangzhou) continue the suspension of liquidation Co., Ltd.. United States, dated February 17, 2011 (First Redetermination). of the subject merchandise pending the Notice of Initiation and Preliminary 6 See Since Hardware (Guangzhou) Co., Ltd. v. expiration of the period of appeal or, if Results of Antidumping Duty Changed United States, Court No. 09–00123, Slip Op. 11–146 Circumstances Review: Certain (November 29, 2011) (Since Hardware II). Republic of China Since Hardware (Guangzhou) Passenger Vehicle and Light Truck 7 Id. Co., Ltd. v. United States, dated October 31, 2013 Tires From the People’s Republic of 8 See Final Results of Redetermination Pursuant (Third Redetermination). to Court Remand Floor Standing Metal-Top Ironing 14 See Since Hardware (Guangzhou) Co., Ltd. v. China Tables and Certain Parts Thereof from the People’s United States, Slip Op. 15–15, Court No. 09–00123 Republic of China Since Hardware (Guangzhou) (February 18, 2015) (Since Hardware IV). AGENCY: Enforcement and Compliance, Co., Ltd. v. United States, dated May 29, 2012 15 Id. International Trade Administration, (Second Redetermination). 16 Id., at 8–20. Department of Commerce. 9 Id. 17 See Fourth Redetermination. 10 Id. 18 See Notice of Amended Final Determination of 20 See Floor Standing Metal-Top Ironing Tables 11 See Since Hardware (Guangzhou) Co., Ltd. v. Sales at Less Than Fair Value and Antidumping and Certain Parts Thereof From the People’s United States, Court No., 09–00123, Slip Op. 13– Duty Order: Floor Standing Metal-Top Ironing Republic of China: Notice of Court Decision Not in 71 (May 31, 2013) (Since Hardware III). Tables and Certain Parts Thereof From the People’s Harmony with Final Results and Notice of 12 Id. Republic of China 69 FR 47868 (August 6, 2004). Amended Final Results of Antidumping Duty 13 See Final Results of Redetermination Pursuant 19 See Since Hardware (Guangzhou) Co., Ltd. v. Administrative Review; 2008–2009, 80 FR 36507, to Court Remand Floor Standing Metal-Top Ironing United States, Court No. 09–00123, Slip Op. 16–42 (June 25, 2015) (2008–2009 Amended Final Tables and Certain Parts Thereof from the People’s (April 28, 2016). Results).
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SUMMARY: The Department of Commerce publication of the final determination.5 However, if a subject tire is imported (the Department) is initiating a changed Sailun Jinyu HK subsequently filed attached to a wheel or rim, only the tire circumstances review (CCR) of the arguments as to why good cause exists is covered by the scope. antidumping duty (AD) order on certain for initiating a CCR.6 Specifically excluded from the scope passenger vehicle and light truck tires are the following types of tires: Scope of the Order (passenger tires) from the People’s (1) Racing car tires; such tires do not Republic of China (PRC) with regard to The products covered by the scope of bear the symbol ‘‘DOT’’ on the sidewall Sailun Jinyu Group (HONG KONG) Co., this order are passenger vehicle and and may be marked with ‘‘ZR’’ in size Limited (Sailun Jinyu HK). We light truck tires. Passenger vehicle and designation; preliminarily determine that Sailun light truck tires are new pneumatic tires, (2) new pneumatic tires, of rubber, of Jinyu HK is the successor-in-interest to of rubber, with a passenger vehicle or a size that is not listed in the passenger Jinyu International Holding Co., Limited light truck size designation. Tires car section or light truck section of the (Jinyu HK) for purposes of determining covered by these orders may be tube- Tire and Rim Association Year Book; AD liability. Interested parties are type, tubeless, radial, or non-radial, and (3) pneumatic tires, of rubber, that are invited to comment on these they may be intended for sale to original not new, including recycled and preliminary results. equipment manufacturers or the retreaded tires; replacement market. (4) non-pneumatic tires, such as solid DATES: Effective Date: July 8, 2016. Subject tires have, at the time of rubber tires; importation, the symbol ‘‘DOT’’ on the (5) tires designed and marketed FOR FURTHER INFORMATION CONTACT: Toni exclusively as temporary use spare tires Page, AD/CVD Operations, Office VII, sidewall, certifying that the tire conforms to applicable motor vehicle for passenger vehicles which, in Enforcement and Compliance, addition, exhibit each of the following safety standards. Subject tires may also International Trade Administration, physical characteristics: have the following prefixes or suffix in U.S. Department of Commerce, 1401 (a) the size designation and load Constitution Avenue NW., Washington, their tire size designation, which also index combination molded on the tire’s DC 20230; telephone: (202) 482–1398. appears on the sidewall of the tire: sidewall are listed in Table PCT–1B Prefix designations: SUPPLEMENTARY INFORMATION: (‘‘T’’ Type Spare Tires for Temporary P—Identifies a tire intended primarily Use on Passenger Vehicles) of the Tire Background for service on passenger cars and Rim Association Year Book, LT—Identifies a tire intended primarily (b) the designation ‘‘T’’ is molded into On August 10, 2015, the Department for service on light trucks the tire’s sidewall as part of the size published in the Federal Register an AD Suffix letter designations: designation, and, 1 order on passenger tires from the PRC. LT—Identifies light truck tires for (c) the tire’s speed rating is molded on On December 4, 2015, Jinyu HK, an service on trucks, buses, trailers, and the sidewall, indicating the rated speed exporter of passenger tires covered by multipurpose passenger vehicles used in MPH or a letter rating as listed by this order, changed its name from Jinyu in nominal highway service. Tire and Rim Association Year Book, HK to Sailun Jinyu HK. On February 23, and the rated speed is 81 MPH or a ‘‘M’’ 2016, Sailun Jinyu HK requested that All tires with a ‘‘P’’ or ‘‘LT’’ prefix, and all tires with an ‘‘LT’’ suffix in their rating; the Department conduct a changed (6) tires designed and marketed sidewall markings are covered by this circumstances review under section exclusively for specialty tire (ST) use investigation regardless of their 751(b) of the Tariff Act of 1930 (the which, in addition, exhibit each of the intended use. Act), as amended, 19 CFR 351.216, and following conditions: 19 CFR 351.221(c)(3).2 In this request, In addition, all tires that lack a ‘‘P’’ or (a) the size designation molded on the Sailun Jinyu HK asked the Department ‘‘LT’’ prefix or suffix in their sidewall tire’s sidewall is listed in the ST to determine that it is the successor-in- markings, as well as all tires that sections of the Tire and Rim Association interest to Jinyu HK and, accordingly, to include any other prefix or suffix in Year Book, assign it Jinyu HK’s cash deposit rate.3 their sidewall markings, are included in (b) the designation ‘‘ST’’ is molded Sailun Jinyu HK also requested that the the scope, regardless of their intended into the tire’s sidewall as part of the size Department expedite the review.4 use, as long as the tire is of a size that designation, Initially, the Department denied Sailun is among the numerical size (c) the tire incorporates a warning, Jinyu HK’s request because it failed to designations listed in the passenger car prominently molded on the sidewall, demonstrate good cause for conducting section or light truck section of the Tire that the tire is ‘‘For Trailer Service a changed circumstances review of a and Rim Association Year Book, as Only’’ or ‘‘For Trailer Use Only’’, final determination in an investigation updated annually, unless the tire falls (d) the load index molded on the tire’s less than 24 months after the within one of the specific exclusions set sidewall meets or exceeds those load out below. indexes listed in the Tire and Rim Passenger vehicle and light truck Association Year Book for the relevant 1 See Certain Passenger Vehicle and Light Truck Tires From the People’s Republic of China: tires, whether or not attached to wheels ST tire size, and Amended Final Affirmative Antidumping Duty or rims, are included in the scope. (e) either Determination and Antidumping Duty Order; and (i) the tire’s speed rating is molded on Amended Final Affirmative Countervailing Duty 5 See letter from the Department, ‘‘Antidumping the sidewall, indicating the rated speed Determination and Countervailing Duty Order, 80 Duty Investigation of Passenger Vehicle and Light in MPH or a letter rating as listed by FR 47902 (August 10, 2015) (AD and CVD Orders). Truck Tires from the People’s Republic of China: Tire and Rim Association Year Book, 2 See letter from the Sailun Group, ‘‘Jinyu Request for Changed Circumstances Review’’ (April International Holding Co., Limited’s Request for a 4, 2016). and the rated speed does not exceed 81 Changed Circumstances Review in Certain 6 See letter from the Sailun Group, ‘‘Jinyu MPH or an ‘‘M’’ rating; or Passenger Vehicle and Light Truck Tires From the International Holding Co., Limited’s Request for a (ii) the tire’s speed rating molded on People’s Republic of China, Case No. A–570–016,’’ Changed Circumstances Review in Certain the sidewall is 87 MPH or an ‘‘N’’ rating, at 1 (February 23, 2016) (Sailun Jinyu HK CCR Passenger Vehicle and Light Truck Tires From the Request). People’s Republic of China, Case No. A–570–016,’’ and in either case the tire’s maximum 3 Id. at 2–3 (April 18, 2016) (Sailun Jinyu HK CCR Good pressure and maximum load limit are 4 Id. Cause Request). molded on the sidewall and either
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(1) both exceed the maximum Department will conduct a CCR upon the prior company, the Department will pressure and maximum load limit for receipt of a request from an interested assign the new company the cash any tire of the same size designation in party for a review of an AD order which deposit rate of its predecessor.12 either the passenger car or light truck shows changed circumstances sufficient In its February 23, 2016, and April 18, section of the Tire and Rim Association to warrant a review of the order. The 2016 submissions, Sailun Jinyu HK Year Book; or information submitted by Sailun Jinyu provided information to demonstrate (2) if the maximum cold inflation HK supporting its claim that it is the that it is the successor-in-interest to pressure molded on the tire is less than successor-in-interest to Jinyu HK Jinyu HK. Sailun Jinyu HK states that any cold inflation pressure listed for demonstrates changed circumstances there were no changes to the company’s that size designation in either the sufficient to warrant such a review.7 ownership, employees, managers, passenger car or light truck section of In accordance with the above- customers, or suppliers. To support its the Tire and Rim Association Year referenced regulation, the Department is claims, Sailun Jinyu HK submitted the Book, the maximum load limit molded initiating a CCR to determine whether following documents: (1) A copy of on the tire is higher than the maximum Sailun Jinyu HK is the successor-in- Jinyu HK Internal Work Approval Sheet, load limit listed at that cold inflation interest to Jinyu HK. When it concludes dated October 29, 2015 explaining the pressure for that size designation in that expedited action is warranted, the reason for the name change from Jinyu either the passenger car or light truck Department may publish the notice of HK to Sailun Jinyu HK; (2) a copy of a section of the Tire and Rim Association initiation and preliminary results for a Department memorandum regarding Year Book; CCR concurrently.8 We determined that Sailun Group Co., Ltd.’s Affiliation (7) tires designed and marketed expediting this CCR is warranted Single Entity Status, dated January 14, exclusively for off-road use and which, because we have the information 2015; (3) a Notice of Change of in addition, exhibit each of the necessary to make a preliminary finding Company Name, dated December 4, following physical characteristics: already on the record, in accordance 2015 filed with the Hong Kong (a) the size designation and load with our practice.9 Companies Registry; (4) a Certificate of index combination molded on the tire’s In determining whether one company Change of Name, dated December 21, sidewall are listed in the off-the-road, is the successor-in-interest to another, 2015, issued by the Hong Kong agricultural, industrial or ATV section the Department examines a number of Companies Registry; (5) business of the Tire and Rim Association Year factors including, but not limited to, registrations for both Jinyu HK (dated Book, changes in management, production October 24, 2015) and Sailun Jinyu HK (b) in addition to any size designation facilities, supplier relationships, and (dated October 24, 2015); (6) a listing of markings, the tire incorporates a customer base.10 While no single factor the company’s customers before and warning, prominently molded on the or combination of these factors will after its name change; and (7) a letter sidewall, that the tire is ‘‘Not For necessarily provide a dispositive sent to all customers explaining the Highway Service’’ or ‘‘Not for Highway indication of a successor-in-interest name change.13 Sailun Jinyu HK also Use’’, relationship, the Department will demonstrated good cause for initiating a (c) the tire’s speed rating is molded on generally consider the new company to CCR pursuant to 19 CFR 351.216(c) the sidewall, indicating the rated speed be the successor to the previous because it has only changed its name in MPH or a letter rating as listed by the company if the new company’s resulting and no other aspect of the company’s Tire and Rim Association Year Book, operation is not materially dissimilar to operations, and conducting this review 11 and the rated speed does not exceed 55 that of its predecessor. Thus, if the ensures that the appropriate deposit rate MPH or a ‘‘G’’ rating, and evidence demonstrates that, with applies to Sailun Jinyu HK.14 (d) the tire features a recognizable off- respect to the production and sale of the Based on the evidence on the record, road tread design. subject merchandise, the new company we preliminarily find that Sailun Jinyu The products covered by the orders operates as the same business entity as HK is the successor-in-interest to Jinyu are currently classified under the HK. We find that Sailun Jinyu HK following Harmonized Tariff Schedule 7 See 19 CFR 351.216(d). operates as the same business entity as 8 of the United States (HTSUS) See 19 CFR 351.221(c)(3)(ii); see also Certain Jinyu HK and that its ownership, subheadings: 4011.10.10.10, Pasta From Italy: Initiation and Preliminary Results of Antidumping Duty Changed Circumstances management, production facilities, 4011.10.10.20, 4011.10.10.30, Review, 80 FR 33480, 33480–41 (June 12, 2015) supplier relationships, and customers 4011.10.10.40, 4011.10.10.50, (Pasta From Italy Preliminary Results) (unchanged have not changed as a result of its name 4011.10.10.60, 4011.10.10.70, in Certain Pasta From Italy: Final Results of change. Thus, we preliminarily find that 4011.10.50.00, 4011.20.10.05, and Changed Circumstances Review, 80 FR 48807 (August 14, 2015) (Pasta From Italy Final Results)). Sailun Jinyu HK should receive the 4011.20.50.10. Tires meeting the scope 9 See, e.g., Pasta From Italy Preliminary Results, same AD cash deposit rate with respect description may also enter under the 80 FR at 33480–41 (unchanged in Pasta From Italy to the subject merchandise as Jinyu HK, following HTSUS subheadings: Final Results, 80 FR at 48807). its predecessor company.15 4011.99.45.10, 4011.99.45.50, 10 See, e.g., Notice of Initiation and Preliminary 4011.99.85.10, 4011.99.85.50, Results of Antidumping Duty Changed Circumstances Review: Certain Frozen Warmwater 12 Id.; see also Notice of Final Results of Changed 8708.70.45.45, 8708.70.45.60, Shrimp From Thailand, 75 FR 61702, 61703 Circumstances Antidumping Duty Administrative 8708.70.60.30, 8708.70.60.45, and (October 6, 2010) (Shrimp From Thailand Review: Polychloroprene Rubber From Japan, 67 FR 8708.70.60.60. While HTSUS Preliminary Results) (unchanged in Notice of Final 58, 59 (January 2, 2002); and Ball Bearings and Parts Thereof from France: Final Results of subheadings are provided for Results of Antidumping Duty Changed Circumstances Review: Certain Frozen Warmwater Changed-Circumstances Review, 75 FR 34688, convenience and for customs purposes, Shrimp From Thailand, 75 FR 74684 (December 1, 34689 (June 18, 2010). the written description of the subject 2010) (Shrimp From Thailand Final Results)); and 13 See Sailun Jinyu HK CCR Request at Exhibits merchandise is dispositive. Industrial Phosphoric Acid From Israel: Final 1–7. Results of Antidumping Duty Changed 14 See Sailun Jinyu HK CCR Good Cause Request Initiation and Preliminary Results of Circumstances Review, 59 FR 6944, 6946 (February at 2–3. Changed Circumstances Review 14, 1994). 15 Jinyu HK, as part of the Sailun Group, received 11 See, e.g., Shrimp From Thailand Preliminary a 0.00 percent cash deposit rate in the investigation Pursuant to section 751(b)(1)(A) of the Results, 75 FR at 61703 (unchanged in Shrimp From of the AD order on passenger tires from the PRC. Act and 19 CFR 351.216(d), the Thailand Final Results, 75 FR at 74684). See AD and CVD Orders at 47904 (August 10, 2015).
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Should our final results remain the Dated: June 30, 2016. by the Department of State, the same as these preliminary results, we Paul Piquado, Department of the Interior, the Marine will instruct U.S. Customs and Border Assistant Secretary for Enforcement and Mammal Commission, and by other Protection to suspend entries of subject Compliance. agencies. The non-federal merchandise exported by Sailun Jinyu [FR Doc. 2016–16252 Filed 7–7–16; 8:45 am] representative(s) selected as a result of HK at Jinyu HK’s cash deposit rate, BILLING CODE 3510–DS–P this nomination process is (are) effective on the publication date of our responsible for providing input and final results. recommendations to the U.S. IWC DEPARTMENT OF COMMERCE Commissioner representing the Public Comment positions of non-governmental National Oceanic and Atmospheric organizations. Generally, only one non- Interested parties may submit case Administration governmental position is selected for the briefs and/or written comments not later U.S. Delegation. than 14 days after the publication of this RIN 0648–XE705 notice.16 Rebuttal briefs, which must be Dated: July 5, 2016. International Whaling Commission; John Henderschedt, limited to issues raised in case briefs, 66th Meeting; Nominations may be filed not later than five days Director, Office of International Affairs and after the deadline for filing case briefs.17 AGENCY: National Marine Fisheries Seafood Inspection Program, National Marine Fisheries Service. Parties who submit case briefs or Service (NMFS), National Oceanic and [FR Doc. 2016–16178 Filed 7–7–16; 8:45 am] rebuttal briefs in this changed Atmospheric Administration (NOAA), circumstances review are requested to Commerce. BILLING CODE 3510–22–P submit with each argument: (1) A ACTION: Notice; request for nominations. statement of the issue; (2) a brief SUMMARY: This notice is a call for DEPARTMENT OF COMMERCE summary of the argument; and (3) a nominees for the U.S. Delegation to the table of authorities. Interested parties October 2016 International Whaling National Oceanic and Atmospheric who wish to comment on the Commission (IWC) meeting. The non- Administration preliminary results must file briefs federal representative(s) selected as a RIN 0648–XE714 electronically using Enforcement and result of this nomination process is (are) Compliance’s Antidumping and responsible for providing input and Pacific Fishery Management Council; Countervailing Duty Centralized recommendations to the U.S. IWC Public Meeting (Webinar) Electronic Service System (ACCESS). Commissioner representing the ACCESS is available to registered users positions of non-governmental AGENCY: Marine Fisheries Service at http://access.trade.gov. An organizations. (NMFS), National Oceanic and Atmospheric Administration (NOAA), electronically-filed document must be DATES: The IWC is holding its 66th Commerce. received successfully in its entirety by meeting from October 20–28, 2016, at the Department’s electronic records the Convention Center of the Grand ACTION: Notice of public meeting system, ACCESS, by 5 p.m. Eastern Hotel Bernardin in Portorozˇ, Slovenia. (webinar). Time on the date the document is due. All written nominations for the U.S. SUMMARY: The Pacific Fishery Interested parties that wish to request Delegation to the IWC meeting must be Management Council’s (Pacific a hearing must submit a written request received by August 26, 2016. Council’s) Coastal Pelagic Species to the Assistant Secretary for ADDRESSES: All nominations for the U.S. Management Team (CPSMT) will meet Enforcement and Compliance, filed Delegation to the IWC meeting should via webinar to discuss potential electronically via ACCESS, within 14 be addressed to Mr. Ryan Wulff, Deputy management options for the northern days of publication of this notice.18 U.S. Commissioner to the IWC, and sent anchovy. The meeting is open to the Parties will be notified of the time and to Jordan Carduner via email: public. date of any hearing, if requested.19 [email protected]; or via post: National Marine Fisheries Service, DATES: The webinar meeting will take Consistent with 19 CFR 351.216(e), Office of International Affairs and place from 10 a.m. to 12 p.m. Pacific we intend to issue the final results of Seafood Inspection Program, 1315 East- Daylight Time, August 3, 2016. this changed circumstance review no West Highway, SSMC3 Room 10651, ADDRESSES: The meeting will be held later than 270 days after the date on Silver Spring, MD 20910. via webinar. A public listening station which this review was initiated, or FOR FURTHER INFORMATION CONTACT: will also be provided at the Pacific within 45 days of publication of these Jordan Carduner at jordan.carduner@ Council office. preliminary results if all parties agree to noaa.gov or 301–427–8401. Council address: Pacific Council, our preliminary finding. SUPPLEMENTARY INFORMATION: The 7700 NE Ambassador Place, Suite 101, We are issuing and publishing this Secretary of Commerce is responsible Portland, OR 97220–1384. finding and notice in accordance with for discharging the domestic obligations FOR FURTHER INFORMATION CONTACT: sections 751(b)(1) and 777(i)(1) of the of the United States under the Kerry Griffin, Staff Officer; telephone: Act, and 19 CFR 351.216 and International Convention for the (503) 820–2409. 351.221(c)(3)(ii). Regulation of Whaling, 1946. The U.S. SUPPLEMENTARY INFORMATION: The IWC Commissioner has responsibility primary purpose of the webinar is to for the preparation and negotiation of solicit comments and questions on a 16 See 19 CFR 351.309(c)(ii). U.S. positions on international issues draft white paper being developed by 17 See 19 CFR 351.309(d). concerning whaling and for all matters the Pacific Council’s CPSMT. The 18 See 19 CFR 351.310(c); see also 19 CFR 351.303 involving the IWC. The U.S. IWC Council will consider the white paper at for general filing requirements. Commissioner is staffed by the its September 15–20 meeting in Boise, 19 See 19 CFR 351.310. Department of Commerce and assisted ID. Public comments during the webinar
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will be received from attendees at the invitations at least 24 hours in advance items of discussion for this webinar are discretion of the CPSMT Chair. of each webinar. as follows: Although non-emergency issues not SEDAR address: South Atlantic 1. Finalize terms of reference that contained in the meeting agenda may be Fishery Management Council, 4055 specify the Panel’s purpose and discussed, those issues may not be the Faber Place Drive, Suite 201, N. approach. subject of formal action during this Charleston, SC 29405; 2. Continue discussions on SEDAR meeting. Action will be restricted to www.sedarweb.org. Data Best Practices living document. those issues specifically listed in this 3. Discuss Data Issue Inventory document and any issues arising after FOR FURTHER INFORMATION CONTACT: Julia Format publication of this document that Byrd, SEDAR Coordinator, 4055 Faber 4. Other business. require emergency action under section Place Drive, Suite 201, North Although non-emergency issues not 305(c) of the Magnuson-Stevens Fishery Charleston, SC 29405; phone: (843) 571– contained in this agenda may come Conservation and Management Act, 4366; email: [email protected]. before this group for discussion, those issues may not be the subject of formal provided the public has been notified of SUPPLEMENTARY INFORMATION: The Gulf action during this meeting. Action will the intent to take final action to address of Mexico, South Atlantic, and be restricted to those issues specifically the emergency. Caribbean Fishery Management identified in this notice and any issues Councils, in conjunction with NOAA Special Accommodations arising after publication of this notice Fisheries and the Atlantic and Gulf that require emergency action under The listening station is physically States Marine Fisheries Commissions, section 305(c) of the Magnuson-Stevens accessible to people with disabilities. have implemented the Southeast Data, Fishery Conservation and Management Requests for sign language Assessment and Review (SEDAR) Act, provided the public has been interpretation or other auxiliary aids process, a multi-step method for notified of the intent to take final action should be directed to Mr. Kris determining the status of fish stocks in to address the emergency. Kleinschmidt at (503) 820–2425, at least the Southeast Region. SEDAR is a three- 5 days prior to the meeting date. step process including: (1) Data Special Accommodations Dated: July 5, 2016. Workshop; (2) Assessment Process This meeting is accessible to people Tracey L. Thompson, utilizing webinars; and (3) Review with disabilities. Requests for auxiliary Acting Deputy Director, Office of Sustainable Workshop. The product of the Data aids should be directed to the SAFMC Fisheries, National Marine Fisheries Service. Workshop is a data report which office (see ADDRESSES) at least 5 [FR Doc. 2016–16213 Filed 7–7–16; 8:45 am] compiles and evaluates potential business days prior to the meeting. datasets and recommends which BILLING CODE 3510–22–P Note: The times and sequence specified in datasets are appropriate for assessment this agenda are subject to change. analyses. The product of the Assessment DEPARTMENT OF COMMERCE Process is a stock assessment report Authority: 16 U.S.C. 1801 et seq. which describes the fisheries, evaluates Dated: July 5, 2016. National Oceanic and Atmospheric the status of the stock, estimates Tracey L. Thompson, Administration biological benchmarks, projects future population conditions, and recommends Acting Deputy Director, Office of Sustainable RIN 0648–XE721 Fisheries, National Marine Fisheries Service. research and monitoring needs. The [FR Doc. 2016–16214 Filed 7–7–16; 8:45 am] Fisheries of the South Atlantic; assessment is independently peer BILLING CODE 3510–22–P Southeast Data, Assessment, and reviewed at the Review Workshop. The Review (SEDAR); Public Meeting product of the Review Workshop is a Summary documenting panel opinions DEPARTMENT OF COMMERCE AGENCY: National Marine Fisheries regarding the strengths and weaknesses Service (NMFS), National Oceanic and of the stock assessment and input data. National Oceanic and Atmospheric Atmospheric Administration (NOAA), Participants for SEDAR Workshops are Administration Commerce. appointed by the Gulf of Mexico, South ACTION: Notice of SEDAR Data Best Atlantic, and Caribbean Fishery Submission for OMB Review; Practices Standing Panel Webinar. Management Councils and NOAA Comment Request Fisheries Southeast Regional Office, SUMMARY: The SEDAR Data Best Highly Migratory Species Management The Department of Commerce will Practices Panel will develop, review, Division, and Southeast Fisheries submit to the Office of Management and and evaluate best practice Science Center. Participants include: Budget (OMB) for clearance the recommendations for SEDAR Data Data collectors and database managers; following proposal for collection of Workshops. See SUPPLEMENTARY stock assessment scientists, biologists, information under the provisions of the INFORMATION. and researchers; constituency Paperwork Reduction Act (44 U.S.C. DATES: The SEDAR Data Best Practices representatives including fishermen, Chapter 35). Standing Panel webinar will be held on environmentalists, and non- Agency: National Oceanic and Thursday, July 21, 2016, from 10 a.m. to governmental organizations (NGOs); Atmospheric Administration (NOAA). 12 p.m. (EST). international experts; and staff of Title: West Coast Region Federal Councils, Commissions, and state and Fisheries Permits—Northwest. ADDRESSES: The meeting will be held OMB Control Number: 0648–0203. via webinar. The webinar is open to federal agencies. Form Number(s): None. members of the public. Those interested The SEDAR Data Best Practices Type of Request: Regular (revision in participating should contact Julia Standing Panel is charged with and extension of a currently approved Byrd at SEDAR (see FOR FURTHER developing, reviewing, and evaluating information collection). INFORMATION CONTACT below) to request best practice recommendations for Number of Respondents: 537. an invitation providing webinar access SEDAR Data Workshops. This will be Average Hours per Response: Permit information. Please request webinar the second meeting of this group. The renewals, 20 minutes; Permit transfers,
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30 minutes; Sablefish ownership the permit owner is required to report DEPARTMENT OF COMMERCE interest form, 10 minutes ; EFP the remaining tier pounds not yet Applications, 32 hours; EFP Trip harvested on the sablefish endorsed National Oceanic and Atmospheric Notifications 2 minutes; EFP Harvest permit at the time of transfer. Administration Plans: 16 hours; EFP Data Reports: 2 Applicants for an exempted fishing [Docket No. 160606490–6490–01] hours;; EFP Summary Reports: interim permit (EFP) must submit written report, 4 hours; final report, 20 hours. information that allows NOAA Fisheries Privacy Act of 1974; System of Burden Hours: 2,000. Records Needs and Uses: This request is for and the Pacific Fishery Management extension of a currently approved Council to evaluate the proposed AGENCY: National Oceanic and information collection. exempted fishing project activities and Atmospheric Administration, U.S The Magnuson-Stevens Act (16 U.S.C. weigh the benefits and costs of the Department of Commerce. 1801) provides that the Secretary of proposed activities. The Council makes ACTION: Notice of a New Privacy Act Commerce is responsible for the a recommendation on each EFP System of Records: COMMERCE/ conservation and management of marine application and for successful NOAA–21, Financial Systems Division. fisheries resources in Exclusive applicants, NOAA Fisheries issues the Economic Zone (3–200 miles) of the EFPs which contains terms and SUMMARY: This notice announces the United States (U.S.). NOAA Fisheries, conditions for the project including Department of Commerce’s West Coast Region—Northwest manages various reporting requirements. The (Department’s) proposal for a new the Pacific Coast Groundfish Fishery in information included in an application system of records under the Privacy Act. The National Oceanic and Atmospheric the Exclusive Economic Zone (EEZ) off is specified at 50 CFR 600.745(b)(2) and Washington, Oregon, and California Administration’s (NOAA’s) National the Council Operating Procedure #19. under the Pacific Coast Groundfish Marine Fisheries Service (NMFS) is Permit holders are required to file Fishery Management Plan. The creating a new system of records for the regulations implementing the Pacific preseason harvest plans, interim and/or Financial Services Division’s financial Groundfish Fishery require that those final summary reports on the results of assistance programs. Information will be vessels participating in the limited entry the project and in some cases individual collected from individuals and fishery to be registered to a valid limited vessels and other permit holders are businesses under the authority of title entry permit. Participation in the fishery required to provide data reports XI of the Merchant Marine Act of 1936, and access to a limited entry permit has (logbooks and/or catch reports The as amended and codified, and the been restricted to control the overall results of EFPs are commonly used to Magnuson-Stevens Fishery harvest capacity. The regulations explore ways to reduce effort on Conservation and Management Act, as implementing the limited entry program depressed stocks, encourage innovation amended. This new record system is are found at 50 CFR part 660, subpart and efficiency in the fishery, provide necessary to determine whether G. access to constrained stocks which applicants for program financing, NOAA Fisheries seeks comment on directly measuring the bycatch Fishermen’s Contingency claims, or the extension of permit information associated with such strategies and participants in Capital Construction collections required for: (1) Renewal evaluate/revise current and proposed Fund accounts or Fishery Capacity and transfer of Pacific Coast Groundfish management measures. Reduction programs are eligible and are limited entry permits; (2) creditworthy. implementation of certain provisions of Affected Public: Business or other for- profit organizations, individuals or DATES: To be considered, written the sablefish permit stacking program as comments must be submitted on or provided for at 50 CFR 660.231 and households, not-for-profit institutions; state, local or tribal government. before August 8, 2016. Unless comments 660.25; and (3) issuing and fulfilling the are received, the new system of records terms and conditions of certain Frequency: Annually, semi-annually, will become effective as proposed on exempted fishing permits (EFPs). monthly and on occasion. August 17, 2016. If comments are Also, NOAA Fisheries requires an received, the Department will publish a information collection to implement Respondent’s Obligation: Required to subsequent notice in the Federal certain aspects of the sablefish permit obtain or retain benefits. Register within 10 days after the stacking program which prevents This information collection request comment period closes, stating that the excessive fleet consolidation. As part of may be viewed at reginfo.gov. Follow current system of records will remain in the annual renewal process, NOAA the instructions to view Department of effect until publication of a final action Fisheries requires a corporation or Commerce collections currently under in the Federal Register. partnership that owns or holds (as review by OMB. vessel owner) a sablefish endorsed ADDRESSES: Comments may be mailed Written comments and permit to provide a complete ownership to: Paul Marx, Chief, Financial Services recommendations for the proposed interest form listing all individuals with Division, National Marine Fisheries information collection should be sent ownership interest in the entity. Service, 1315 East West Highway, Silver within 30 days of publication of this Spring, MD 20910. Similarly, any sablefish endorsed permit _ transfer involving registration of a notice to OIRA Submission@ FOR FURTHER INFORMATION CONTACT: Paul business entity requires an ownership omb.eop.gov or fax to (202) 395–5806. Marx, Chief, Financial Services interest form if either the permit owner Dated: July 5, 2016. Division, National Marine Fisheries or vessel owner is a corporation or Sarah Brabson, Service, 1315 East West Highway, Silver Spring, MD 20910. partnership. This information is used to NOAA PRA Clearance Officer. determine if individuals own or hold SUPPLEMENTARY INFORMATION: NMFS sablefish permits in excess of the limit [FR Doc. 2016–16173 Filed 7–7–16; 8:45 am] will use the information contained in of 3 permits. Also, for transfer requests BILLING CODE 3510–22–P this system of records to determine made during the sablefish primary whether applicants for the Fisheries season (April 1st through October 31st), Financing Program (FFP) are both
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eligible and creditworthy; whether Suite 02–700, Gloucester, MA 01930– address, and, as applicable, the SSN or applicants for fishing gear 2209. EIN); Vessel name and characteristics; reimbursements under the Fishermen’s b. NMFS Southeast Financial Services fishing results for the three most recent Contingency Fund (FCF) are eligible and Branch, MB52, 263–13th Avenue South, trips; receipts for gear and equipment present valid claims; whether St. Petersburg, FL 33702–2432. replaced; and information about the participants under the Capital c. NMFS Northwest Financial claimant’s prior claims. The system of Construction Fund (CCF) are eligible to Services Branch, MB53, 7600 Sand records will include Capacity Reduction participate; and whether participants in Point Way NW., Bin C15700, Building program participants’ identity Fisheries Capacity Reduction programs #1, Seattle, WA 98115. (including full name, address, and, as (Buyback) are providing correct d. NMFS Financial Services Division, applicable, the SSN or EIN); processor information. The information collected 1315 East West Highway, Silver Spring, number, fish ticket information, receipt is essential for financial assistance and MD 20910. and payment information, and banking program eligibility determinations. It is information. CATEGORIES OF INDIVIDUALS COVERED BY THE comparable to what is usually required SYSTEM: AUTHORITIES FOR MAINTENANCE OF THE SYSTEM: by commercial lending institutions Applicants for Fisheries Finance Title XI of the Merchant Marine Act when making lending decisions, or Program financial assistance, including: of 1936 as amended and codified, 46 insurance institutions when adjusting Direct loans for vessels, shoreside U.S.C. 1177 and 46 U.S.C. 53701 et seq., claims. Applicants with a history of facilities, aquaculture, mariculture, and the Magnuson-Stevens Fishery credit problems (including delinquent individual fishing quota (IFQ) loans; Conservation and Management Act, 16 Federal debt), litigation or bankruptcy, applicants for Capital Construction U.S.C. 1801 et seq., and provisions of lack of capital, etc., may be unable to Fund (CCF) accounts; fishers and fish the Debt Collection Improvement Act as meet the FFP’s stringent credit buyers participating in Capacity codified at 31 U.S.C. 7701. standards and may be denied financing. Reduction loan (Buyback) programs; Applicants for CCF accounts with an PURPOSE(S): and claimants under the Fishermen’s ineligible vessel or an ineligible project Contingency Fund. This information will allow NMFS to may be unable to meet the CCF program identify applicants and program requirements. Claimants with CATEGORIES OF RECORDS IN THE SYSTEM: participants and evaluate them for insufficient or incorrect documentation The system will include general Financial Services Division financial may be ineligible to receive personal and financial data including: assistance. reimbursements for fishing gear lost on The loan applicant’s identity (including the Outer Continental Shelf. ROUTINE USES OF RECORDS MAINTAINED IN THE full name, address, and, as applicable, SYSTEM, INCLUDING CATEGORIES OF USERS AND Participants in the Capacity Reduction the SSN or EIN); the amount of THE PURPOSES OF SUCH USES: programs who fail to remit fees or fail financing applied for, the purpose of the In addition to those disclosures to remit them timely may face penalties loan; an appraisal of the vessel, facility generally permitted under 5 U.S.C. and late charges. or project being financed; Coast Guard 552a(b) of the Privacy Act, these records The information collection is documentation or Abstracts of title to or information contained therein may requested from individuals and vessels; income and financial specifically be disclosed outside of the businesses under the authority of title information, including the applicant’s Department. These records or XI of the Merchant Marine Act of 1936, last three Federal tax returns; LLC or information contained therein may as amended and codified, and the Partnership agreements; a list of specifically be disclosed as a routine use Magnuson-Stevens Fishery creditors and buyers with relevant as stated below. The Department will, Conservation and Management Act, as credit terms; identification of authorized when so authorized, make the amended. The information collection representatives (accountant, attorney, determination as to the relevancy of a includes collecting each applicant’s Tax insurance agent); loan servicing actions record prior to its decision to disclose Identification Number (TIN), either an and financial transactions; and the a document. Employer Identification Number (EIN) applicant’s legal and credit history 1. In the event that a system of records or Social Security Number (SSN). (status regarding bankruptcy, litigation, maintained by the Department to carry Collection of a TIN is required under 31 delinquency on debt, etc.). This out its functions indicates a violation or U.S.C. 7701. The primary purpose for information will be collected and potential violation of law or contract, requesting the TIN is to correctly maintained by the Financial Services whether civil, criminal or regulatory in identify the applicant for background Division and its branches. nature and whether arising by general and credit investigations and program The system will also include the CCF statute or particular program statute or eligibility, and may be used to report or account holder’s identity (including full contract, rule, regulation, or order collect any delinquent amounts arising name, address, and as applicable, the issued pursuant thereto, or the necessity out of an applicant’s relationship with SSN or EIN); the nature of the account, to protect an interest of the Department, the Government. banking information, the description of the relevant records in the system of COMMERCE/NOAA–21 the project for which the account is to records may be referred to the be created; income, business and appropriate agency, whether Federal, SYSTEM NAME: financial information including the State, local, or foreign, charged with the COMMERCE/NOAA–21, Financial applicant and/or account holder’s tax responsibility of investigating or Services Division. return, LLC and Partnership agreements; prosecuting such violation or charged Coast Guard documentation, bills of with enforcing or implementing the SECURITY CLASSIFICATION: sale, mortgages, etc.; identification of statute, contract or rule, regulation or Moderate. authorized representatives (accountant, order issued pursuant thereto, or attorney); and reports of account activity protecting the interests of the SYSTEM LOCATIONS: including all deposits and withdrawals. Department. a. NMFS Northeast Financial Services The system of records will include FCF 2. A record from this system of Branch, MB51, 55 Great Republic Drive, claimants’ identity (including full name, records may be disclosed in the course
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of presenting evidence to a court, credit bureaus, rating agencies, and/or Safeguards: The system of records is magistrate, or administrative tribunal, other persons and entities for the stored in a building with doors that are including disclosures to opposing purpose of making credit and eligibility locked during and after business hours. counsel in the course of settlement evaluations; lender due diligence Visitors to the facility must register with negotiations. investigations; CCF account validations; security guards and must be 3. A record in this system of records FCF claim adjustments; and/or the accompanied by Federal personnel at all may be disclosed to the Department of creation, attachment, perfection, times. Paper records are stored in a Justice in connection with determining maintenance, realization, or foreclosure locked room and/or a locked file whether the Freedom of Information Act of security interests. cabinet. Electronic records containing (5 U.S.C. 552) requires disclosure 9. A record in this system of records Privacy Act information are protected thereof. may be disclosed, as a routine use, to a by a user identification/password, and 4. A record from this system of Member of Congress submitting a reside on an internal computer system records may be disclosed, as a routine request involving an individual when protected by an electronic ‘‘firewall’’ to use, to a Federal, state, local, or the individual has requested assistance prevent access from outside the Federal international agency, in response to its from the Member with respect to the facility. The user identification/ request, in connection with the subject matter of the record. password is issued to individuals by assignment, hiring or retention of an 10. A record in this system of records authorized personnel. individual, the issuance of a security may be disclosed, as a routine use, to All electronic information clearance, the reporting of an the Office of Management and Budget in disseminated by NOAA adheres to the investigation of an individual, the connection with the review of private standards set out in Appendix III, letting of a contract, or the issuance of relief legislation as set forth in OMB Security of Automated Information a license, grant, or other benefit by the Circular No. A–19 at any stage of the Resources, OMB Circular A–130; the requesting agency, to the extent that the legislative coordination and clearance Computer Security Act (15 U.S.C. 278g– information is relevant and necessary to process as set forth in that Circular. 3 and 278g–4); and the Government the requesting agency’s decision on the 11. A record from this system of Information Security Reform Act, Public matter. records may be disclosed, as a routine Law 106–398; and follows NIST SP 5. A record in this system will be use, to the Administrator, General 800–18, Guide for Developing Security disclosed to the Department of Treasury Services Administration (GSA), or his Plans for Federal Information Systems; for the purpose of reporting and designee, during an inspection of NIST SP 800–26, Security Self- recouping delinquent debts owed to the records conducted by GSA as part of Assessment Guide for Information United States pursuant to the Debt that agency’s responsibility to Technology Systems; and NITS SP 800– Collection Improvement Act of 1996. recommend improvements in records 53, Recommended Security Controls for 6. A record in this system of records may be disclosed to a contractor of the management practices and programs, Federal Information Systems. Retention and Disposal: All records Department having need for the under authority of 44 U.S.C. 2904 and are retained and disposed of in information in the performance of the 2906. Such disclosure shall be made in accordance with National Archives and contract but not operating a system of accordance with the GSA regulations Records Administration regulations (35 records within the meaning of 5 U.S.C. governing inspection of records for this CFR chapter XII, subchapter B—Records 552a(m). purpose, and any other relevant (i.e. 7. A record in this system of records GSA or Commerce) directive. Such Management); Departmental directives may be disclosed to appropriate disclosure shall not be used to make and comprehensive records schedules; agencies, entities, and persons when: (1) determinations about individuals. NOAA Administrative Order 205–01; It is suspected or confirmed that the and the NMFS Records Disposition DISCLOSURE TO CONSUMER REPORTING Schedule, Chapter 1500. security of confidentiality of AGENCIES: information in the system of records has Disclosure pursuant to 5 U.S.C. SYSTEM MANAGERS AND ADDRESSES: been compromised; (2) the Department 552a(b)(12) may be made from this For records at location a.: Chief, has determined that, as a result of the system to ‘‘consumer reporting Northeast Financial Services Branch, 55 suspected or confirmed compromise, agencies’’ as defined in the Fair Credit Great Republic Drive, Suite 02–700, there is a risk of harm to economic or Reporting Act (15 U.S.C. 1681a(f)) and Gloucester, MA 01930–2209. property interests, identity theft or the Federal Claims Collection Act of For records at location b.: Chief, fraud, or harm to the security or 1966 (31 U.S.C. 3701(a)(3)). Southeast Financial Services Branch, integrity of this system or other systems 263 13th Avenue, South, St. Petersburg, or programs (whether maintained by the POLICIES AND PRACTICES FOR STORING, FL 33702–2432. Department or another agency or entity) RETRIEVING, ACCESSING, RETAINING, AND For records at location c.: Chief, DISPOSING OF RECORDS IN THE SYSTEM: that rely upon the compromised Northwest Financial Services Branch, information; and (3) the disclosure Storage: Financial Services Divisions 7600 Sand Point Way NW., (Bin made to such agencies, entities and applications and related information are C15700) Bldg. #1, Seattle, WA 98115. persons is reasonably necessary to assist stored in a computerized database; CDs For records at location d.: Chief, in connection with the Department’s or DVDs; paper records stored in file Financial Services Division, 1315 East efforts to respond to the suspected or folders in locked metal cabinets and/or West Highway, Silver Spring, MD confirmed compromise and prevent, locked rooms. 20910. minimize, or remedy such harm. Retrievability: Records are organized 8. A record or information in this and retrieved by an NMFS internal NOTIFICATION PROCEDURE: system of records may be disclosed to identification number, name of entity, Individuals or businesses seeking to private sector appraisers, marine case number, vessel name or determine whether information about architects, attorneys, accountants, identification number, plant name, themselves is contained in this system banks, lending institutions, real estate processor number, or claim number. should address written inquiries to the agents, brokers, title companies, state or Records can be accessed by any file NOAA Privacy Act Officer: Privacy Act local agencies, commercial registries, element or any combination thereof. Officer, NOAA, 1315 East West
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Highway, Room 10641, Silver Spring, 603–7740, Fax: (703) 603–0655, or email 7220–00–NSH–0022—Mat, Floor, Chair, MD 20910. [email protected]. 45″ x 53″ x .110″, w/20″ x 12″ Lip Written requests must be signed by 7220–00–NSH–0023—Mat, Floor, Chair, SUPPLEMENTARY INFORMATION: ″ ″ ″ ″ ″ the requesting individual. Requestor 45 x 53 x .110 , w/25 x 12 Lip must make the request in writing and Additions 7220–00–NSH–0024—Mat, Floor, Chair, 46″ x 60″ x .110″, w/25″ x 12″ Lip provide his/her name, address, and date On 3/25/2016 (81 FR 16145–16146) 7220–00–NSH–0025—Mat, Floor, Chair, of the request and the nature of the and 6/3/2016 (81 FR 35749–35750), the 46″ x 60″ x .110″, Without Lip record sought. All such requests must Committee for Purchase From People 7220–00–NSH–0026—Mat, Floor, Chair, comply with the inquiry provisions of Who Are Blind or Severely Disabled 60″ x 60″ x .110″, Without Lip the Department’s Privacy Act rules published notices of proposed additions 7220–00–NSH–0030—Mat, Floor, Chair, ″ ″ ″ ″ ″ which appear at 15 CFR part 4, to the Procurement List. 36 x 48 x .150 , w/20 x 12 Lip Appendix A. 7220–00–NSH–0031—Mat, Floor, Chair, After consideration of the material 45″ x 53″ x .150″, w/25″ x 12″ Lip RECORD ACCESS PROCEDURES: presented to it concerning capability of 7220–00–NSH–0032—Mat, Floor, Chair, Requests for access to records qualified nonprofit agencies to provide 45″ x 53″ x .150″, w/20″ x 12″ Lip maintained in this system of records the products and service and impact of 7220–00–NSH–0033—Mat, Floor, Chair, should be addressed to the same address the additions on the current or most 45″ x 53″ x .220″, w/20″ x 12″ Lip given in the Notification section above. recent contractors, the Committee has 7220–00–NSH–0035—Mat, Floor, Chair, determined that the products and 46″ x 60″ x .150″, Without Lip CONTESTING RECORD PROCEDURES: 7220–00–NSH–0036—Mat, Floor, Chair, service listed below are suitable for ″ ″ ″ ″ ″ The Department’s rules for access, for procurement by the Federal Government 46 x 60 x .150 , w/25 x 12 Lip 7220–00–NSH–0038—Mat, Floor, Chair, contesting content, and for appealing under 41 U.S.C. 8501–8506 and 41 CFR ″ ″ ″ ″ ″ initial determinations by the individual 46 x 60 x .220 , w/25 x 12 Lip 51–2.4. 7220–00–NSH–0039—Mat, Floor, Chair, or business concerned are provided for ″ ″ ″ Regulatory Flexibility Act Certification 46 x 60 x .220 , Without Lip in 15 CFR part 4, Appendix A. 7220–00–NSH–0040—Mat, Floor, Chair, I certify that the following action will ″ ″ ″ RECORD SOURCE CATEGORIES: 60 x 60 x .150 , Without Lip not have a significant impact on a Mandatory for: Total Government Information in this system will be substantial number of small entities. Requirement collected from individuals and The major factors considered for this Mandatory Source(s) of Supply: Northeastern businesses applying for Financial certification were: Michigan Rehabilitation and Systems Division financial assistance. 1. The action will not result in any Opportunity Center (NEMROC), Alpena, MI EXEMPTION CLAIMS FOR SYSTEM: additional reporting, recordkeeping or Contracting Activity: General Services None. other compliance requirements for small Administration, Fort Worth, TX Dated: July 5, 2016. entities other than the small Distribution: A-List organizations that will furnish the Michael J. Toland, products and service to the Government. Service Department of Commerce, Freedom of 2. The action will result in Service Type: Base Supply Center Information/Privacy Act Officer. authorizing small entities to furnish the Mandatory for: US Army, Walter Reed Army [FR Doc. 2016–16171 Filed 7–7–16; 8:45 am] products and service to the Government. Institute of Research, Silver Spring, MD BILLING CODE 3510–22–P Mandatory Source(s) of Supply: Industries for 3. There are no known regulatory the Blind, Inc., West Allis, WI alternatives which would accomplish Contracting Activity: Dept of the Army, the objectives of the Javits-Wagner- W4PZ USA MED RSCH ACQUIS ACT COMMITTEE FOR PURCHASE FROM O’Day Act (41 U.S.C. 8501–8506) in PEOPLE WHO ARE BLIND OR connection with the products and Deletions SEVERELY DISABLED service proposed for addition to the On 6/3/2016 (81 FR 35749–35750), 6/ Procurement List; Additions and Procurement List. 10/2016 (81 FR 37581–37582), and 6/ Deletions End of Certification 17/2016 (81 FR 39630), the Committee for Purchase From People Who Are AGENCY: Committee for Purchase From Accordingly, the following products Blind or Severely Disabled published People Who Are Blind or Severely and service are added to the notices of proposed deletions from the Disabled. Procurement List: Procurement List. ACTION: Additions to and deletions from Products After consideration of the relevant the Procurement List. matter presented, the Committee has NSN(s)—Product Name(s): determined that the product(s) and/or SUMMARY: This action adds products and MR 10739—Herb Stripper, Includes Shipper 20739 service(s) listed below are no longer a service to the Procurement List that suitable for procurement by the Federal will be furnished by nonprofit agencies MR 10732—Hershey’s Lava Cake Maker, Shipper 20732 Government under 41 U.S.C. 8501–8506 employing persons who are blind or MR 10733—Reese’s Lava Cake Maker, and 41 CFR 51–2.4. have other severe disabilities, and Shipper 20732 deletes products and services from the Mandatory for: Military commissaries and Regulatory Flexibility Act Certification Procurement List previously furnished exchanges in accordance with the Code I certify that the following action will by such agencies. of Federal Regulations, Chapter 51, 51– not have a significant impact on a DATES: Effective Date: August 7, 2016. 6.4 Mandatory Source(s) of Supply: Winston- substantial number of small entities. ADDRESSES: Committee for Purchase Salem Industries for the Blind, Inc., The major factors considered for this From People Who Are Blind or Severely Winston-Salem, NC certification were: Disabled, 1401 S. Clark Street, Suite Contracting Activity: Defense Commissary 1. The action will not result in 715, Arlington, Virginia 22202–4149. Agency additional reporting, recordkeeping or FOR FURTHER INFORMATION CONTACT: Distribution: C-List other compliance requirements for small Barry S. Lineback, Telephone: (703) NSN(s)—Product Name(s): entities.
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2. The action may result in Inc., Milwaukee, WI U.S.C. 8503(a)(2) and 41 CFR 51–2.3. Its authorizing small entities to furnish the Contracting Activities: Department of purpose is to provide interested persons products and services to the Veterans Affairs, National Acquisition an opportunity to submit comments on Center, General Services Administration, Government. New York, NY the proposed actions. 3. There are no known regulatory alternatives which would accomplish NSN(s)—Product Name(s): 2510–01–063– Additions 3893—Floorboard, Wood the objectives of the Javits-Wagner- Mandatory Source(s) of Supply: UNKNOWN If the Committee approves the O’Day Act (41 U.S.C. 8501–8506) in Contracting Activity: Defense Logistics proposed additions, the entities of the connection with the products and Agency Land and Maritime Federal Government identified in this services deleted from the Procurement NSN(s)—Product Name(s): 6530–01–505– notice will be required to procure the List. 0214—Bottle, Prescription, 200cc product and services listed below from Mandatory Source(s) of Supply: Alphapointe, nonprofit agencies employing persons End of Certification Kansas City, MO who are blind or have other severe Accordingly, the following products Contracting Activity: Department of Veterans disabilities. and services are deleted from the Affairs The following product and services Procurement List: Services are proposed for addition to the Products Service Type: Switchboard Operation Service Procurement List for production by the nonprofit agencies listed: NSN(s)—Product Name(s): Mandatory for: US Air Force, Patrick Air MR 305—Melamine Dinner Plate Force Base, Patrick AFB, FL Product MR 306—Melamine Fruit Plate Mandatory Source(s) of Supply: Brevard Achievement Center, Inc., Rockledge, FL NSN(s)—Product Name(s): MR 753—Pillow, MR 307—21oz Melamine Tumbler Jumbo. MR 308—Bamboo Placemat Contracting Activity: Dept of the Air Force, FA2521 45 CONS LGC Mandatory for: Military commissaries and MR 1121—Bag, Storage, Vacuum Sealed, exchanges in accordance with the Code Club Pack Service Type: Switchboard Operation Service Mandatory for: Keesler Air Force Base, of Federal Regulations, Chapter 51, 51– MR 1130—4-Section Tray, Holiday, 6.4. Melamine Keesler AFB, MS Mandatory Source(s) of Supply: Georgia MR 1131—Serving Tray, Holiday, Mandatory Source(s) of Supply: Mississippi Industries for the Blind, Bainbridge, GA. Melamine 18″ x 13″ Goodworks, Inc., Gulfport, MS Contracting Activity: Defense Commissary MR 1132—Serving Bowl, Holiday, Contracting Activity: Dept of the Air Force, Agency. Melamine FA7014 AFDW PK Distribution: C-List. MR 1135—Set, Spreader, 4Pc Barry S. Lineback, MR 1150—Set, Mold, Cupcake, Red, Giant Services Director, Business Operations. Cupcake, 3pc Service Type: Mailroom Operation Service. MR 1151—Set, Pan, Bake, Perfect Brownie [FR Doc. 2016–16230 Filed 7–7–16; 8:45 am] Mandatory for: US Air Force, Postal Service Pan, 3pc BILLING CODE 6353–01–P Center, Tyndall Air Force Base, Tyndall MR 1152—Set, Pasta Cooker, Blue, Pasta Air Force, FL. Express, 7pc Mandatory Source(s) of Supply: VersAbility, MR 1153—Basket, Cooking, Steel, COMMITTEE FOR PURCHASE FROM Resources, Inc., Hampton, VA. Multipurpose PEOPLE WHO ARE BLIND OR Contracting Activity: Dept of the Air Force, MR 1155—Glove, Oven, Flexi FA4890 ACC AMIC, Newport News, VA. MR 1156—Device, Cutting, Multi-Use, SEVERELY DISABLED Service Type: Janitorial Service. Green, Snip It Mandatory for: USDA APHIS, Luis Munoz MR 1157—Set, Knife and Peeler, Ceramic, Procurement List; Proposed Additions Marin Airport, Terminal A & D, Buildng Kitchen Samurai and Deletions C–2, Warehouse #3, 150 Central Sector, MR 1158—Set, Meatloaf Pan and Aerated AGENCY: Committee for Purchase From Carolina, PR. Tray People Who Are Blind or Severely Mandatory Source(s) of Supply: The MR 1168—Carrier, Cake and Cupcake, Corporate Source, Inc., New York, NY. Collapsible Disabled. Contracting Activity: Dept of Agriculture, MR 1169—Set, Bowl and Lid, Blue, 4 Piece ACTION: Proposed additions to and USDA APHIS MRPBS, Animal and Plant Mandatory Source(s) of Supply: Industries for deletions from the Procurement List. Health Inspection Service, Minneapolis, the Blind, Inc., West Allis, WI MN. Contracting Activity: Defense Commissary SUMMARY: The Committee is proposing Agency to add a product and services to the Deletions Procurement List that will be furnished NSN(s)—Product Name(s): The following services are proposed MR 1053—Mop, Sponge, Triple Action by nonprofit agencies employing MR 1083—Mop, Ratchet, Twist Action, persons who are blind or have other for deletion from the Procurement List: Cotton severe disabilities, and delete services Services MR 1084—Refill, Mop, Ratchet, Twist previously furnished by such agencies. Service Type: Order Processing Service. Action, Cotton COMMENTS MUST BE RECEIVED ON OR Mandatory for: McGuire Air Force Base, Mandatory Source(s) of Supply: LC McGuire AFB, NJ. Industries, Inc., Durham, NC BEFORE: 8/7/2016. Mandatory Source(s) of Supply: Bestwork Contracting Activity: Defense Commissary ADDRESSES: Committee for Purchase Industries for the Blind, Inc., Cherry Hill, Agency From People Who Are Blind or Severely NJ. NSN(s)—Product Name(s): 7045–01–599– Disabled, 1401 S. Clark Street, Suite Contracting Activity: Dept of the Air Force, 5293—Privacy Filter, Netbooks, 10.1 715, Arlington, Virginia 22202–4149. FA7014 AFDW PK. Widescreen FOR FURTHER INFORMATION OR TO SUBMIT Service Type: Operation of Postal Service Mandatory Source(s) of Supply: Wiscraft, COMMENTS CONTACT: Barry S. Lineback, Center Service. Inc., Milwaukee, WI Telephone: (703) 603–7740, Fax: (703) Mandatory for: Luke Air Force Base, Contracting Activity: General Services Glendale, AZ. Administration, New York, NY 603–0655, or email CMTEFedReg@ AbilityOne.gov. Mandatory Source(s) of Supply: Arizona NSN(s)—Product Name(s): 7045–01–570– Industries for the Blind, Phoenix, AZ. 8906—Privacy Filter, Notebook, 12.1″ SUPPLEMENTARY INFORMATION: This Contracting Activity: Dept of the Air Force, Mandatory Source(s) of Supply: Wiscraft, notice is published pursuant to 41 FA7014 AFDW PK.
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Service Type: Telephone Switchboard earlier or later than the stated time The Proposed Action consists of the Operations Service. depending on the number of persons construction of approximately 2,880,000 Mandatory for: Barksdale Air Force Base, wishing to speak. All materials that are square feet of office, operational, and Shreveport, LA. submitted in response to the Draft EIS headquarters space supporting an Mandatory Source(s) of Supply: Louisiana should be received by August 22, 2016 increase of 7,200 people with the Association for the Blind, Shreveport, LA. to provide sufficient time to be majority from local leases and Contracting Activity: Dept of the Air Force, considered in preparation of the Final government-owned buildings to the FA7014 AFDW PK. EIS. NSA Main Campus. The program also Service Type: Embroidery of USAF Service/ ADDRESSES: Copies of the Draft EIS are includes the demolition of Name Tapes & Emboss of Plastic Name available for your review at the Medal approximately 1,900,000 square feet of Tags. of Honor Memorial Library, 4418 buildings and infrastructure. Mandatory for: Lackland Air Force Base, TX. Llewellyn Avenue, Fort Meade, MD Development would include associated Mandatory Source(s) of Supply: Delaware infrastructure (e.g., electrical substation, Division for the Visually Impaired, New 20755; the Glen Burnie Regional Library, 1010 Eastway, Glen Burnie, MD emergency generator capacity providing Castle, DE. 121 megawatts of electricity, life-safety Contracting Activity: Dept of the Air Force, 21060; the Odenton Regional Library, FA7014 AFDW PK. 1325 Annapolis Road, Odenton, MD generators, building heating systems, 21113; and the Severn Library, 2624 utilities, roads, sidewalks, stormwater Barry S. Lineback, management facilities, and parking Director, Business Operations. Annapolis Road, Severn, Maryland 21144. You may also call 301–688–2970 facilities). Alternatives identified include four [FR Doc. 2016–16229 Filed 7–7–16; 8:45 am] or send an email to ECIPEIS@ options for emergency power generation BILLING CODE 6353–01–P hdrinc.com to request a copy of the and various pollution control systems, Draft EIS. The open house and public meeting two options for building heating DEPARTMENT OF DEFENSE will be held at the Severn Library, 2624 systems, four options for locations of Annapolis Road, Severn, Maryland parking facilities, and acquisition of Office of the Secretary 21144. Verbal and written comments additional space at two existing, offsite leased locations. Emergency power will be accepted at the public meeting. Draft Environmental Impact Statement generation alternatives are generators You can also submit written comments for the East Campus Integration and combined generators and to ‘‘East Campus Integration Program Program, Fort Meade, Maryland combustion turbines. Building heating EIS’’ c/o HDR, 2600 Park Tower Drive, system alternatives are packaged boilers Suite 100, Vienna, VA 22180 or submit AGENCY: Department of Defense. and a hybrid building heating system by email to [email protected]. ACTION: Notice of availability; notice of consisting of packaged boilers and public meeting; request for comments. FOR FURTHER INFORMATION CONTACT: Mr. ground source heat pumps. Parking Jeffrey Williams at 301–688–2970, or facility alternatives consist of at least SUMMARY: The Department of Defense email [email protected]. three of the following locations: East (DoD) announces the availability of the SUPPLEMENTARY INFORMATION: Campus Parking Structure 2, Bravo Draft Environmental Impact Statement Background: The NSA is a tenant DoD parking lot, N8/N9 parking lot, and (EIS) as part of the environmental agency on Fort Meade. NSA is a high- Building 9817. Use of multi-level planning process for the East Campus technology communications and data parking facilities were considered in Integration Program at Fort George G. processing organization. In order to lieu of surface parking. In conjunction Meade, Maryland (hereafter referred to meet mission requirements, both at the with some construction and demolition as Fort Meade). The DoD proposes to NSA and within the Intelligence on the East Campus, lease of space continue to develop operational Community, continued integration of outside of Fort Meade at National complex and headquarters space at the the East Campus with the NSA Main Business Park and Annapolis Junction National Security Agency’s (NSA) East Campus on Fort Meade through Business Park (Alternatives 1 and 2, Campus on Fort Meade for use by NSA development of office, operational, and respectively) were considered. The No and the Intelligence Community. The headquarters space is needed. In 2010, Action Alternative (not undertaking the purpose of the Proposed Action is to NSA completed an EIS that addressed East Campus Integration Program) is provide facilities that are fully development of facilities on the East also analyzed in detail. supportive of the Intelligence Campus. The Record of Decision for the Summary of Environmental Impacts: Community’s function and to continue 2010 EIS allowed for initiation of The level of environmental impacts to integrate the East Campus with the construction currently occurring in the potentially resulting from the Proposed NSA Main Campus. The need for the southern portion of the East Campus. Action and alternatives would primarily action is to meet mission requirements, This East Campus Integration Program be dependent on the alternative both internally at the NSA and within Draft EIS addresses build-out of the ultimately selected. Environmental the Intelligence Community. northern portion of the East Campus impacts would generally be slightly This notice announces a 45-day and the adjacent 9800 Troop Support more adverse for the Proposed Action comment period and provides Area, and integration of the East than for Alternatives 1 and 2 due to the information on how to participate in the Campus with the NSA Main Campus. larger building footprints and number of public review process. The public Proposed Action and Alternatives: additional personnel associated with the comment period for the Draft EIS will The East Campus Integration Program Proposed Action, although facilities and officially end 45 days after publication was initiated to provide a modern office, personnel would be consolidated in one of the Notice of Availability in the operational, and headquarters complex location under the Proposed Action. Federal Register. to meet the growth requirements of the Generally, construction and DATES: There will be an open house at NSA and Intelligence Community. demolition would result in some ground 4:30 p.m. followed by a public meeting Development is proposed along the East disturbance and increased traffic from 5:00 p.m. to 7:00 p.m. on August Campus central core extending through congestion at intersections near the 3, 2016. The public meeting may end the NSA Main Campus at Fort Meade. installation and proximal to the build
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sites, which would be expected ACTION: Notice of Intent. in the implementation of navigation regardless of the alternative selected. improvement at Tinian Harbor. Operation of the East Campus SUMMARY: Pursuant to the section 102(2) Project Site and Background Integration Program would be expected (C) of the National Environmental Information: Tinian Harbor is the sole to result in long-term, negligible to Policy Act (NEPA) of 1969; the U.S. commercial harbor servicing the island moderate impacts on land use, noise, air Army Corps of Engineers and the of Tinian, CNMI and is owned and quality, geological resources, water Commonwealth of the Northern Mariana maintained by the CPA. Due to its resources, biological resources, Islands (CNMI), Municipality of Tinian isolation, the harbor is extremely infrastructure, sustainability, hazardous (Municipality)/Commonwealth Ports important for the continual flow and materials and waste, and socioeconomic Authority (CPA) gives notice that an transit of goods and materials for the resources. Major impacts on Integrated Feasibility/Environmental small island community. The CNMI is transportation (levels of service) would Impact Statement (F/EIS) is being threatened annually by typhoons and occur during operation; however, traffic prepared for the Proposed Tinian tropical storms which has resulted in impacts are considered major under the Harbor Modifications Project, Island of the deterioration of the protective existing conditions as levels of service Tinian, CNMI. This project is authorized breakwater and harbor facilities. Failure are already degraded. under section 209 of the Rivers and of the breakwater would result in Best Management Practices and Harbors Act of 1962 (Pub. L. 87–874) complete closure of the harbor, Mitigation Measures: The Proposed and will consider the implementation of requiring costly air transport as the only Action has the potential to result in navigation improvements at Tinian remaining option to deliver essential adverse environmental impacts. The Harbor. commodities to the island. The project will focus on the repair/reconfiguration Proposed Action includes best DATES: In order to be considered in the of the breakwater and an incremental management practices, mitigation Draft F/EIS, comments and suggestions analysis of the harbor depth to assure measures, and design concepts to avoid should be received within 30 days after safe and efficient operation of adverse impacts to the extent the last public scoping meeting. Two practicable. Unavoidable impacts would commercial vessels. public scoping meetings will be held in Proposed Action(s): The study reports be minimized or compensated for to the Saipan and Tinian in mid/late July extent practicable. In accordance with will assess the technical, environmental 2016. A separate notice will be and economic feasibility in the Council on Environmental Quality published for meeting times and places. regulations, mitigation measures are implementation of navigation ADDRESSES: considered for adverse environmental Mail written comments improvement. These include: (1) impacts. concerning this notice to: Mr. Milton Navigation improvement measures that Copies of the Draft EIS are available Yoshimoto, Project Manager, Civil and expand the federal turning basin; (2) for public review at local repositories Public Works Branch, Honolulu District, surge reduction measures by and by request (see ADDRESSES). The U.S. Army Corps of Engineers, Civil and constructing protective structures; and DoD invites public and agency input on Public Works Branch, Bldg 230, Fort (3) expand and deepen the harbor basin the Draft EIS. Please submit comments Shafter, Hawaii 96858. Comment letters and entrance channel to accommodate and materials during the 45-day public should include the commenter’s larger vessels by dredging. review period to allow sufficient time physical mailing address and the project Issues: Potentially significant issues for consideration in development of the title in the subject line. associated with the project may include: aesthetics/visual impacts, air quality Final EIS (see DATES). FOR FURTHER INFORMATION CONTACT: Mr. The DoD will consider all comments Milton Yoshimoto, Civil and Public emissions, biological resource impacts, received and then prepare the Final EIS. Works Branch, Honolulu District, U.S. environmental justice, hazards and As with the Draft EIS, DoD will Army Corps of Engineers, Bldg 230, Fort hazardous materials, hydrology and announce the availability of the Final Shafter, Hawaii 96858, (808) 835–4034, water quality, noise, traffic and EIS and once again give you an Email: milton.t.yoshimoto@ transportation, and cumulative impacts opportunity for review and comment. usace.army.mil. from past, present, and reasonably foreseeable future projects. Dated: July 5, 2016. SUPPLEMENTARY INFORMATION: In Scoping Process: The U.S. Army Aaron Siegel, accordance with NEPA, the Corps Corps of Engineers is seeking Alternate OSD Federal Register Liaison intends to prepare an F/EIS report. The participation and input of all interested Officer, Department of Defense. primary Federal actions under federal, state, and local agencies, Native [FR Doc. 2016–16175 Filed 7–7–16; 8:45 am] consideration are: (1) Navigation American groups, and other concerned BILLING CODE 5001–06–P improvement measures that expand the private organizations or individuals on turning basin; (2) surge reduction the scope of the F/EIS through this measures by constructing protective public notice. The purpose of the public DEPARTMENT OF DEFENSE structures at both harbors; and (3) scoping meeting is to solicit comments dredging harbor sediments to allow regarding the potential impacts, Department of the Army, Corps of larger vessels access to the harbor. The environmental issues, and alternatives Engineers F/EIS reports shall meet the associated with the proposed action to requirements of NEPA, including all Intent To Prepare an Integrated be considered in the study report. The applicable federal regulations Feasibility/Environmental Impact meeting place, date, and time will be implementing those statutes. Statement for the Proposed Tinian advertised in advance in local Harbor Modifications Project, Island of Evaluation will examine the costs and newspapers, and meeting Tinian, Commonwealth of the Northern benefits of this project, as well as the announcement letters will be sent to Mariana Islands environmental impacts of modifying the interested parties. The draft F/EIS is maintained dimensions of the existing expected to be available for public AGENCY: Department of the Army, U.S. harbor. The purpose of this effort is to review and comment in the summer of Army Corps of Engineers (USACE), conduct a study to assess the technical, 2017 and a public meeting will be held DoD. environmental and economic feasibility after its publication.
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Dated: July 1, 2016. intends to prepare an F/EIS report. The private organizations or individuals on Christopher W. Crary, primary Federal actions under the scope of the F/EIS through this Lieutenant Colonel, U.S. Army, District consideration are: (1) Navigation public notice. The purpose of the public Engineer. improvement measures that expand the scoping meeting is to solicit comments [FR Doc. 2016–16188 Filed 7–7–16; 8:45 am] federal turning basin; (2) surge regarding the potential impacts, BILLING CODE 3720–58–P reduction measures by constructing environmental issues, and alternatives protective structures at both harbors; associated with the proposed action to and (3) expand and deepen the harbor be considered in the study report. The DEPARTMENT OF DEFENSE basin and entrance channel to meeting place, date, and time will be accommodate larger vessels by advertised in advance in local Department of the Army, Corps of dredging. The F/EIS reports shall meet newspapers, and meeting Engineers the requirements of NEPA, including all announcement letters will be sent to applicable federal regulations interested parties. The draft F/EIS report Intent To Prepare an Integrated implementing those statutes. Feasibility/Environmental Impact is expected to be available for public Evaluation will examine the costs and review and comment in the summer of Statement for the Proposed Rota benefits of this project, as well as the Harbor Modifications Project, Island of 2017 and a public meeting will be held environmental impacts of modifying the after its publication. Rota, Commonwealth of the Northern maintained dimensions of the existing Mariana Islands Federal project within its authorized Dated: July 1, 2016. Christopher W. Crary, AGENCY: Department of the Army, U.S. limits. The purpose of this effort is to Army Corps of Engineers (USACE), conduct a study to assess the technical, Lieutenant Colonel, U.S. Army, District Engineer. DoD. environmental, and economic feasibility [FR Doc. 2016–16189 Filed 7–7–16; 8:45 am] ACTION: Notice of intent. in the implementation of navigation improvement at Rota Harbor. BILLING CODE 3720–58–P SUMMARY: Pursuant to the section 102(2) Project Site and Background (C) of National Environmental Policy Information: Since its construction in Act (NEPA) of 1969; the U.S. Army 1985, users of the Rota West Harbor DEPARTMENT OF EDUCATION Corps of Engineers and the have experienced problems with Commonwealth of the Northern Mariana navigation within the entrance channel [Docket No.: ED–2016–ICCD–0081] and with vessels docked at the piers Islands (CMNI), Municipality of Rota Agency Information Collection attributable to adverse wave conditions (Municipality)/Commonwealth Ports Activities; Comment Request; Program and the current harbor configuration. As Authority (CPA) gives notice that an for the International Assessment of recently as late 2013, there have been Integrated Feasibility/Environmental Adult Competencies (PIAAC) 2017 periods when the harbor has shut down Impact Statement (F/EIS) report is being National Supplement prepared for the Proposed Rota Harbor and cargo flown to the island at a Modifications Project, Island of Rota, considerable cost to the island residents. AGENCY: National Center for Education CNMI. This project is authorized under The project will evaluate wave action Statistics (NCES), Department of section 209 of the Rivers and Harbors within the harbor and identify Education (ED). Act of 1962 (Pub. L. 87–874) and will modifications to general navigations ACTION: Notice. consider the implementation of features to improve operating navigation improvements at Rota inefficiency and safe navigation and SUMMARY: In accordance with the Harbor. address the need to expand the harbor Paperwork Reduction Act of 1995 (44 DATES: In order to be considered in the basin to accommodate larger vessels. U.S.C. chapter 3501 et seq.), ED is Proposed Action(s): The study reports Draft F/EIS, comments and suggestions proposing a reinstatement of a will assess the technical, environmental should be received within 30 days after previously approved information and economic feasibility in the the last public scoping meeting. Two collection. implementation of navigation public scoping meetings will be held in improvement. These include: (1) DATES: Interested persons are invited to Saipan and Rota in mid/late July 2016. Navigation improvement measures that submit comments on or before A separate notice will be published for expand the federal turning basin; (2) September 6, 2016. meeting times and places. surge reduction measures by ADDRESSES: To access and review all the ADDRESSES: Mail written comments constructing protective structures; and documents related to the information concerning this notice to: Mr. Milton (3) dredging harbor sediments to allow collection listed in this notice, please Yoshimoto, Project Manager, Civil and larger vessels access to the harbor. use http://www.regulations.gov by Public Works Branch, Honolulu District, Issues: Potentially significant issues searching the Docket ID number ED– U.S. Army Corps of Engineers, Bldg. associated with the project may include: 2016–ICCD–0081. Comments submitted 230, Fort Shafter, Hawaii 96858. aesthetics/visual impacts, air quality in response to this notice should be Comment letters should include the emissions, biological resource impacts, submitted electronically through the commenter’s physical mailing address environmental justice, hazards and Federal eRulemaking Portal at http:// and the project title in the subject line. hazardous materials, hydrology and www.regulations.gov by selecting the FOR FURTHER INFORMATION CONTACT: Mr. water quality, noise, traffic and Docket ID number or via postal mail, Milton Yoshimoto, Project Manager, transportation, and cumulative impacts commercial delivery, or hand delivery. Civil and Public Works Branch, from past, present and reasonably Please note that comments submitted by Honolulu District, U.S. Army Corps of foreseeable future projects. fax or email and those submitted after Engineers, Bldg. 230, Fort Shafter, Scoping Process: The U.S. Army the comment period will not be Hawaii 96858, (808) 835–4034, E-Mail: Corps of Engineers is seeking accepted. Written requests for [email protected]. participation and input of all interested information or comments submitted by SUPPLEMENTARY INFORMATION: In federal, state, and local agencies, Native postal mail or delivery should be accordance with NEPA, the Corps American groups, and other concerned addressed to the Director of the
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Information Collection Clearance solving skills, and to collect information DATES: Interested persons are invited to Division, U.S. Department of Education, on individuals’ skill use and submit comments on or before August 8, 400 Maryland Avenue SW., LBJ, Room background. In the United States, 2016. 2E–347, Washington, DC 20202–4537. PIAAC is conducted by the National ADDRESSES: To access and review all the FOR FURTHER INFORMATION CONTACT: For Center for Education Statistics (NCES). PIAAC defines four core competency documents related to the information specific questions related to collection collection listed in this notice, please activities, please contact NCES domains of adult cognitive skills seen as key to facilitating the social and use http://www.regulations.gov by Information Collections at searching the Docket ID number ED– [email protected]. economic participation of adults in advanced economies: Literacy, reading 2016–ICCD–0034. Comments submitted SUPPLEMENTARY INFORMATION: The in response to this notice should be Department of Education (ED), in components, numeracy, and problem solving in technology-rich submitted electronically through the accordance with the Paperwork Federal eRulemaking Portal at http:// Reduction Act of 1995 (PRA) (44 U.S.C. environments. PIAAC also surveys adults on their education background, www.regulations.gov by selecting the 3506(c)(2)(A)), provides the general Docket ID number or via postal mail, public and Federal agencies with an work history, the skills they use on the job and at home, their civic engagement, commercial delivery, or hand delivery. opportunity to comment on proposed, Please note that comments submitted by revised, and continuing collections of and sense of their health and well-being. The results are used to compare fax or email and those submitted after information. This helps the Department the comment period will not be assess the impact of its information participating countries on the skills capacities of their workforce-aged adults accepted. Written requests for collection requirements and minimize information or comments submitted by the public’s reporting burden. It also and to learn more about relationships between educational background, postal mail or delivery should be helps the public understand the addressed to the Director of the Department’s information collection employment, and other outcomes. PIAAC is coordinated by the Information Collection Clearance requirements and provide the requested Division, U.S. Department of Education, data in the desired format. ED is Organization for Economic Cooperation and Development (OECD) and 400 Maryland Avenue SW., LBJ, Room soliciting comments on the proposed 2E–347, Washington, DC 20202–4537. information collection request (ICR) that developed by participating countries is described below. The Department of with the support of the OECD. U.S. FOR FURTHER INFORMATION CONTACT: For Education is especially interested in participated in the PIAAC Main Study specific questions related to collection public comment addressing the data collection in 2012, conducted a activities, please contact Joanne Bogart, following issues: (1) Is this collection national supplement in 2014, and in 202–205–7855. necessary to the proper functions of the this submission requests to conduct the SUPPLEMENTARY INFORMATION: The Department; (2) will this information be PIAAC 2017 National Supplement data Department of Education (ED), in processed and used in a timely manner; collection from February to September accordance with the Paperwork (3) is the estimate of burden accurate; 2017 with a nationally representative Reduction Act of 1995 (PRA) (44 U.S.C. (4) how might the Department enhance sample of 3,800 adults ages 16–74, in a the quality, utility, and clarity of the new sample of 80 primary sampling 3506(c)(2)(A)), provides the general information to be collected; and (5) how units (PSUs). public and Federal agencies with an might the Department minimize the Dated: July 5, 2016. opportunity to comment on proposed, revised, and continuing collections of burden of this collection on the Kate Mullan, respondents, including through the use information. This helps the Department Acting Director, Information Collection assess the impact of its information of information technology. Please note Clearance Division, Office of the Chief Privacy that written comments received in Officer, Office of Management. collection requirements and minimize the public’s reporting burden. It also response to this notice will be [FR Doc. 2016–16224 Filed 7–7–16; 8:45 am] helps the public understand the considered public records. BILLING CODE 4000–01–P Title of Collection: Program for the Department’s information collection International Assessment of Adult requirements and provide the requested Competencies (PIAAC) 2017 National DEPARTMENT OF EDUCATION data in the desired format. ED is Supplement. soliciting comments on the proposed information collection request (ICR) that OMB Control Number: 1850–0870. [Docket No.: ED–2016–ICCD–0034] Type of Review: A reinstatement of a is described below. The Department of previously approved information Agency Information Collection Education is especially interested in collection. Activities; Submission to the Office of public comment addressing the Respondents/Affected Public: Management and Budget for Review following issues: (1) Is this collection Individuals. and Approval; Comment Request; necessary to the proper functions of the Total Estimated Number of Annual Study of the Title III Native American Department; (2) will this information be Responses: 12,626. and Alaska Native Children in School processed and used in a timely manner; Total Estimated Number of Annual (NAM) Program (3) is the estimate of burden accurate; Burden Hours: 3,960. (4) how might the Department enhance Abstract: The Program for the AGENCY: Office of Planning, Evaluation the quality, utility, and clarity of the International Assessment of Adult and Policy Development (OPEPD), information to be collected; and (5) how Competencies (PIAAC) is a cyclical, Department of Education (ED). might the Department minimize the large-scale study of adult skills and life ACTION: Notice. burden of this collection on the experiences focusing on education and respondents, including through the use employment, designed internationally SUMMARY: In accordance with the of information technology. Please note to assess adults in different countries Paperwork Reduction Act of 1995 (44 that written comments received in over a broad range of abilities, from U.S.C. chapter 3501 et seq.), ED is response to this notice will be simple reading to complex problem- proposing a new information collection. considered public records.
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Title of Collection: Study of the title Docket ID number or via postal mail, establish and operate magnet schools III Native American and Alaska Native commercial delivery, or hand delivery. that are operated under a court-ordered Children in School (NAM) Program. Please note that comments submitted by or federally approved voluntary OMB Control Number: 1875—New. fax or email and those submitted after desegregation plan. These grants assist Type of Review: A new information the comment period will not be in the desegregation of public schools collection. accepted. Written requests for by supporting the elimination, Respondents/Affected Public: State, information or comments submitted by reduction, and prevention of minority Local, and Tribal Governments. postal mail or delivery should be group isolation in elementary and Total Estimated Number of Annual addressed to the Director of the secondary schools with substantial Responses: 499. Information Collection Clearance numbers of minority group students. In Total Estimated Number of Annual Division, U.S. Department of Education, order to meet the statutory purposes of Burden Hours: 505. 400 Maryland Avenue SW., LBJ, Room the program under title V of the Abstract: The NAM Program seeks to 2E–349, Washington, DC 20202–4537. Elementary and Secondary Education improve academic outcomes in English FOR FURTHER INFORMATION CONTACT: For Act, projects also must support the for Native American and Alaska Native specific questions related to collection development and implementation of (NA/AN) students, providing funding activities, please contact Justis Tuia, magnet schools that assist in the for programs that support language 202–453–6654. achievement of systemic reforms and instruction educational programs, SUPPLEMENTARY INFORMATION: The provide all students with the including NA/AN language and culture Department of Education (ED), in opportunity to meet challenging revitalization. The goal of this study is accordance with the Paperwork academic content and student academic to describe how 22 current grantees Reduction Act of 1995 (PRA) (44 U.S.C. achievement standards. Projects support have used the NAM Program to support 3506(c)(2)(A)), provides the general the development and design of NA/AN students. Results will help the public and Federal agencies with an innovative education methods and Department structure future funding opportunity to comment on proposed, practices that promote diversity and rounds and better support current and revised, and continuing collections of increase choices in public education future grantees. information. This helps the Department programs. The program supports Dated: July 5, 2016. assess the impact of its information capacity developmentthe ability of a Kate Mullan, collection requirements and minimize school to help all its students meet more Acting Director, Information Collection the public’s reporting burden. It also challenging standardsthrough Clearance Division, Office of the Chief Privacy helps the public understand the professional development and other Officer, Office of Management. Department’s information collection activities that will enable the continued [FR Doc. 2016–16223 Filed 7–7–16; 8:45 am] requirements and provide the requested operation of the magnet schools at a BILLING CODE 4000–01–P data in the desired format. ED is high performance level after funding soliciting comments on the proposed ends. Finally, the program supports the information collection request (ICR) that implementation of courses of DEPARTMENT OF EDUCATION is described below. The Department of instruction in magnet schools that strengthen students knowledge of [Docket No.: ED–2016–ICCD–0083] Education is especially interested in public comment addressing the academic subjects and their grasp of Agency Information Collection following issues: (1) Is this collection tangible and marketable vocational Activities; Submission to the Office of necessary to the proper functions of the skills. Management and Budget for Review Department; (2) will this information be Dated: July 5, 2016. and Approval; Comment Request; processed and used in a timely manner; Tomakie Washington, Magnet Schools Assistance Program (3) is the estimate of burden accurate; Acting Director, Information Collection Application for Grants (1894–0001) (4) how might the Department enhance Clearance Division, Office of the Chief Privacy the quality, utility, and clarity of the Officer, Office of Management. AGENCY: Office of Innovation and information to be collected; and (5) how [FR Doc. 2016–16217 Filed 7–7–16; 8:45 am] Improvement (OII), Department of might the Department minimize the BILLING CODE 4000–01–P Education (ED). burden of this collection on the ACTION: Notice. respondents, including through the use of information technology. Please note DEPARTMENT OF EDUCATION SUMMARY: In accordance with the that written comments received in Paperwork Reduction Act of 1995 (44 [Docket No.: ED–2016–ICCD–0080] response to this notice will be U.S.C. chapter 3501 et seq.), ED is considered public records. proposing an extension of an existing Agency Information Collection Title of Collection: Magnet Schools information collection. Activities; Comment Request; IES Assistance Program Application for Research Training Program Surveys DATES: Interested persons are invited to Grants (1894–0001). submit comments on or before August 8, OMB Control Number: 1855–0011. AGENCY: Institute of Education Sciences 2016. Type of Review: An extension of an (IES), Department of Education (ED). ADDRESSES: To access and review all the existing information collection. ACTION: Notice. documents related to the information Respondents/Affected Public: State, collection listed in this notice, please Local, and Tribal Governments. SUMMARY: In accordance with the use http://www.regulations.gov by Total Estimated Number of Annual Paperwork Reduction Act of 1995 (44 searching the Docket ID number ED– Responses: 150. U.S.C. chapter 3501 et seq.), ED is 2016–ICCD–0083. Comments submitted Total Estimated Number of Annual proposing a revision of an existing in response to this notice should be Burden Hours: 6,000. information collection. submitted electronically through the Abstract: The Magnet Schools DATES: Interested persons are invited to Federal eRulemaking Portal at http:// Assistance program provides grants to submit comments on or before www.regulations.gov by selecting the eligible local educational agencies to September 6, 2016.
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ADDRESSES: To access and review all the Respondents/Affected Public: DATES: Interested persons are invited to documents related to the information Individuals. submit comments on or before collection listed in this notice, please Total Estimated Number of Annual September 6, 2016. use http://www.regulations.gov by Responses: 580. ADDRESSES: To access and review all the searching the Docket ID number ED– Total Estimated Number of Annual documents related to the information 2016–ICCD–0080. Comments submitted Burden Hours: 547. collection listed in this notice, please in response to this notice should be Abstract: The surveys are for use http://www.regulations.gov by submitted electronically through the participants in the fellowship research searching the Docket ID number ED– Federal eRulemaking Portal at http:// training programs and the non- 2016–ICCD–0082. Comments submitted www.regulations.gov by selecting the fellowship research training programs in response to this notice should be Docket ID number or via postal mail, funded by Institute of Education submitted electronically through the commercial delivery, or hand delivery. Sciences (IES). IES’s fellowship Federal eRulemaking Portal at http:// Please note that comments submitted by programs include predoctoral training www.regulations.gov by selecting the fax or email and those submitted after under the National Center for Education Docket ID number or via postal mail, the comment period will not be Research (NCER) and postdoctoral commercial delivery, or hand delivery. accepted. Written requests for training under NCER and the National Please note that comments submitted by information or comments submitted by Center for Special Education Research fax or email and those submitted after postal mail or delivery should be (NCSER). These programs provide the comment period will not be addressed to the Director of the universities support to provide training accepted. Written requests for Information Collection Clearance in education research and special information or comments submitted by education research to graduate students Division, U.S. Department of Education, postal mail or delivery should be (predoctoral program) and postdoctoral 400 Maryland Avenue SW., LBJ, Room addressed to the Director of the fellows. IES also supports non- 2E–347, Washington, DC 20202–4537. Information Collection Clearance fellowship research training through its Division, U.S. Department of Education, FOR FURTHER INFORMATION CONTACT: For current programs, e.g., NCER’s Methods 400 Maryland Avenue SW., LBJ, Room specific questions related to collection Research Training program and NCER’s 2E–349, Washington, DC 20202–4537. activities, please contact Meredith Undergraduate Pathways program. IES Larson, 202–219–2025. would like to collect satisfaction FOR FURTHER INFORMATION CONTACT: For SUPPLEMENTARY INFORMATION: The information from the participants in specific questions related to collection Department of Education (ED), in these programs and other similar activities, please contact Braden Goetz, accordance with the Paperwork training programs funded through NCER 202–245–7405. Reduction Act of 1995 (PRA) (44 U.S.C. or NCSER grant programs. The results of SUPPLEMENTARY INFORMATION: The 3506(c)(2)(A)), provides the general the surveys will be used both to Department of Education (ED), in public and Federal agencies with an improve the training programs as well accordance with the Paperwork opportunity to comment on proposed, as to provide information on the Reduction Act of 1995 (PRA) (44 U.S.C. revised, and continuing collections of programs to the participants, 3506(c)(2)(A)), provides the general information. This helps the Department policymakers, practitioners, and the public and Federal agencies with an assess the impact of its information general public. All information released opportunity to comment on proposed, collection requirements and minimize to the public will be in aggregate so that revised, and continuing collections of the public’s reporting burden. It also no one program or training group can be information. This helps the Department helps the public understand the distinguished. assess the impact of its information collection requirements and minimize Department’s information collection Dated: July 5, 2016. the public’s reporting burden. It also requirements and provide the requested Kate Mullan, data in the desired format. ED is helps the public understand the Acting Director, Information Collection soliciting comments on the proposed Department’s information collection Clearance Division, Office of the Chief Privacy requirements and provide the requested information collection request (ICR) that Officer, Office of Management. data in the desired format. ED is is described below. The Department of [FR Doc. 2016–16180 Filed 7–7–16; 8:45 am] Education is especially interested in soliciting comments on the proposed BILLING CODE 4000–01–P public comment addressing the information collection request (ICR) that following issues: (1) Is this collection is described below. The Department of necessary to the proper functions of the DEPARTMENT OF EDUCATION Education is especially interested in Department; (2) will this information be public comment addressing the processed and used in a timely manner; [Docket No.: ED–2016–ICCD–0082] following issues: (1) Is this collection (3) is the estimate of burden accurate; necessary to the proper functions of the Agency Information Collection (4) how might the Department enhance Department; (2) will this information be Activities; Comment Request; Native the quality, utility, and clarity of the processed and used in a timely manner; American Career and Technical information to be collected; and (5) how (3) is the estimate of burden accurate; Education Program (NACTEP) might the Department minimize the (4) how might the Department enhance Performance Reports burden of this collection on the the quality, utility, and clarity of the respondents, including through the use AGENCY: Office of Career, Technical, and information to be collected; and (5) how of information technology. Please note Adult Education (OCTAE), Department might the Department minimize the that written comments received in of Education (ED). burden of this collection on the response to this notice will be ACTION: Notice. respondents, including through the use considered public records. of information technology. Please note Title of Collection: IES Research SUMMARY: In accordance with the that written comments received in Training Program Surveys. Paperwork Reduction Act of 1995 (44 response to this notice will be OMB Control Number: 1850–0873. U.S.C. chapter 3501 et seq.), ED is considered public records. Type of Review: A revision of an proposing an extension of an existing Title of Collection: Native American existing information collection. information collection. Career and Technical Education
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Program (NACTEP) Performance priority to file a license application [email protected], (866) Reports. during the permit term. A preliminary 208–3676 (toll free), or (202) 502–8659 OMB Control Number: 1830–0573. permit does not authorize the permit (TTY). In lieu of electronic filing, please Type of Review: An extension of an holder to perform any land-disturbing send a paper copy to: Secretary, Federal existing information collection. activities or otherwise enter upon lands Energy Regulatory Commission, 888 Respondents/Affected Public: State, or waters owned by others without the First Street NE., Washington, DC 20426. Local, and Tribal Governments. owners’ express permission. The first page of any filing should Total Estimated Number of Annual The proposed project would consist of include docket number P–14786–000. Responses: 30. the following: (1) A new 1,200-foot-long More information about this project, Total Estimated Number of Annual zoned earth and rockfill or concrete-face including a copy of the application, can Burden Hours: 1,200. rockfill dam forming a lined upper be viewed or printed on the ‘‘eLibrary’’ Abstract: The Native American Career reservoir with a surface area of 109 acres link of Commission’s Web site at http:// and Technical Education Program and a storage capacity of 4,035 acre-feet www.ferc.gov/docs-filing/elibrary.asp. (NACTEP) is requesting an extension to at a maximum surface elevation of 4,320 Enter the docket number (P–14768) in collect semi-annual, annual/ feet mean sea level (msl); (2) an existing the docket number field to access the continuation reports, and final 833 foot-long concrete arch dam forming document. For assistance, contact FERC performance reports from currently the existing Lake Owyhee (lower Online Support. reservoir) with a surface area of 13,900 funded NACTEP grantees. This Dated: July 1, 2016. information is necessary to (1) manage acres and a storage capacity of 1,120,000 Kimberly D. Bose, and monitor the current NACTEP acre-feet at a maximum surface grantees, and (2) award continuation elevation of 2,650 msl; (3) a new 14,100 Secretary. grants for years four and five of the foot-long conduit connecting the upper [FR Doc. 2016–16166 Filed 7–7–16; 8:45 am] grantees’ performance periods. The and lower reservoirs consisting of a BILLING CODE 6717–01–P continuation performance reports will 2,200 foot-long, 17.1 foot-diameter include budgets, performance/statistical concrete lined low-pressure tunnel, a reports, GPRA reports, and evaluation 7,100 foot-long, 17.1 foot-diameter DEPARTMENT OF ENERGY reports. The data, collected from the concrete and steel-lined pressure shaft, and a 4,800-foot-long, 20.5 foot-diameter Federal Energy Regulatory performance reports, will be used to Commission determine if the grantees successfully concrete-lined tailrace; (4) a new 80 feet long by 280 feet wide by 120 feet high met their project goals and objectives, so Notice of Staff Attendance at the powerhouse containing four reversible that NACTEP staff can award Southwest Power Pool Markets and pump-turbine units rated at 125 continuation grants. Final performance Operations Policy Committee Meeting reports are required to determine megawatts (MW) each for a total whether or not the grant can be closed capacity of 500 MW; (5) either 2.6 or 8 The Federal Energy Regulatory our in compliance with the grant’s miles of 500-kilovolt transmission line Commission hereby gives notice that requirements. interconnecting with the Boardman- members of its staff may attend the Hemingway Line, depending on design meeting of the Southwest Power Pool, Dated: July 5, 2016. of infrastructure; and (6) appurtenant Inc. Markets and Operations Policy Tomakie Washington, facilities. The estimated annual Committee as noted below. Their Acting Director, Information Collection generation of the Owyhee Project would attendance is part of the Commission’s Clearance Division, Office of the Chief Privacy be 1,533,000 megawatt-hours. ongoing outreach efforts. Officer, Office of Management. Applicant Contact: Mr. Matthew The meeting will be held on July 12, [FR Doc. 2016–16218 Filed 7–7–16; 8:45 am] Shapiro, CEO, Gridflex Energy, LLC, 2016 from 8:00 a.m. to 5:00 p.m. and BILLING CODE 4000–01–P 1210 W. Franklin St., Ste. 2, Boise, July 13, 2016 from 8:00 a.m. to 3:00 p.m. Idaho 83702; phone: (208) 246–9925. Mountain Time. The location of the FERC Contact: Julia Kolberg; phone: meeting is at the Rushmore Plaza (202) 502–8261. DEPARTMENT OF ENERGY Holiday Inn, 505 North Fifth St., Rapid Deadline for filing comments, motions City, SD 57701. The hotel phone Federal Energy Regulatory to intervene, competing applications number is (605) 348–4000. Commission (without notices of intent), or notices of intent to file competing applications: 60 The discussions may address matters [Project No. 14786–000] days from the issuance of this notice. at issue in the following proceedings: Docket No. ER11–1844, Midcontinent Owyhee Hydro LLC; Notice of Competing applications and notices of Independent System Operator, Inc. Preliminary Permit Application intent must meet the requirements of 18 Docket No. EL12–60, Southwest Power Accepted for Filing and Soliciting CFR 4.36. Pool, Inc., et al. Comments, Motions To Intervene, and The Commission strongly encourages Competing Applications electronic filing. Please file comments, Docket No. ER12–959, Southwest Power motions to intervene, notices of intent, Pool, Inc. On June 30, 2016, Owyhee Hydro LLC and competing applications using the Docket No. ER12–1179, Southwest filed a revised application for a Commission’s eFiling system at http:// Power Pool, Inc. preliminary permit, pursuant to section www.ferc.gov/docs-filing/efiling.asp. Docket No. ER12–1586, Southwest 4(f) of the Federal Power Act (FPA), Commenters can submit brief comments Power Pool, Inc. proposing to study the feasibility of the up to 6,000 characters, without prior Docket No. EL15–66, Southern Owyhee Pumped Storage Project registration, using the eComment system Company Services, et al. v. (Owyhee Project or project) to be located at http://www.ferc.gov/docs-filing/ Midcontinent Independent System on Lake Owyhee near Adrian in ecomment.asp. You must include your Operator, Inc. Malheur County, Oregon. The sole name and contact information at the end Docket No. EL15–77, Morgan Stanley purpose of a preliminary permit, if of your comments. For assistance, Capital Group Inc. v. Midcontinent issued, is to grant the permit holder please contact FERC Online Support at Independent System Operator, Inc.
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Docket No. ER14–1183, Southwestern Docket No. ER16–1355, Westar Energy, DEPARTMENT OF ENERGY Electric Power Company Inc. Docket No. ER14–2445, Midcontinent Docket No. ER16–1314, Southwest Federal Energy Regulatory Independent System Operator, Inc. Power Pool, Inc. Commission Docket No. ER14–2850, Southwest Docket No. ER16–1341, Southwest Notice of Commission Staff Power Pool, Inc. Power Pool, Inc. Attendance Docket No. ER15–1499, Southwest Docket No. ER16–1544, Southwest Power Pool, Inc. Power Pool, Inc. The Federal Energy Regulatory Docket No. ER15–1775, Southwest Docket No. ER16–1546, Southwest Commission (Commission) hereby gives Power Pool, Inc. Power Pool, Inc. notice that members of the Docket No. ER15–1777, Southwest Commission’s staff may attend the Power Pool, Inc. Docket No. ER16–1605, Southwestern following meetings related to the Docket No. ER15–1943, Southwest Electric Power Company transmission planning activities of the Power Pool, Inc. Docket No. ER16–1618, Southwest New York Independent System Docket No. ER15–1976, Southwest Power Pool, Inc. Operator, Inc. Power Pool, Inc. Docket No. ER16–1676, Southwest Docket No. ER15–2028, Southwest Power Pool, Inc. The New York Independent System Power Pool, Inc. Docket No. ER16–1709, Southwest Operator, Inc. Electric System Planning Docket No. ER15–2069, Northwestern Power Pool, Inc. Working Group Meeting Corporation Docket No. ER16–1710, Southwest Docket No. ER15–2115, Southwest Power Pool, Inc. July 5, 2016, 10:00 a.m.–4:00 p.m. (EST) Power Pool, Inc. Docket No. ER16–1711, Southwest The above-referenced meeting will be Docket No. ER15–2265, Southwest Power Pool, Inc. via web conference and teleconference. Power Pool, Inc. Docket No. ER16–1712, Southwest The above-referenced meeting is open Docket No. ER15–2324, Southwest Power Pool, Inc. to stakeholders. Power Pool, Inc. Docket No. ER16–1713, Southwest Further information may be found at: Docket No. ER15–2347, Southwest Power Pool, Inc. http://www.nyiso.com/public/ Power Pool, Inc. _ Docket No. ER16–1715, Southwest committees/documents.jsp?com=bic Docket No. ER15–2351, Southwest Power Pool, Inc. espwg&directory=2016-07-05. Power Pool, Inc. Docket No. ER15–2356, Southwest Docket No. ER16–1772, Public Service The New York Independent System Power Pool, Inc. Company of Colorado Operator, Inc. Business Issues Docket No. EC16–53, South Central Docket No. ER16–1774, Southwest Committee Meeting Power Pool, Inc. MCN, LLC July 13, 2016, 10:00 a.m.–4:00 p.m. Docket No. ER16–1797, Midcontinent Docket No. EL16–20, Grid Assurance (EST) LLC Independent System Operator, Inc. Docket No. EL16–70, Cottonwood Wind Docket No. ER16–1799, Southwest The above-referenced meeting will be Project, LLC v. Nebraska Public Power Power Pool, Inc. via web conference and teleconference. District Docket No. ER16–1812, Southwestern The above-referenced meeting is open Docket No. ER16–13, Southwest Power Electric Power Company to stakeholders. Pool, Inc. Docket No. ER16–1814, Southwest Further information may be found at: Docket No. ER16–204, Southwest Power Power Pool, Inc. http://www.nyiso.com/public/ Pool, Inc. Docket No. ER16–1826, Southwest committees/documents.jsp?com=bic& Docket No. ER16–209, Southwest Power Power Pool, Inc. directory=2016-07-13. Pool, Inc. Docket No. ER16–1905, Southwest The New York Independent System Docket No. ER16–228, Southwest Power Power Pool, Inc. Operator, Inc. Operating Committee Pool, Inc. Docket No. ER16–1912, Southwest Meeting Docket No. ER16–791, Southwest Power Power Pool, Inc. Pool, Inc. July 14, 2016, 10:00 a.m.–4:00 p.m. Docket No. ER16–1945, Southwest Docket No. ER16–829, Southwest Power (EST) Power Pool, Inc. Pool, Inc. The above-referenced meeting will be Docket No. ER16–846, Southwest Power Docket No. ER16–1951, Southwest Power Pool, Inc. via web conference and teleconference. Pool, Inc. The above-referenced meeting is open Docket No. ER16–862, Southwest Power Docket No. ER16–1959, Southwest Power Pool, Inc. to stakeholders. Pool, Inc. Further information may be found at: Docket No. ER16–863, Southwest Power Docket No. ER16–1989, Southwest Power Pool, Inc. http://www.nyiso.com/public/ Pool, Inc. committees/documents.jsp? Docket No. ER16–932, Southwest Power These meetings are open to the public. com=oc&directory=2016-07-14. Pool, Inc. For more information, contact Patrick Docket No. ER16–1086, Southwest Clarey, Office of Energy Market The New York Independent System Power Pool, Inc. Regulation, Federal Energy Regulatory Operator, Inc. Electric System Planning Docket No. ER16–1211, Midcontinent Commission at (317) 249–5937 or Working Group Meeting Independent System Operator, Inc. [email protected]. July 26, 2016, 10:00 a.m.–4:00 p.m. Docket No. ER16–1286, Southwest (EST) Power Pool, Inc. Dated: July 1, 2016. Docket No. ER16–1305, Southwest Kimberly D. Bose, The above-referenced meeting will be Power Pool, Inc. Secretary. via web conference and teleconference. Docket No. ER16–1351, Westar Energy, [FR Doc. 2016–16164 Filed 7–7–16; 8:45 am] The above-referenced meeting is open Inc. BILLING CODE 6717–01–P to stakeholders.
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Further information may be found at: DEPARTMENT OF ENERGY planned Aeolus Substation located http://www.nyiso.com/public/ northwest of Medicine Bow, Wyoming, committees/documents.jsp?com=bic_ Federal Energy Regulatory or the planned northern terminal for the espwg&directory=2016-07-26. Commission TransWest Express DC Line near [Project No. 14787–000] Sinclair, Wyoming. If the Aeolus The New York Independent System interconnection alternative is built, the Operator, Inc. Management Committee Black Canyon Hydro, LLC; Notice of line would parallel the existing Western Meeting Preliminary Permit Application Area Power Administration’s (WAPA) July 27, 2016, 10:00 a.m.–4:00 p.m. Accepted for Filing and Soliciting Miracle Mile-Cheyenne-Ault 230-kV (EST) Comments, Motions To Intervene, and transmission line. If the TransWest Competing Applications interconnection alternative is built, the The above-referenced meeting will be line would parallel or consist of a via web conference and teleconference. On June 13, 2016, the Black Canyon rebuild of the existing WAPA Miracle Hydro, LLC filed an application for a Mile-Sinclair, 115 kV transmission line. The above-referenced meeting is open preliminary permit, pursuant to section The estimated annual generation would to stakeholders. 4(f) of the Federal Power Act (FPA), be 1,839,600 MW-hours. Further information may be found at: proposing to study the feasibility of the Applicant Contact: Mr. Matthew http://www.nyiso.com/public/ Seminoe Pumped Storage Project Shapiro, Chief Executive Officer, committees/documents.jsp?com (project) to be located at the U.S. Bureau Gridflex Energy, LLC, 1210 W. Franklin =mc&directory=2016-07-27. of Reclamation’s (Reclamation) Seminoe Street, Suite 2, Boise, ID 83702, phone: Reservoir on the North Platte River, near (208) 246–9925. The discussions at the meetings Rawlins, Carbon County, Wyoming. The FERC Contact: Suzanne Novak; described above may address matters at project would occupy lands managed by phone: (202) 502–6665. issue in the following proceedings: the U.S. Bureau of Reclamation and the U.S. Bureau of Land Management. The Deadline for filing comments, motions New York Independent System to intervene, competing applications Operator, Inc., Docket No. ER13–102. sole purpose of a preliminary permit, if issued, is to grant the permit holder (without notices of intent), or notices of New York Independent System priority to file a license application intent to file competing applications: 60 Operator, Inc., Docket No. ER15– during the permit term. A preliminary days from the issuance of this notice. 2059. permit does not authorize the permit Competing applications and notices of New York Independent System holder to perform any land-disturbing intent must meet the requirements of 18 Operator, Inc., Docket No. ER13– activities or otherwise enter upon lands CFR 4.36. 1942. or waters owned by others without the The Commission strongly encourages owners’ express permission. electronic filing. Please file comments, New York Transco, LLC, Docket No. The proposed project would consist of motions to intervene, notices of intent, ER15–572. the following: (1) Two new intake and competing applications using the New York Independent System structures located in Reclamation’s Commission’s eFiling system at http:// Operator, Inc., Docket No. ER16–966. 20,291-acre Seminoe Reservoir; (2) two www.ferc.gov/docs-filing/efiling.asp. New York Independent System new concrete-faced, rock-fill upper Commenters can submit brief comments Operator, Inc., Docket No. ER16– reservoirs—one 85 acres and one 63 up to 6,000 characters, without prior registration, using the eComment system 1968. acres—located on either side of, and about 1,000 feet above, Seminoe at http://www.ferc.gov/docs-filing/ Boundless Energy NE, LLC, CityGreen Reservoir; (3) a 3,000-foot-long, 18.8- ecomment.asp. You must include your Transmission, Inc., and Miller Bros. v. foot diameter, low pressure tunnel and name and contact information at the end New York Independent System 1,250-foot-long, 18.8-foot-diameter, of your comments. For assistance, Operator, Inc., Docket No. EL16–84. pressure shaft leading to a 250-foot-long, please contact FERC Online Support at New York Independent System 65-foot-wide, 170-foot-high powerhouse [email protected], (866) Operator, Inc., Docket No. ER16– located 1,300 feet east of Seminoe 208–3676 (toll free), or (202) 502–8659 1785. Reservoir in an underground cavern (TTY). In lieu of electronic filing, please with a 2,800-foot-long access tunnel and send a paper copy to: Secretary, Federal For more information, contact James a 1,300-foot-long, 22.6-foot wide Energy Regulatory Commission, 888 Eason, Office of Energy Market tailrace; (5) a 1,300-foot-long, 22.6-foot- First Street NE., Washington, DC 20426. Regulation, Federal Energy Regulatory diameter, low pressure tunnel and The first page of any filing should Commission at (202) 502–8622 or 1,800-foot-long, 16.1-foot-diameter include docket number P–14787–000. [email protected]. pressure shaft leading to a 220-foot-long, More information about this project, 55-foot-wide, 120-foot-high powerhouse Dated: June 30, 2016. including a copy of the application, can located 2,800 feet north-northwest of be viewed or printed on the ‘‘eLibrary’’ Kimberly D. Bose, Seminoe reservoir in an underground link of Commission’s Web site at http:// Secretary. cavern with a 800-foot-long access www.ferc.gov/docs-filing/elibrary.asp. [FR Doc. 2016–16163 Filed 7–7–16; 8:45 am] tunnel and a 2,800-foot-long, 19.3-foot- Enter the docket number (P–14787) in BILLING CODE 6717–01–P diameter tailrace; (6) three 133.3- the docket number field to access the megawatt (MW) adjustable-speed, document. For assistance, contact FERC reversible pump turbines in the east Online Support. powerhouse; and (7) three 100-MW adjustable-speed reversible pump- Dated: June 30, 2016. turbines in the west powerhouse. The Kimberly D. Bose, project would also include a double- Secretary. circuit, 230-kilovolt (kV) transmission [FR Doc. 2016–16167 Filed 7–7–16; 8:45 am] line connecting either at PacifiCorp’s BILLING CODE 6717–01–P
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DEPARTMENT OF ENERGY Online service, please email For assistance, contact FERC Online [email protected], or call Support. Federal Energy Regulatory (866) 208–3676 (toll free). For TTY, call Any comments should be filed within Commission (202) 502–8659. 30 days from the date of this notice. The [Docket No. ER16–2071–000] Dated: June 30, 2016. Commission strongly encourages Nathaniel J. Davis, Sr., electronic filing. Please file comments Innovative Solar 43, LLC; using the Commission’s eFiling system Deputy Secretary. Supplemental Notice That Initial at http://www.ferc.gov/docs-filing/ Market-Based Rate Filing Includes [FR Doc. 2016–16241 Filed 7–7–16; 8:45 am] efiling.asp. For assistance, please Request for Blanket Section 204 BILLING CODE 6717–01–P contact FERC Online Support at Authorization [email protected] or toll- free at 1–866–208–3676, or for TTY, DEPARTMENT OF ENERGY This is a supplemental notice in the 202–502–8659. In lieu of electronic above-referenced proceeding of filing, please send a paper copy to: Innovative Solar 43, LLC’s application Federal Energy Regulatory Commission Secretary, Federal Energy Regulatory for market-based rate authority, with an Commission, 888 First Street NE., accompanying rate tariff, noting that [Project No. 13755–002] Washington, DC 20426. The first page of such application includes a request for any filing should include: ‘‘Allegheny FFP Missouri 12, LLC; Notice of blanket authorization, under 18 CFR Lock and Dam 2 Hydroelectric Project Availability of Environmental part 34, of future issuances of securities No. 13755–002.’’ Assessment and assumptions of liability. For further information, contact Any person desiring to intervene or to Nicholas Ettema at (202) 502–6565 or by protest should file with the Federal In accordance with the National email at [email protected]. Energy Regulatory Commission, 888 Environmental Policy Act of 1969 and First Street NE., Washington, DC 20426, the Federal Energy Regulatory Dated: June 30, 2016. in accordance with Rules 211 and 214 Commission’s (Commission or FERC) Kimberly D. Bose, of the Commission’s Rules of Practice regulations, 18 Code of Federal Secretary. and Procedure (18 CFR 385.211 and Regulations part 380, Office of Energy [FR Doc. 2016–16165 Filed 7–7–16; 8:45 am] 385.214). Anyone filing a motion to Projects staff has reviewed the BILLING CODE 6717–01–P intervene or protest must serve a copy application for original license for the of that document on the Applicant. Allegheny Lock and Dam 2 Notice is hereby given that the Hydroelectric Project (FERC No. 13755– DEPARTMENT OF ENERGY deadline for filing protests with regard 002) on the Allegheny River. to the applicant’s request for blanket The Allegheny Lock and Dam 2 Federal Energy Regulatory authorization, under 18 CFR part 34, of Hydroelectric Project would be located Commission at an existing lock and dam owned by future issuances of securities and [Docket No. CP16–4–000] assumptions of liability, is July 20, the U.S. Army Corps of Engineers on the 2016. Allegheny River between the boroughs Tennessee Gas Pipeline Company, The Commission encourages of Sharpsburg and Aspinwall, L.L.C.; Notice of Schedule for electronic submission of protests and Pennsylvania, in Allegheny County at Environmental Review of the Orion interventions in lieu of paper, using the river mile 6.7. The project would Project FERC Online links at http:// occupy 3.23 acres of federal land. www.ferc.gov. To facilitate electronic Staff has prepared this environmental On October 9, 2015, Tennessee Gas service, persons with Internet access assessment (EA) that analyzes the Pipeline Company, L.L.C. (Tennessee) who will eFile a document and/or be potential environmental effects of the filed an application in Docket No. listed as a contact for an intervenor project and concludes that constructing CP16–4–000 requesting a Certificate of must create and validate an and operating the project, with Public Convenience and Necessity eRegistration account using the appropriate environmental protection pursuant to section 7(c) of the Natural eRegistration link. Select the eFiling measures, would not constitute a major Gas Act to construct and operate certain link to log on and submit the federal action that would significantly natural gas pipeline facilities. The intervention or protests. affect the quality of the human proposed project is known as the Orion Persons unable to file electronically environment. Project (Project), and would deliver an should submit an original and 5 copies A copy of the EA is available for additional 135,000 dekatherms per day of the intervention or protest to the review at the Commission in the Public of natural gas to meet needs of three Federal Energy Regulatory Commission, Reference Room or may be viewed on contracted shippers in the northeast 888 First Street NE., Washington, DC the Commission’s Web site at United States. 20426. www.ferc.gov using the ‘‘eLibrary’’ link. On October 26, 2015, the Federal The filings in the above-referenced Enter the docket number, excluding the Energy Regulatory Commission proceeding are accessible in the last three digits, in the docket number (Commission or FERC) issued its Notice Commission’s eLibrary system by field to access the document. For of Application for the Project. Among clicking on the appropriate link in the assistance, contact FERC Online other things, that notice alerted agencies above list. They are also available for Support at FERCOnlineSupport@ issuing federal authorizations of the electronic review in the Commission’s ferc.gov or toll-free at 1–866–208–3676, requirement to complete all necessary Public Reference Room in Washington, or for TTY, (202) 502–8659. reviews and to reach a final decision on DC. There is an eSubscription link on You may also register online at http:// a request for a federal authorization the Web site that enables subscribers to www.ferc.gov/docs-filing/ within 90 days of the date of issuance receive email notification when a esubscription.asp to be notified via of the Commission staff’s Environmental document is added to a subscribed email of new filings and issuances Assessment (EA) for the Project. This docket(s). For assistance with any FERC related to this or other pending projects. instant notice identifies the FERC staff’s
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planned schedule for the completion of The U.S. Army Corps of Engineers is Management Project, Review Period the EA for the Project. a cooperating agency in the preparation Ends: 08/08/2016, Contact: Mickey of the EA. Sugg 910–251–4811. Schedule for Environmental Review EIS No. 20160149, Final, BIA, FL, Additional Information Issuance of EA—August 23, 2016. Seminole Tribe of Florida Fee to 90-day Federal Authorization In order to receive notification of the Trust, Review Period Ends: 08/08/ Decision Deadline—November 21, 2016. issuance of the EA and to keep track of 2016, Contact: Chester McGhee 615– If a schedule change becomes all formal issuances and submittals in 564–6830. necessary, additional notice will be specific dockets, the Commission offers EIS No. 20160150, Final Supplement, provided so that the relevant agencies a free service called eSubscription. This NIGC, CA, Jamul Indian Village, are kept informed of the Project’s can reduce the amount of time you Review Period Ends: 08/08/2016, progress. spend researching proceedings by Contact: Andrew Mendoza 202–634– automatically providing you with 0012. Project Description notification of these filings, document EIS No. 20160151, Final, BLM, CO, Bull Tennessee proposes to construct and summaries, and direct links to the Mountain Unit Master Development operate pipeline facilities, modify documents. Go to www.ferc.gov/docs- Plan, Review Period Ends: 08/08/ existing aboveground facilities, and add filing/esubscription.asp. 2016, Contact: Gina Jones 970–240– new tie-in facilities in Wayne and Pike Additional information about the 5300. Counties, Pennsylvania. Project is available from the EIS No. 20160152, Draft, USFS, NM, The Project would consist of the Commission’s Office of External Affairs Santa Fe National Forest Geothermal following facilities: at (866) 208–FERC or on the FERC Web Leasing, Comment Period Ends: • Approximately 12.9 miles of new site (www.ferc.gov). Using the 1 08/22/2016, Contact: Larry Gore 575– 36-inch-diameter looping pipeline in ‘‘eLibrary’’ link, select ‘‘General Search’’ 289–3264. Wayne and Pike Counties, from the eLibrary menu, enter the Pennsylvania; selected date range and ‘‘Docket Amended Notices • a new internal pipeline inspection Number’’ excluding the last three digits EIS No. 20160128, Final, USACE, NC, 2 (‘‘pig’’) launcher, crossover, and (i.e., CP16–4), and follow the Morehead City Harbor Integrated connecting facilities at the beginning of instructions. For assistance with access Dredged Material Management Plan, the proposed pipeline loop in Wayne to eLibrary, the helpline can be reached Review Period Ends: 08/11/2016, County; at (866) 208–3676, TTY (202) 502–8659, Contact: Jennifer Owens 910–251– • a new pig receiver, crossover, and or at [email protected]. The 4757. connecting facilities at the end of the eLibrary link on the FERC Web site also Revision to FR Notice Published proposed pipeline loop in Pike County; provides access to the texts of formal and 06/10/2016; Extending Review Period • documents issued by the Commission, from 07/11/2016 to 08/11/2016. modifications at Tennessee’s such as orders, notices, and rule existing Compressor Station 323, makings. Dated: July 1, 2016. including rewheeling/restaging of an Dawn Roberts, Dated: June 30, 2016. existing compressor and other piping Management Analyst, NEPA Compliance and appurtenant modifications. Kimberly D. Bose, Division, Office of Federal Activities. Secretary. Background [FR Doc. 2016–16310 Filed 7–7–16; 8:45 am] [FR Doc. 2016–16168 Filed 7–7–16; 8:45 am] BILLING CODE 6560–50–P On November 23, 2015, the BILLING CODE 6717–01–P Commission issued a Notice of Intent to Prepare an Environmental Assessment ENVIRONMENTAL PROTECTION for the Proposed Orion Project and ENVIRONMENTAL PROTECTION AGENCY Request for Comments on AGENCY Environmental Issues (NOI). On [EPA–HQ–OAR–2016–0289; FRL–9948–75– December 3, 2015, the Commission [ER–FRL–9027–9] OAR] issued a supplemental NOI extending Draft Guidance on Progress Tracking the scoping period for the Project. The Environmental Impact Statements; Metrics, Long-Term Strategies, NOI and supplemental NOI were sent to Notice of Availability Reasonable Progress Goals and Other affected landowners; federal, state, and Responsible Agency: Office of Federal Requirements for Regional Haze State local government agencies; elected Activities, General Information (202) Implementation Plans for the Second officials; environmental and public 564–7146 or http://www.epa.gov/nepa. Implementation Period interest groups; Native American tribes; Weekly receipt of Environmental Impact other interested parties; and local Statements (EISs) AGENCY: Environmental Protection libraries and newspapers. In response to Filed 06/27/2016 Through 07/01/2016 Agency (EPA). the NOIs, the Commission received Pursuant to 40 CFR 1506.9. ACTION: Notice of availability and public comments from the National Park comment period. Service and several individuals. The Notice comments primarily concerned impacts Section 309(a) of the Clean Air Act SUMMARY: Notice is hereby given that on water resources, land use, recreation, requires that EPA make public its the Environmental Protection Agency air quality, and reliability and safety. comments on EISs issued by other (EPA) has posted on its Web site a draft Federal agencies. EPA’s comment letters guidance document titled, ‘‘Draft 1 A pipeline loop is a segment of pipe constructed on EISs are available at: http:// Guidance on Progress Tracking Metrics, parallel to an existing pipeline to increase capacity. www.epa.gov/compliance/nepa/ Long-Term Strategies, Reasonable 2 A ‘‘pig’’ is a tool that the pipeline company eisdata.html. inserts into and pushes through the pipeline for Progress Goals and Other Requirements cleaning the pipeline, conducting internal EIS No. 20160148, Final, USACE, NC, for Regional Haze State Implementation inspections, or other purposes. Figure Eight Island Shoreline Plans for the Second Implementation
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Period.’’ The EPA invites the public to Regional Haze Rule published on May 4, The Web site provides related review and provide input on its draft 2016,1 would be due by July 31, 2021. information that the public may find guidance document during the comment The required content of these SIPs is useful. period specified in the DATES section. specified in 40 CFR 51.308(f), which has Dated: June 30, 2016. 2 DATES: Comments must be received on also been proposed for revision. Stephen Page, or before August 22, 2016. Please refer II. Instructions for Submitting Public Director, Office of Air Quality Planning and to SUPPLEMENTARY INFORMATION for Comments and Internet Web Site for Standards. additional information on the comment Guidance Document Information [FR Doc. 2016–16131 Filed 7–7–16; 8:45 am] period. BILLING CODE 6560–50–P ADDRESSES: Submit your comments, A. What should I consider as I prepare identified by Docket ID No. EPA–HQ– my comments for the EPA? OAR–2016–0289, at http:// 1. Submitting CBI. Do not submit this FEDERAL DEPOSIT INSURANCE www.regulations.gov. Follow the online information to the EPA through CORPORATION instructions for submitting comments. www.regulations.gov or email. Clearly Once submitted, comments cannot be mark the part or all of the information Notice of Termination; 10293, Haven edited or removed from Regulations.gov. that you claim to be CBI. For CBI in a Trust Bank Florida, Ponte Vedra The EPA may publish any comment disk or CD ROM that you mail to the Beach, Florida received to its public docket. Do not EPA, mark the outside of the disk or CD submit electronically any information ROM as CBI and then identify The Federal Deposit Insurance you consider to be Confidential electronically within the disk or CD Corporation (FDIC), as Receiver for Business Information (CBI) or other ROM the specific information that is 10293, Haven Trust Bank Florida, Ponte information whose disclosure is claimed as CBI. In addition to one Vedra Beach, Florida (Receiver) has restricted by statute. Multimedia complete version of the comment that been authorized to take all actions submissions (audio, video, etc.) must be includes information claimed as CBI, a necessary to terminate the receivership accompanied by a written comment. copy of the comment that does not estate of Haven Trust Bank Florida The written comment is considered the contain the information claimed as CBI (Receivership Estate); the Receiver has official comment and should include must be submitted for inclusion in the made all dividend distributions discussion of all points you wish to public docket. Information so marked required by law. make. The EPA will generally not will not be disclosed except in The Receiver has further irrevocably consider comments or comment accordance with procedures set forth in authorized and appointed FDIC- contents located outside of the primary 40 CFR part 2. Send or deliver Corporate as its attorney-in-fact to submission (i.e., on the Web, Cloud, or information identified as CBI only to the execute and file any and all documents other file sharing system). For following address: Tiffany Purifoy, that may be required to be executed by additional submission methods, the full OAQPS CBI Officer, U.S. EPA, Office of the Receiver which FDIC-Corporate, in EPA public comment policy, Air Quality Planning and Standards, its sole discretion, deems necessary; information about CBI or multimedia Mail Code C404–02, Research Triangle including but not limited to releases, submissions and general guidance on Park, NC 27711, telephone (919) 541– discharges, satisfactions, endorsements, making effective comments, please visit 0878, email at [email protected], assignments and deeds. http://www2.epa.gov/dockets/ Attention Docket ID No. EPA–HQ– Effective July 1, 2016, the commenting-epa-dockets. OAR–2016–0289. Receivership Estate has been FOR FURTHER INFORMATION CONTACT: For 2. Tips for Preparing Your Comments. terminated, the Receiver discharged, general questions concerning this draft When submitting comments, remember and the Receivership Estate has ceased guidance document, please contact Phil to: to exist as a legal entity. • Lorang, U.S. EPA, Office of Air Quality Identify the draft guidance by Dated: July 5, 2016. Planning and Standards, Air Quality docket number and other identifying Federal Deposit Insurance Corporation. Policy Division, C539–04, Research information (subject heading, Federal Robert E. Feldman, Triangle Park, NC 27711, telephone Register date and page number). Executive Secretary. (919) 541–5463, email at lorang.phil@ • Follow directions. epa.gov. For questions about section 5 of • Explain why you agree or disagree; [FR Doc. 2016–16202 Filed 7–7–16; 8:45 am] this draft guidance document, please suggest alternatives and substitute BILLING CODE 6714–01–P contact Melinda Beaver, U.S. EPA, language for your requested changes. Office of Air Quality Planning and B. Where can I find additional Standards, Air Quality Policy Division, FEDERAL ELECTION COMMISSION information for this draft guidance? C539–04, Research Triangle Park, NC 27711, telephone (919) 541–1062, email The EPA has also established a Web Sunshine Act Meeting at [email protected]. site for this draft guidance at https:// AGENCY: Federal Election Commission. www.epa.gov/visibility. From this page, SUPPLEMENTARY INFORMATION: DATES AND TIMES: Tuesday, July 12, 2016 please click on ‘‘Guidance Documents.’’ I. Purpose at 10:00 a.m. The purpose of the draft document on 1 Protection of Visibility: Amendments to PLACE: 999 E Street NW., Washington, which the EPA is inviting public Requirements for State Plans: Proposed Rule, May DC. 4, 2016, 81 FR 26942. STATUS: This meeting will be closed to comment is to provide useful 2 For clarity for purposes of comment, the draft background information and guidance guidance document available for public comment is the public. to states on how to develop and submit written as if the revisions of the Regional Haze Rule ITEMS TO BE DISCUSSED: Compliance regional haze state implementation proposed in May 2016 have been finalized as matters pursuant to 52 U.S.C. 30109. proposed. If the final revisions to the Regional Haze plans (SIPs) for the second Rule differ from this assumption, corresponding Matters concerning participation in civil implementation period (2018–2028), changes will be made in the final guidance actions or proceeding, or arbitration. which under a proposed revision to the document. Information the premature disclosure of
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which would be likely to have a Point Bank and Trust Company, High to find the information collection considerable adverse effect on the Point, North Carolina. document(s) that are accepting implementation of a proposed Board of Governors of the Federal Reserve comments. Commission action. System, July 5, 2016. 2. By regular mail. You may mail * * * * * Margaret Shanks, written comments to the following address: CMS, Office of Strategic PERSON TO CONTACT FOR INFORMATION: Deputy Secretary of the Board. Operations and Regulatory Affairs, Judith Ingram, Press Officer; Telephone: [FR Doc. 2016–16255 Filed 7–7–16; 8:45 am] (202) 694–1220. Division of Regulations Development, BILLING CODE 6210–01–P Attention: Document Identifier/OMB Shawn Woodhead Werth, Control Number ll, Room C4–26–05, Commission Secretary and Clerk. 7500 Security Boulevard, Baltimore, DEPARTMENT OF HEALTH AND [FR Doc. 2016–16268 Filed 7–6–16; 11:15 am] Maryland 21244–1850. HUMAN SERVICES BILLING CODE 6715–01–P To obtain copies of a supporting statement and any related forms for the Centers for Medicare & Medicaid proposed collection(s) summarized in Services FEDERAL RESERVE SYSTEM this notice, you may make your request [Document Identifiers: CMS–10137, CMS– using one of following: Formations of, Acquisitions by, and 10237 and CMS–379] 1. Access CMS’ Web site address at Mergers of Bank Holding Companies http://www.cms.hhs.gov/ Agency Information Collection PaperworkReductionActof1995. The companies listed in this notice Activities: Proposed Collection; 2. Email your request, including your have applied to the Board for approval, Comment Request address, phone number, OMB number, pursuant to the Bank Holding Company AGENCY: and CMS document identifier, to Act of 1956 (12 U.S.C. 1841 et seq.) Centers for Medicare & Medicaid Services. [email protected]. (BHC Act), Regulation Y (12 CFR part 3. Call the Reports Clearance Office at 225), and all other applicable statutes ACTION: Notice. (410) 786–1326. and regulations to become a bank SUMMARY: The Centers for Medicare & FOR FURTHER INFORMATION CONTACT: holding company and/or to acquire the Medicaid Services (CMS) is announcing Reports Clearance Office at (410) 786– assets or the ownership of, control of, or an opportunity for the public to 1326. the power to vote shares of a bank or comment on CMS’ intention to collect SUPPLEMENTARY INFORMATION: bank holding company and all of the information from the public. Under the banks and nonbanking companies Paperwork Reduction Act of 1995 (the Contents owned by the bank holding company, PRA), federal agencies are required to This notice sets out a summary of the including the companies listed below. publish notice in the Federal Register use and burden associated with the The applications listed below, as well concerning each proposed collection of following information collections. More as other related filings required by the information (including each proposed detailed information can be found in Board, are available for immediate extension or reinstatement of an existing each collection’s supporting statement inspection at the Federal Reserve Bank collection of information) and to allow and associated materials (see indicated. The applications will also be 60 days for public comment on the ADDRESSES). available for inspection at the offices of proposed action. Interested persons are the Board of Governors. Interested CMS–10137 Solicitation for invited to send comments regarding our Applications for Medicare persons may express their views in burden estimates or any other aspect of writing on the standards enumerated in Prescription Drug Plan 2018 Contracts this collection of information, including CMS–10237 Applications for Part C the BHC Act (12 U.S.C. 1842(c)). If the any of the following subjects: (1) The Medicare Advantage, 1876 Cost Plans, proposal also involves the acquisition of necessity and utility of the proposed and Employer Group Waiver Plans to a nonbanking company, the review also information collection for the proper Provide Part C Benefits includes whether the acquisition of the performance of the agency’s functions; CMS–379 Financial Statement of nonbanking company complies with the (2) the accuracy of the estimated Debtor standards in section 4 of the BHC Act burden; (3) ways to enhance the quality, Under the PRA (44 U.S.C. 3501– (12 U.S.C. 1843). Unless otherwise utility, and clarity of the information to noted, nonbanking activities will be 3520), federal agencies must obtain be collected; and (4) the use of approval from the Office of Management conducted throughout the United States. automated collection techniques or Unless otherwise noted, comments and Budget (OMB) for each collection of other forms of information technology to regarding each of these applications information they conduct or sponsor. minimize the information collection must be received at the Reserve Bank The term ‘‘collection of information’’ is burden. indicated or the offices of the Board of defined in 44 U.S.C. 3502(3) and 5 CFR Governors not later than August 4, 2016. DATES: Comments must be received by 1320.3(c) and includes agency requests A. Federal Reserve Bank of Richmond September 6, 2016. or requirements that members of the (Adam M. Drimer, Assistant Vice ADDRESSES: When commenting, please public submit reports, keep records, or President) 701 East Byrd Street, reference the document identifier or provide information to a third party. Richmond, Virginia 23261–4528. OMB control number. To be assured Section 3506(c)(2)(A) of the PRA Comments can also be sent consideration, comments and requires federal agencies to publish a electronically to recommendations must be submitted in 60-day notice in the Federal Register [email protected]: any one of the following ways: concerning each proposed collection of 1. BNC Bancorp, High Point, North 1. Electronically. You may send your information, including each proposed Carolina; to acquire 100 percent of the comments electronically to http:// extension or reinstatement of an existing voting shares of High Point Bank www.regulations.gov. Follow the collection of information, before Corporation, High Point, North Carolina, instructions for ‘‘Comment or submitting the collection to OMB for and thereby indirectly acquire High Submission’’ or ‘‘More Search Options’’ approval. To comply with this
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requirement, CMS is publishing this profits and Not-for-profit institutions); announcing the availability of the draft notice. Number of Respondents: 310; Total guidance entitled ‘‘Use of Public Human Annual Responses: 310; Total Annual Information Collection Genetic Variant Databases to Support Hours: 10,941. (For policy questions Clinical Validity for Next Generation 1. Type of Information Collection regarding this collection contact Sequencing (NGS)-Based In Vitro Request: Revision of a currently Marcella Watts at 410–786–5724.) Diagnostics.’’ This draft guidance approved collection; Title of 3. Type of Information Collection document describes how publicly Information Collection: Solicitation for Request: Extension of a currently accessible databases of human genetic Applications for Medicare Prescription approved collection; Title of variants can serve as sources of valid Drug Plan 2018 Contracts; Use: Coverage Information Collection: Financial scientific evidence to support the for the prescription drug benefit is Statement of Debtor; Use: Section clinical validity of genotype-phenotype provided through contracted 1893(f)(1)) of the Social Security Act relationships in FDA’s regulatory review prescription drug (PD) plans or through and 42 CFR 401.607 provides the of next generation sequencing (NGS)- Medicare Advantage (MA) plans that authority for collection of this based tests. This draft guidance further offer integrated prescription drug and information. Section 42 CFR 405.607 outlines the process by which health care coverage (MA–PD plans). requires that, CMS recover amounts of administrators of genetic variant Cost Plans that are regulated under claims due from debtors including section 1876 of the Social Security Act, interest where appropriate by direct databases could voluntarily apply to and Employer Group Waiver Plans may collections in lump sums or in FDA for recognition, and how FDA also provide a part D benefit. installments. In addition, the DOJ Final would review such applications and Organizations wishing to provide Rule, the Federal Claims Collection periodically reevaluate recognized services under the Prescription Drug Standards, which was published as 32 databases. This draft guidance is not Benefit Program must complete an CFR parts 900–904, on November 22, final nor is it in effect at this time. application, negotiate rates, and receive 2000, in the Federal Register, section 32 DATES: Although you can comment on final approval from CMS. Existing part CFR 900.1 stipulates that, standards for any guidance at any time (see 21 CFR D Sponsors may also expand their Federal agency use in the administrative 10.115(g)(5)), to ensure that the Agency contracted service area by completing collection, offset, compromise, and the considers your comment of this draft the Service Area Expansion application. suspension or termination of collection guidance before it begins work on the Form Number: CMS–10137 (OMB activity. Section 32 CFR 901.8(a) states final version of the guidance, submit control number: 0938–0936); Frequency: that, Agencies should obtain financial either electronic or written comments Yearly; Affected Public: Private sector statements from debtors who represent (Business or other For-profits and Not- on the draft guidance by October 6, that they are unable to pay the debt in 2016. for-profit institutions); Number of one lump sum. Form Number: CMS–379 Respondents: 463; Total Annual (OMB control number: 0938–0270); ADDRESSES: You may submit comments Responses: 160; Total Annual Hours: Frequency: Yearly; Affected Public: as follows: 1,565. (For policy questions regarding Private sector (Business or other for- this collection contact Arianne profits); Number of Respondents: 500; Electronic Submissions Spaccarelli at 410–786–5715.) Total Annual Responses: 500; Total Submit electronic comments in the 2. Type of Information Collection Annual Hours: 1,000. (For policy following way: Request: Revision of a currently questions regarding this collection approved collection; Title of contact Anita Crosier at 410–786–0217.) • Federal eRulemaking Portal: http:// Information Collection: Applications for www.regulations.gov. Follow the Dated: July 5, 2016. part C Medicare Advantage, 1876 Cost instructions for submitting comments. William N. Parham, III, Plans, and Employer Group Waiver Comments submitted electronically, Plans to Provide part C Benefits; Use: Director, Paperwork Reduction Staff, Office including attachments, to http:// This information collection includes the of Strategic Operations and Regulatory Affairs. www.regulations.gov will be posted to process for organizations wishing to the docket unchanged. Because your [FR Doc. 2016–16220 Filed 7–7–16; 8:45 am] provide healthcare services under MA comment will be made public, you are BILLING CODE 4120–01–P and/or MA–PD plans must complete an solely responsible for ensuring that your application annually, file a bid, and comment does not include any receive final approval from CMS. The DEPARTMENT OF HEALTH AND confidential information that you or a application process has two options for third party may not wish to be posted, applicants that include: Request for new HUMAN SERVICES such as medical information, your or MA product or request for expanding Food and Drug Administration anyone else’s Social Security number, or the service area of an existing product. confidential business information, such This collection process is the only [Docket No. FDA–2016–D–1233] mechanism for MA and/or MA–PD as a manufacturing process. Please note organizations to complete the required Use of Public Human Genetic Variant that if you include your name, contact application process. CMS utilizes the Databases To Support Clinical Validity information, or other information that application process as the means to for Next Generation Sequencing-Based identifies you in the body of your review, assess and determine if In Vitro Diagnostics; Draft Guidance comments, that information will be applicants are compliant with the for Stakeholders and Food and Drug posted on http://www.regulations.gov. current requirements for participation in Administration Staff; Availability • If you want to submit a comment the Medicare Advantage program and to AGENCY: Food and Drug Administration, with confidential information that you make a decision related to contract HHS. do not wish to be made available to the award. Form Number: CMS–10237 ACTION: Notice of availability. public, submit the comment as a (OMB control number: 0938–0935); written/paper submission and in the Frequency: Yearly; Affected Public: SUMMARY: The Food and Drug manner detailed (see ‘‘Written/Paper Private sector (Business or other For- Administration (FDA or Agency) is Submissions’’ and ‘‘Instructions’’).
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Written/Paper Submissions Docket: For access to the docket to promoting innovation in test read background documents or the development. This draft guidance Submit written/paper submissions as electronic and written/paper comments document describes how publicly follows: received, go to http:// accessible databases of human genetic • Mail/Hand delivery/Courier (for www.regulations.gov and insert the variants can serve as sources of valid written/paper submissions): Division of docket number, found in brackets in the scientific evidence to support the Dockets Management (HFA–305), Food heading of this document, into the clinical validity of genotype-phenotype and Drug Administration, 5630 Fishers ‘‘Search’’ box and follow the prompts relationships in FDA’s regulatory review Lane, Rm. 1061, Rockville, MD 20852. and/or go to the Division of Dockets of NGS-based tests. FDA is also issuing • For written/paper comments Management, 5630 Fishers Lane, Rm. a draft guidance entitled ‘‘Use of submitted to the Division of Dockets 1061, Rockville, MD 20852. Standards in FDA Regulatory Oversight Management, FDA will post your An electronic copy of the guidance of Next Generation Sequencing (NGS)- comment, as well as any attachments, document is available for download Based In Vitro Diagnostics (IVDs) Used except for information submitted, from the Internet. See the for Diagnosing Germline Diseases’’ marked and identified, as confidential, SUPPLEMENTARY INFORMATION section for which is being released concurrently if submitted as detailed in information on electronic access to the elsewhere in this issue of the Federal ‘‘Instructions.’’ guidance. Submit written requests for a Register. Instructions: All submissions received single hard copy of the draft guidance NGS can enable rapid, broad, and must include the Docket No. FDA– document entitled ‘‘Use of Public deep sequencing of a portion of a gene, 2016–D–1233 for ‘‘Use of Public Human Human Genetic Variant Databases to entire exome(s), or a whole genome and Genetic Variant Databases to Support Support Clinical Validity for Next may be used clinically for a variety of Clinical Validity for Next Generation Generation Sequencing (NGS)-Based In diagnostic purposes, including risk Sequencing (NGS)-Based In Vitro Vitro Diagnostics’’ to the Office of the prediction, diagnosis, and treatment Diagnostics.’’ Received comments will Center Director, Guidance and Policy selection for a disease or condition. The be placed in the docket and, except for Development, Center for Devices and rapid adoption of NGS-based tests in those submitted as ‘‘Confidential Radiological Health, Food and Drug both research and clinical practice is Submissions,’’ publicly viewable at Administration, 10903 New Hampshire leading to identification of an increasing http://www.regulations.gov or at the Ave., Bldg. 66, Rm. 5431, Silver Spring, number of genetic variants (e.g., Division of Dockets Management MD 20993–0002; or the Office of pathogenic, benign, and of unknown between 9 a.m. and 4 p.m., Monday Communication, Outreach, and significance), including rare variants through Friday. Development, Center for Biologics that may be unique to a single • Evaluation and Research, Food and individual or family. This draft Confidential Submissions—To guidance document describes FDA’s submit a comment with confidential Drug Administration, 10903 New Hampshire Ave., Bldg. 71, Rm. 3128, considerations in determining whether a information that you do not wish to be genetic variant database is a source of made publicly available, submit your Silver Spring, MD 20993–0002. Send one self-addressed adhesive label to valid scientific evidence that could comments only as a written/paper support the clinical validity of an NGS- submission. You should submit two assist that office in processing your request. based test. This draft guidance further copies total. One copy will include the outlines the process by which information you claim to be confidential FOR FURTHER INFORMATION CONTACT: administrators of genetic variant with a heading or cover note that states Personalized Medicine Staff, Center for databases could voluntarily apply to ‘‘THIS DOCUMENT CONTAINS Devices and Radiological Health, Food FDA for recognition, and how FDA CONFIDENTIAL INFORMATION.’’ The and Drug Administration, 10903 New would review such applications and Agency will review this copy, including Hampshire Ave., Bldg. 66, Rm. 4546, periodically reevaluate recognized the claimed confidential information, in Silver Spring, MD 20993–0002, 301– databases. its consideration of comments. The 796–7561, [email protected]; or Stephen second copy, which will have the Ripley, Center for Biologics Evaluation II. Significance of Guidance claimed confidential information and Research, Food and Drug This draft guidance is being issued redacted/blacked out, will be available Administration, 10903 New Hampshire consistent with FDA’s good guidance for public viewing and posted on http:// Ave., Bldg. 71, Rm. 7301, Silver Spring, practices regulation (21 CFR 10.115). www.regulations.gov. Submit both MD 20993–0002, 240–402–7911. The draft guidance, when finalized, will copies to the Division of Dockets SUPPLEMENTARY INFORMATION: represent the current thinking of FDA Management. If you do not wish your on ‘‘Use of Public Human Genetic I. Background name and contact information to be Variant Databases to Support Clinical made publicly available, you can This draft guidance document Validity for Next Generation Sequencing provide this information on the cover describes one part of FDA’s effort to (NGS)-Based In Vitro Diagnostics.’’ It sheet and not in the body of your create a flexible regulatory approach to does not establish any rights for any comments and you must identify this the oversight of NGS-based tests as part person and is not binding on FDA or the information as ‘‘confidential.’’ Any of the White House’s Precision public. You can use an alternative information marked as ‘‘confidential’’ Medicine Initiative (PMI). FDA held two approach if it satisfies the requirements will not be disclosed except in workshops on this issue: ‘‘Use of of the applicable statutes and accordance with 21 CFR 10.20 and other Databases for Establishing the Clinical regulations. applicable disclosure law. For more Relevance of Human Genetic Variants’’ information about FDA’s posting of on November 13, 2015, and ‘‘Patient and III. Electronic Access comments to public dockets, see 80 FR Medical Professional Perspectives on Persons interested in obtaining a copy 56469, September 18, 2015, or access the Return of Genetic Test Results’’ on of the draft guidance may do so by the information at: http://www.fda.gov/ March 2, 2016. The goal of this effort is downloading an electronic copy from regulatoryinformation/dockets/ to help ensure patients receive accurate the Internet. A search capability for all default.htm. and meaningful results, while Center for Devices and Radiological
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Health guidance documents is available Agencies to provide a 60-day notice in Based In Vitro Diagnostics’’ describes at http://www.fda.gov/MedicalDevices/ the Federal Register concerning each FDA’s considerations in determining DeviceRegulationandGuidance/ proposed collection of information whether a genetic variant database is a GuidanceDocuments/default.htm and before submitting the collection to OMB source of valid scientific evidence that for Center for Biologics Evaluation and for approval. To comply with this could support the clinical validity of an Research guidance documents is requirement, FDA is publishing notice NGS-based test. This draft guidance available at http://www.fda.gov/ of the proposed collection of further outlines the process by which BiologicsBloodVaccines/Guidance information set forth in this document. administrators 1 of genetic variant ComplianceRegulatoryInformation/ With respect to the following databases could voluntarily apply to Guidances/default.htm. Guidance collection of information, FDA invites FDA for recognition, and how FDA documents are also available at http:// comments on these topics: (1) Whether would review such applications and www.regulations.gov. Persons unable to the proposed collection of information periodically reevaluate recognized download an electronic copy of ‘‘Use of is necessary for the proper performance databases. The draft guidance also Public Human Genetic Variant of FDA’s functions, including whether recommends that, at the time of Databases to Support Clinical Validity the information will have practical recognition, the database administrator for Next Generation Sequencing (NGS)- utility; (2) the accuracy of FDA’s make information regarding policies, Based In Vitro Diagnostics’’ may send estimate of the burden of the proposed procedures, and conflicts of interest an email request to CDRH-Guidance@ collection of information, including the publicly available and accessible on the fda.hhs.gov to receive an electronic validity of the methodology and genetic variant database’s Web site. copy of the document. Please use the assumptions used; (3) ways to enhance Based on our experience and the document number 16008 to identify the the quality, utility, and clarity of the nature of the information, we estimate guidance you are requesting. information to be collected; and (4) that it will take an average of 80 hours ways to minimize the burden of the to complete and submit an application IV. Paperwork Reduction Act of 1995 collection of information on for recognition. We estimate that Under the Paperwork Reduction Act respondents, including through the use maintenance of recognition activities of 1995 (the PRA) (44 U.S.C. 3501– of automated collection techniques, will take approximately one-fourth of 3520), Federal Agencies must obtain when appropriate, and other forms of that time (20 hours) annually. We approval from the Office of Management information technology. estimate that it will take approximately and Budget (OMB) for each collection of 1 hour to post the information on the Use of Public Human Genetic Variant information they conduct or sponsor. Web site. Databases To Support Clinical Validity ‘‘Collection of information’’ is defined Respondents are administrators of for Next Generation Sequencing (NGS)- in 44 U.S.C. 3502(3) and 5 CFR genetic databases. Our estimate of five Based In Vitro Diagnostics OMB Control 1320.3(c) and includes Agency requests respondents per year is based on the Number 0910—NEW or requirements that members of the current number of databases that may public submit reports, keep records, or The draft guidance document ‘‘Use of meet FDA recommendations for provide information to a third party. Public Human Genetic Variant recognition and seek such recognition. Section 3506(c)(2)(A) of the PRA (44 Databases to Support Clinical Validity FDA estimates the burden of this U.S.C. 3506(c)(2)(A)) requires Federal for Next Generation Sequencing (NGS)- collection of information as follows:
TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
Number of Average Activity Number of responses per Total annual burden per Total respondents respondent responses response hours
Application for recognition of genetic database ...... 5 1 5 80 400 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
TABLE 2—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1
Number of Average Activity Number of records per Total annual burden per Total recordkeepers recordkeeper records recordkeeping hours
Maintenance of recognition activities ...... 5 1 5 20 100 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
1 FDA acknowledges that many databases may not committee of individuals that oversee the database. genetic variant database administrator is the entity use the term ‘‘administrator’’ or may have a Therefore, for the purpose of this guidance, a or entities that oversee database operations.
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TABLE 3—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN 1
Number of Number of disclosures Total Average Activity respondents per annual burden per Total hours respondent disclosures disclosure
Public disclosure of policies, procedures, and conflicts of interest ...... 5 1 5 1 5 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
This draft guidance also refers to actions may be appropriate with respect SUMMARY: The Food and Drug previously approved collections of to in IVDs supported by such assertions? Administration (FDA or Agency) is information. These collections of How often should FDA conduct ongoing announcing the availability of the draft information are subject to review by the review of an FDA-recognized database? guidance entitled ‘‘Use of Standards in OMB under the Paperwork Reduction 4. FDA notes that databases may have FDA Regulatory Oversight of Next Act of 1995 (44 U.S.C. 3501–3520). The ‘‘discordant calls’’ with other databases, Generation Sequencing (NGS)-Based In collections of information in the where the assertions for a variant in Vitro Diagnostics (IVDs) Used for guidance document ‘‘Requests for each database vary. While FDA believes Diagnosing Germline Diseases.’’ As part Feedback on Medical Device that these discordant calls often arise of the White House’s Precision Submissions: The Pre-Submission because one database has information Medicine Initiative (PMI),1 FDA is Program and Meetings with Food and the other does not and our proposed issuing this draft guidance to provide Drug Administration Staff’’ have been policy will mitigate these issues over FDA’s proposed approach on the approved under OMB control number time; what, if any, action should FDA content and possible use of standards in 0910–0756. The collections of take when it learns about discordant providing oversight for targeted and information regarding premarket calls between two databases with whole exome human DNA sequencing submissions have been approved as respect to database recognition or IVDs (WES) NGS-based tests intended to aid follows: The collections of information supported by such calls in FDA- in the diagnosis of individuals with in 21 CFR part 807, subpart E, have been recognized databases? suspected germline diseases or other approved under OMB control number 5. FDA has requested information conditions. This document provides 0910–0120; and the collections of regarding conflicts of interest for recommendations for designing, information in 21 CFR part 814, curators and personnel of databases developing, and validating NGS-based subparts A through E, have been seeking FDA recognition. FDA tests for germline diseases, and also approved under OMB control number acknowledges that many personnel discusses possible use of FDA- 0910–0231. involved with variant curation and recognized standards for regulatory interpretation may have some oversight of these tests. These V. Other Issues for Consideration connection to NGS test developers. recommendations are based on FDA’s The Agency invites comments on the What type of information should FDA understanding of the tools and draft guidance document entitled ‘‘Use collect and what policies should it processes needed to run an NGS-based of Public Human Genetic Variant implement to mitigate such potential test along with the design and analytical Databases to Support Clinical Validity conflicts of interest in FDA-recognized validation considerations appropriate for Next Generation Sequencing (NGS)- databases? for such tests. This draft guidance is not Based In Vitro Diagnostics,’’ in general, Dated: July 5, 2016. final nor is it in effect at this time. and on the following questions, in Leslie Kux, DATES: Although you can comment on particular: Associate Commissioner for Policy. any guidance at any time (see 21 CFR 1. Should the quality 10.115(g)(5)), to ensure that the Agency [FR Doc. 2016–16200 Filed 7–7–16; 8:45 am] recommendations outlined in the considers your comment of this draft guidance apply equally to databases of BILLING CODE 4164–01–P guidance before it begins work on the somatic variants and to germline final version of the guidance, submit variants? DEPARTMENT OF HEALTH AND either electronic or written comments 2. While this document applies to HUMAN SERVICES on the draft guidance by October 6, NGS-based tests, FDA expects that it 2016. may also be relevant to genetic tests that Food and Drug Administration use other technologies (e.g., polymerase ADDRESSES: You may submit comments chain reaction, Sanger sequencing, etc.). [Docket No. FDA–2016–D–1270] as follows: Are any additional considerations Electronic Submissions necessary to support the use of these Use of Standards in the Food and Drug Submit electronic comments in the databases in the premarket review of Administration’s Regulatory Oversight following way: tests using technologies other than NGS, of Next Generation Sequencing-Based • Federal eRulemaking Portal: http:// should FDA decide to apply this In Vitro Diagnostics Used for www.regulations.gov. Follow the approach more broadly in the future? Diagnosing Germline Diseases; Draft instructions for submitting comments. 3. FDA recognizes that the evidence Guidance for Stakeholders and Food Comments submitted electronically, linking specific variants to diseases or and Drug Administration Staff; including attachments, to http:// conditions will change over time, and as Availability www.regulations.gov will be posted to such, assertions about those variants AGENCY: Food and Drug Administration, may also change. If an assertion HHS. 1 The Precision Medicine Initiative found on the regarding a variant changes over time, ACTION: Notice of availability. White House’s Web site at: https:// how should FDA assess what regulatory www.whitehouse.gov/precision-medicine.
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the docket unchanged. Because your claimed confidential information Evaluation and Research, Food and comment will be made public, you are redacted/blacked out, will be available Drug Administration, 10903 New solely responsible for ensuring that your for public viewing and posted on http:// Hampshire Ave., Bldg. 71, Rm. 7301, comment does not include any www.regulations.gov. Submit both Silver Spring, MD 20993–0002, 240– confidential information that you or a copies to the Division of Dockets 402–7911. third party may not wish to be posted, Management. If you do not wish your SUPPLEMENTARY INFORMATION: such as medical information, your or name and contact information to be anyone else’s Social Security number, or made publicly available, you can I. Background confidential business information, such provide this information on the cover As part of the PMI, FDA is committed as a manufacturing process. Please note sheet and not in the body of your to implementing a flexible and adaptive that if you include your name, contact comments and you must identify this regulatory oversight approach, which information, or other information that information as ‘‘confidential.’’ Any fosters innovation and simultaneously identifies you in the body of your information marked as ‘‘confidential’’ assures that patients have access to comments, that information will be will not be disclosed except in accurate and meaningful test results. posted on http://www.regulations.gov. accordance with 21 CFR 10.20 and other FDA held two public workshops on this • If you want to submit a comment applicable disclosure law. For more issue: ‘‘Optimizing FDA’s Regulatory with confidential information that you information about FDA’s posting of Oversight of Next Generation do not wish to be made available to the comments to public dockets, see 80 FR Sequencing Diagnostic Tests Public public, submit the comment as a 56469, September 18, 2015, or access Workshop’’ held on February 20, 2015, written/paper submission and in the the information at: http://www.fda.gov/ and ‘‘Standards Based Approach to manner detailed (see ‘‘Written/Paper regulatoryinformation/dockets/ Analytical Performance Evaluation of Submissions’’ and ‘‘Instructions’’). default.htm. Next Generation Sequencing In Vitro Written/Paper Submissions Docket: For access to the docket to Diagnostic Tests’’ held on November 12, read background documents or the Submit written/paper submissions as 2016. This guidance document, when electronic and written/paper comments finalized, provides recommendations for follows: received, go to http://www.regulations • Mail/Hand delivery/Courier (for designing, developing, and validating .gov and insert the docket number, written/paper submissions): Division of for targeted and whole exome human found in brackets in the heading of this Dockets Management (HFA–305), Food DNA sequencing (WES) NGS-based tests document, into the ‘‘Search’’ box and and Drug Administration, 5630 Fishers intended to aid in the diagnosis of follow the prompts and/or go to the Lane, Rm. 1061, Rockville, MD 20852. individuals with suspected germline • For written/paper comments Division of Dockets Management, 5630 diseases or other conditions (hereinafter submitted to the Division of Dockets Fishers Lane, Rm. 1061, Rockville, MD referred to as ‘‘NGS-based tests for Management, FDA will post your 20852. germline diseases’’ or ‘‘NGS-based An electronic copy of the guidance comment, as well as any attachments, tests’’). It also outlines considerations document is available for download except for information submitted, for possibly classifying certain NGS- from the Internet. See the marked and identified, as confidential, based tests for germline diseases in class SUPPLEMENTARY INFORMATION section for if submitted as detailed in II and exempting them from premarket information on electronic access to the ‘‘Instructions.’’ notification requirements. Upon Instructions: All submissions received guidance. Submit written requests for a finalization of this guidance, these must include the Docket No. FDA– single hard copy of the draft guidance recommendations should be used as 2016–D–1270 for ‘‘Use of Standards in document entitled ‘‘Use of Standards in guidelines for test developers for FDA Regulatory Oversight of Next FDA Regulatory Oversight of Next premarket submissions. However, the Generation Sequencing (NGS)-Based In Generation Sequencing (NGS)-Based In longer-term goal is for these Vitro Diagnostics (IVDs) Used for Vitro Diagnostics (IVDs) Used for recommendations to form the basis for Diagnosing Germline Diseases.’’ Diagnosing Germline Diseases’’ to the standards that FDA could recognize or Received comments will be placed in Office of the Center Director, Guidance for special controls and/or conditions the docket and, except for those and Policy Development, Center for for premarket notification (510(k)) submitted as ‘‘Confidential Devices and Radiological Health, Food exemption. FDA is also issuing a draft Submissions,’’ publicly viewable at and Drug Administration, 10903 New guidance entitled ‘‘Use of Public Human http://www.regulations.gov or at the Hampshire Ave., Bldg. 66, Rm. 5431, Genetic Variant Databases to Support Division of Dockets Management Silver Spring, MD 20993–0002; or the Clinical Validity for Next Generation between 9 a.m. and 4 p.m., Monday Office of Communication, Outreach, and Sequencing (NGS)-Based In Vitro through Friday. Development, Center for Biologics Diagnostics’’ which is being issued • Confidential Submissions—To Evaluation and Research, Food and concurrently elsewhere in this issue of submit a comment with confidential Drug Administration, 10903 New the Federal Register. information that you do not wish to be Hampshire Ave., Bldg. 71, Rm. 3128, II. Significance of Guidance made publicly available, submit your Silver Spring, MD 20993–0002. Send comments only as a written/paper one self-addressed adhesive label to This draft guidance is being issued submission. You should submit two assist that office in processing your consistent with FDA’s good guidance copies total. One copy will include the request. practices regulation (21 CFR 10.115). information you claim to be confidential FOR FURTHER INFORMATION CONTACT: The draft guidance, when finalized, will with a heading or cover note that states Personalized Medicine Staff, Center for represent the current thinking of FDA ‘‘THIS DOCUMENT CONTAINS Devices and Radiological Health, Food on use of standards in FDA regulatory CONFIDENTIAL INFORMATION.’’ The and Drug Administration, 10903 New oversight of NGS-based IVDs used for Agency will review this copy, including Hampshire Ave., Bldg. 66, Rm. 4544, diagnosing germline diseases. It does the claimed confidential information, in Silver Spring, MD 20993–0002, 301– not establish any rights for any person its consideration of comments. The 796–6206; or [email protected]; or and is not binding on FDA or the public. second copy, which will have the Stephen Ripley, Center for Biologics You can use an alternative approach if
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it satisfies the requirements of the V. Other Issues for Consideration calculated using only analytical results applicable statutes and regulations. The Agency invites comments on the without taking into account prevalence in a population, it is sometimes called III. Electronic Access draft guidance document entitled ‘‘Use of Standards in FDA Regulatory ‘‘technical’’ PPV (TPPV) to distinguish it Persons interested in obtaining a copy Oversight of Next Generation from prevalence-based PPV. What are of the draft guidance may do so by Sequencing (NGS)-Based In Vitro the benefits and weaknesses to assessing downloading an electronic copy from Diagnostics (IVDs) Used for Diagnosing NGS-based test accuracy using TPPV in the Internet. A search capability for all Germline Diseases,’’ in general, and on addition to PPA and NPA, or instead of Center for Devices and Radiological the following questions, in particular: NPA? Health guidance documents is available 1. Does the draft guidance content 5. Are the minimum performance at http://www.fda.gov/MedicalDevices/ adequately address the analytical thresholds presented in this draft DeviceRegulationandGuidance/ performance of targeted and whole guidance appropriate, or are alternative GuidanceDocuments/default.htm, and exome human DNA sequencing (WES) thresholds more appropriate? Are there for Center for Biologics Evaluation and NGS-based tests intended to aid in the ‘‘best ways’’ to determine acceptable Research guidance documents is diagnosis of individuals with suspected thresholds for each metric? Are there available at http://www.fda.gov/ germline diseases or other conditions performance metrics that do not require BiologicsBloodVaccines/ (referred to as ‘‘NGS-based tests for minimum thresholds? Are there test scenarios where minimum thresholds GuidanceCompliance germline diseases’’ or ‘‘NGS-based tests’’ are not useful or relevant? RegulatoryInformation/Guidances/ in the guidance)? For example, do the 6. How can bias and over-fitting be default.htm. Guidance documents are recommendations outlined in the draft minimized or accounted for if known also available at http:// guidance adequately address the ‘‘reference’’ samples are used as www.regulations.gov. Persons unable to analytical performance of NGS-based comparators in accuracy studies? download an electronic copy of ‘‘Use of tests used as an aid in diagnosis of Standards in FDA Regulatory Oversight patients with signs and symptoms of Dated: July 5, 2016. of Next Generation Sequencing (NGS)- developmental delay or intellectual Leslie Kux, Based In Vitro Diagnostics (IVDs) Used disability, undiagnosed diseases, or Associate Commissioner for Policy. for Diagnosing Germline Diseases’’ may hereditary cancer syndromes? If not, [FR Doc. 2016–16201 Filed 7–7–16; 8:45 am] send an email request to CDRH- what additional test design, BILLING CODE 4164–01–P [email protected] to receive an development, or validation activities are electronic copy of the document. Please necessary for analytical validation of use the document number 16009 to such tests? Are there specific DEPARTMENT OF HEALTH AND identify the guidance you are indications within this broad intended HUMAN SERVICES requesting. use that require different or additional test design, development, or validation Food and Drug Administration IV. Paperwork Reduction Act of 1995 activities from those described in the draft guidance? [Docket No. FDA–2014–N–1206] This guidance refers to previously 2. Do the recommendations in the approved collections of information Authorization of Emergency Use of an draft guidance adequately address the In Vitro Diagnostic Device for found in FDA regulations. These analytical validation of NGS-based tests collections of information are subject to Detection of Ebola Zaire Virus; that use targeted panels or WES? Availability review by the Office of Management and Targeted sequencing panels? Are there Budget (OMB) under the Paperwork differences between the use of targeted AGENCY: Food and Drug Administration, Reduction Act of 1995 (44 U.S.C. 3501– panels and WES that were not HHS. 3520). The collections of information in adequately distinguished in the ACTION: Notice. 21 CFR part 807, subpart E, regarding recommendations described in the draft premarket notification submissions, guidance? SUMMARY: The Food and Drug have been approved under OMB control 3. The recommendations in this Administration (FDA) is announcing the number 0910–0120; the collections of document focus on WES and targeted issuance of an Emergency Use information in 21 CFR part 801 and 21 NGS-based tests for germline diseases. Authorization (EUA) (the Authorization) CFR 809.10, regarding labeling, have Are the recommendations outlined in for an in vitro diagnostic device for been approved under OMB control the guidance sufficient to address detection of the Ebola Zaire virus in number 0910–0485; the collections of analytical validation for whole genome response to the Ebola virus outbreak in information in 21 CFR part 814, sequencing (WGS) NGS-based tests for West Africa. FDA issued this subparts A through E, regarding germline diseases? If not, what Authorization under the Federal Food, premarket approval, have been additional test design, development, Drug, and Cosmetic Act (the FD&C Act), approved under OMB control number and validation activities are needed to as requested by Biocartis NV. The 0910–0231; the collections of address the analytical validation of such Authorization contains, among other information in 21 CFR part 820, tests? things, conditions on the emergency use regarding the quality system regulation, 4. Accuracy is generally described of the authorized in vitro diagnostic have been approved under OMB control using an agreement, typically positive device. The Authorization follows the number 0910–0073; and the collections and negative percent agreement (PPA September 22, 2006, determination by of information in the guidance and NPA), between a new test and an then-Secretary of the Department of document ‘‘Requests for Feedback on accepted reference method. For NGS- Homeland Security (DHS), Michael Medical Device Submissions: The Pre- based tests, positive predictive value Chertoff, that the Ebola virus presents a Submission Program and Meetings with (PPV) may be a more meaningful metric material threat against the U.S. Food and Drug Administration Staff’’ than NPA when calculating the population sufficient to affect national have been approved under OMB control likelihood that a variant call detected by security. On the basis of such number 0910–0756. the test is a true positive. If PPV is determination, the Secretary of Health
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and Human Services (HHS) declared on potential for a domestic emergency, referred to in a declaration of emergency August 5, 2014, that circumstances exist involving a heightened risk of attack or threat can cause a serious or life- justifying the authorization of with a biological, chemical, radiological, threatening disease or condition; (2) emergency use of in vitro diagnostic or nuclear agent or agents; (2) a that, based on the totality of scientific devices for detection of Ebola virus, determination by the Secretary of evidence available to FDA, including subject to the terms of any authorization Defense that there is a military data from adequate and well-controlled issued under the FD&C Act. The emergency, or a significant potential for clinical trials, if available, it is Authorization, which includes an a military emergency, involving a reasonable to believe that: (A) The explanation of the reasons for issuance, heightened risk to U.S. military forces of product may be effective in diagnosing, is reprinted in this document. attack with a biological, chemical, treating, or preventing (i) such disease DATES: The Authorization is effective as radiological, or nuclear agent or agents; or condition; or (ii) a serious or life- of May 26, 2016. (3) a determination by the Secretary of threatening disease or condition caused ADDRESSES: Submit written requests for HHS that there is a public health by a product authorized under section single copies of the EUA to the Office emergency, or a significant potential for 564, approved or cleared under the of Counterterrorism and Emerging a public health emergency, that affects, FD&C Act, or licensed under section 351 Threats, Food and Drug Administration, or has a significant potential to affect, of the PHS Act, for diagnosing, treating, 10903 New Hampshire Ave., Bldg. 1, national security or the health and or preventing such a disease or Rm. 4338, Silver Spring, MD 20993– security of U.S. citizens living abroad, condition caused by such an agent; and 0002. Send one self-addressed adhesive and that involves a biological, chemical, (B) the known and potential benefits of label to assist that office in processing radiological, or nuclear agent or agents, the product, when used to diagnose, your request or include a fax number to or a disease or condition that may be prevent, or treat such disease or which the Authorization may be sent. attributable to such agent or agents; or condition, outweigh the known and See the SUPPLEMENTARY INFORMATION (4) the identification of a material threat potential risks of the product, taking section for electronic access to the by the Secretary of Homeland Security into consideration the material threat Authorization. under section 319F–2 of the Public posed by the agent or agents identified Health Service (PHS) Act (42 U.S.C. in a declaration under section FOR FURTHER INFORMATION CONTACT: 247d-6b) sufficient to affect national Carmen Maher, Office of 564(b)(1)(D) of the FD&C Act, if security or the health and security of applicable; (3) that there is no adequate, Counterterrorism and Emerging Threats, U.S. citizens living abroad. Food and Drug Administration, 10903 approved, and available alternative to Once the Secretary of HHS has the product for diagnosing, preventing, New Hampshire Ave., Bldg. 1, Rm. declared that circumstances exist 4347, Silver Spring, MD 20993–0002, or treating such disease or condition; justifying an authorization under and (4) that such other criteria as may 301–796–8510 (this is not a toll free section 564 of the FD&C Act, FDA may number). be prescribed by regulation are satisfied. authorize the emergency use of a drug, No other criteria for issuance have SUPPLEMENTARY INFORMATION: device, or biological product if the been prescribed by regulation under I. Background Agency concludes that the statutory section 564(c)(4) of the FD&C Act. criteria are satisfied. Under section Because the statute is self-executing, Section 564 of the FD&C Act (21 564(h)(1) of the FD&C Act, FDA is regulations or guidance are not required U.S.C. 360bbb–3) as amended by the required to publish in the Federal for FDA to implement the EUA Project BioShield Act of 2004 (Pub. L. Register a notice of each authorization, authority. 108–276) and the Pandemic and All- and each termination or revocation of an Hazards Preparedness Reauthorization authorization, and an explanation of the II. EUA Request for an In Vitro Act of 2013 (Pub. L. 113–5) allows FDA reasons for the action. Section 564 of the Diagnostic Device for Detection of the to strengthen the public health FD&C Act permits FDA to authorize the Ebola Zaire Virus protections against biological, chemical, introduction into interstate commerce of On September 22, 2006, then- nuclear, and radiological agents. Among a drug, device, or biological product Secretary of DHS, Michael Chertoff, other things, section 564 of the FD&C intended for use when the Secretary of determined that the Ebola virus presents Act allows FDA to authorize the use of HHS has declared that circumstances a material threat against the U.S. an unapproved medical product or an exist justifying the authorization of population sufficient to affect national unapproved use of an approved medical emergency use. Products appropriate for security 2. On August 5, 2014, under product in certain situations. With this emergency use may include products section 564(b)(1) of the FD&C Act and EUA authority, FDA can help assure and uses that are not approved, cleared, on the basis of such determination, the that medical countermeasures may be or licensed under sections 505, 510(k), Secretary of HHS declared that used in emergencies to diagnose, treat, or 515 of the FD&C Act (21 U.S.C. 355, circumstances exist justifying the or prevent serious or life-threatening 360(k), and 360e) or section 351 of the authorization of emergency use of in diseases or conditions caused by PHS Act (42 U.S.C. 262). FDA may issue vitro diagnostic devices for detection of biological, chemical, nuclear, or an EUA only if, after consultation with Ebola virus, subject to the terms of any radiological agents when there are no the HHS Assistant Secretary for authorization issued under section 564 adequate, approved, and available Preparedness and Response, the of the FD&C Act. Notice of the alternatives. Director of the National Institutes of declaration of the Secretary was Section 564(b)(1) of the FD&C Act Health, and the Director of the Centers published in the Federal Register on provides that, before an EUA may be for Disease Control and Prevention (to issued, the Secretary of HHS must the extent feasible and appropriate 2 Under section 564(b)(1) of the FD&C Act, the declare that circumstances exist given the applicable circumstances), HHS Secretary’s declaration that supports the EUA justifying the authorization based on issuance must be based on one of four FDA 1 concludes: (1) That an agent one of the following grounds: (1) A determinations, including the identification by the DHS Secretary of a material threat under section determination by the Secretary of 1 The Secretary of HHS has delegated the 319F–2 of the PHS Act sufficient to affect national Homeland Security that there is a authority to issue an EUA under section 564 of the security or the health and security of U.S. citizens domestic emergency, or a significant FD&C Act to the Commissioner of Food and Drugs. living abroad (section 564(b)(1)(D) of the FD&C Act.
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August 12, 2014 (79 FR 47141). On May Authorization are available on the in the West Africa outbreak in 2014) 2, 2016, Biocartis NV submitted a Internet at http://www.regulations.gov. subject to the terms of the complete request for, and on May 26, Authorization. The Authorization in its IV. The Authorization 2016, FDA issued, an EUA for the entirety (not including the authorized IdyllaTM Ebola Virus Triage Test, subject Having concluded that the criteria for versions of the fact sheets and other to the terms of the Authorization. issuance of the Authorization under written materials) follows and provides section 564(c) of the FD&C Act are met, an explanation of the reasons for its III. Electronic Access FDA has authorized the emergency use issuance, as required by section An electronic version of this of an in vitro diagnostic device for 564(h)(1) of the FD&C Act: document and the full text of the detection of Ebola Zaire virus (detected BILLING CODE 4164–01–P
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I. Criteria for Issuance of Authorization
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Dated: July 1, 2016. Leslie Kux, Associate Commissioner for Policy. [FR Doc. 2016–16176 Filed 7–7–16; 8:45 am] BILLING CODE 4164–01–C
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DEPARTMENT OF HEALTH AND written/paper submission and in the the information at: http://www.fda.gov/ HUMAN SERVICES manner detailed (see ‘‘Written/Paper regulatoryinformation/dockets/ Submissions’’ and ‘‘Instructions’’). default.htm. Food and Drug Administration Written/Paper Submissions Docket: For access to the docket to [Docket No. FDA–2013–N–0795] Submit written/paper submissions as read background documents or the electronic and written/paper comments Agency Information Collection follows: • received, go to http:// Activities; Proposed Collection; Mail/Hand delivery/Courier (for www.regulations.gov and insert the Comment Request; Medical Devices; written/paper submissions): Division of Third-Party Review Under the Food Dockets Management (HFA–305), Food docket number, found in brackets in the and Drug Administration and Drug Administration, 5630 Fishers heading of this document, into the Modernization Act Lane, Rm. 1061, Rockville, MD 20852. ‘‘Search’’ box and follow the prompts • For written/paper comments and/or go to the Division of Dockets AGENCY: Food and Drug Administration, submitted to the Division of Dockets Management, 5630 Fishers Lane, Rm. HHS. Management, FDA will post your 1061, Rockville, MD 20852. ACTION: Notice. comment, as well as any attachments, except for information submitted, FOR FURTHER INFORMATION CONTACT: FDA SUMMARY: The Food and Drug marked and identified, as confidential, PRA Staff, Office of Operations, Food Administration (FDA) is announcing an if submitted as detailed in and Drug Administration, Three White opportunity for public comment on the ‘‘Instructions.’’ Flint North, 10A63, 11601 Landsdown proposed collection of certain Instructions: All submissions received St., North Bethesda, MD 20852, information by the Agency. Under the must include the Docket No. FDA– [email protected]. Paperwork Reduction Act of 1995 (the 2013–N–0795 for ‘‘Agency Information PRA), Federal Agencies are required to Collection Activities; Proposed SUPPLEMENTARY INFORMATION: Under the publish notice in the Federal Register Collection; Comment Request; Medical PRA (44 U.S.C. 3501–3520), Federal concerning each proposed collection of Devices; Third-Party Review Under the Agencies must obtain approval from the information, including each proposed Food and Drug Administration Office of Management and Budget extension of an existing collection of Modernization Act.’’ Received (OMB) for each collection of information, and to allow 60 days for comments will be placed in the docket information they conduct or sponsor. public comment in response to the and, except for those submitted as ‘‘Collection of information’’ is defined notice. This notice solicits comments on ‘‘Confidential Submissions,’’ publicly in 44 U.S.C. 3502(3) and 5 CFR the information collection associated viewable at http://www.regulations.gov 1320.3(c) and includes Agency requests with medical devices third-party review or at the Division of Dockets or requirements that members of the under the Food and Drug Management between 9 a.m. and 4 p.m., public submit reports, keep records, or Administration Modernization Act. Monday through Friday. provide information to a third party. • DATES: Submit either electronic or Confidential Submissions—To Section 3506(c)(2)(A) of the PRA (44 written comments on the collection of submit a comment with confidential U.S.C. 3506(c)(2)(A)) requires Federal information by September 6, 2016. information that you do not wish to be Agencies to provide a 60-day notice in made publicly available, submit your ADDRESSES: You may submit comments the Federal Register concerning each comments only as a written/paper as follows: proposed collection of information, submission. You should submit two including each proposed extension of an Electronic Submissions copies total. One copy will include the information you claim to be confidential existing collection of information, Submit electronic comments in the before submitting the collection to OMB following way: with a heading or cover note that states • Federal eRulemaking Portal: http:// ‘‘THIS DOCUMENT CONTAINS for approval. To comply with this www.regulations.gov. Follow the CONFIDENTIAL INFORMATION.’’ The requirement, FDA is publishing notice instructions for submitting comments. Agency will review this copy, including of the proposed collection of Comments submitted electronically, the claimed confidential information, in information set forth in this document. including attachments, to http:// its consideration of comments. The With respect to the following www.regulations.gov will be posted to second copy, which will have the collection of information, FDA invites the docket unchanged. Because your claimed confidential information comments on these topics: (1) Whether comment will be made public, you are redacted/blacked out, will be available the proposed collection of information solely responsible for ensuring that your for public viewing and posted on http:// is necessary for the proper performance comment does not include any www.regulations.gov. Submit both of FDA’s functions, including whether confidential information that you or a copies to the Division of Dockets the information will have practical third party may not wish to be posted, Management. If you do not wish your utility; (2) the accuracy of FDA’s such as medical information, your or name and contact information to be estimate of the burden of the proposed made publicly available, you can anyone else’s Social Security number, or collection of information, including the provide this information on the cover confidential business information, such validity of the methodology and as a manufacturing process. Please note sheet and not in the body of your assumptions used; (3) ways to enhance that if you include your name, contact comments and you must identify this the quality, utility, and clarity of the information, or other information that information as ‘‘confidential.’’ Any information to be collected; and (4) identifies you in the body of your information marked as ‘‘confidential’’ comments, that information will be will not be disclosed except in ways to minimize the burden of the posted on http://www.regulations.gov. accordance with 21 CFR 10.20 and other collection of information on • If you want to submit a comment applicable disclosure law. For more respondents, including through the use with confidential information that you information about FDA’s posting of of automated collection techniques, do not wish to be made available to the comments to public dockets, see 80 FR when appropriate, and other forms of public, submit the comment as a 56469, September 18, 2015, or access information technology.
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Medical Devices; Third-Party Review a request for accreditation to FDA. efficiency of 510(k) review for low- to Under the Food and Drug Accredited third-party reviewers have moderate-risk devices. Administration Modernization Act— the ability to review a manufacturer’s Respondents to this information OMB Control Number 0910–0375— 510(k) submission for selected devices. collection are businesses or other for- Extension After reviewing a submission, the profit organizations. reviewer will forward a copy of the FDA receives an average of one Section 210 of the Food and Drug 510(k) submission, along with the application for accreditation for third- Administration Modernization Act reviewer’s documented review and party review per year. According to (FDAMA) established section 523 of the recommendation, to FDA. Third-party FDA’s data, the number of 510(k)s Federal Food, Drug, and Cosmetic Act reviewers should maintain records of submitted for third-party review is (21 U.S.C. 360m), directing FDA to their 510(k) reviews and a copy of the approximately 260 annually, which is accredit persons in the private sector to 510(k) for a reasonable period of time, 26 annual reviews per each of the 10 review certain premarket notifications usually a period of 3 years. accredited reviewers. Third-party (510(k)s). Participation in this third- This information collection will allow reviewers are required to keep records party review program by accredited FDA to continue to implement the of their review of each submission. persons is entirely voluntary. A third accredited person review program FDA estimates the burden of this party wishing to participate will submit established by FDAMA and improve the collection of information as follows:
TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
Number of Average Activity Number of responses per Total annual burden per Total hours respondents respondent responses response
Requests for accreditation ...... 1 1 1 24 24 510(k) reviews conducted by accredited third parties ...... 10 26 260 40 10,400
Total ...... 10,424 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
TABLE 2—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1
Number of Average Activity Number of records per Total annual burden per Total hours recordkeepers recordkeeper records recordkeeping
510(k) reviews ...... 10 26 260 10 2,600 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
Dated: July 1, 2016. Elemental Impurities. The purpose of WhiteOakCampusInformation/ Leslie Kux, the public workshop is to elaborate key ucm241740.htm. Associate Commissioner for Policy. aspects of the ICH Guideline Q3D: FOR FURTHER INFORMATION CONTACT: [FR Doc. 2016–16158 Filed 7–7–16; 8:45 am] Guideline on Elemental Impurities in Amanda Roache, Food and Drug BILLING CODE 4164–01–P order facilitate a harmonized Administration, 10903 New Hampshire interpretation and implementation by Ave., Bldg. 51, Rm. 1176, Silver Spring, industry and regulators. It is not MD 20993, 301–796–4548, email: DEPARTMENT OF HEALTH AND intended to provide additional guidance [email protected]. HUMAN SERVICES beyond the scope of Q3D. The meeting SUPPLEMENTARY INFORMATION: will take place on the FDA campus and The ICH Food and Drug Administration also be broadcast on the Web allowing brings together regulatory authorities and pharmaceutical industry to discuss [Docket No. FDA–2016–N–0001] participants to join in person or via the Web. scientific and technical aspects of drug registration. The ICH’s mission is to Regional Public Workshop on the DATES: The public workshop will be achieve greater harmonization International Council for held on August 22 and 23, from 9 a.m. worldwide to ensure that safe, effective, Harmonization of Technical to 5 p.m., EST. See the SUPPLEMENTARY and high quality medicines are Requirements for Pharmaceuticals for INFORMATION section for information on developed and registered in the most Human Use Q3D Implementation of how to register. resource-efficient manner. The ICH Q3D Guideline for Elemental Impurities; ADDRESSES: The public workshop will Guideline was developed by the ICH to Public Workshop be held at 10903 New Hampshire Ave., provide a global policy for limiting AGENCY: Food and Drug Administration, Bldg. 31, Rm. 1503B/C, Silver Spring, elemental impurities qualitatively and HHS. MD 20993. The entrance for the public quantitatively in drug products and ACTION: Notice of public workshop. workshop participants (non-FDA ingredients. Following finalization of employees) is through Building 1 where this Guideline, an Implementation SUMMARY: The Food and Drug routine security check procedures will Working Group was established to Administration (FDA) is announcing a be performed. For parking and security develop a comprehensive training public workshop entitled: Regional information, please refer to http:// program and supporting documents Public Workshop on ICH Q3D www.fda.gov/AboutFDA/ sponsored by ICH to ensure the proper Implementation of Guideline for WorkingatFDA/BuildingsandFacilities/ interpretation and effective utilization
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by industry and regulators alike to accommodations because of a disability, 0002. Send one self-addressed adhesive enable a harmonized and smooth please contact Amanda Roache (see FOR label to assist that office in processing implementation of Q3D on a global FURTHER INFORMATION CONTACT) at least 7 your request or include a fax number to basis. days before the meeting. which the Authorization may be sent. The U.S. regional workshop is Dated: July 1, 2016. See the SUPPLEMENTARY INFORMATION intended to clarify key aspects of ICH section for electronic access to the Leslie Kux, Q3D: Guideline on Elemental Impurities Authorization. Associate Commissioner for Policy. by elaborating on those key topics. It FOR FURTHER INFORMATION CONTACT [FR Doc. 2016–16152 Filed 7–7–16; 8:45 am] : will include: (1) A discussion of how to Carmen Maher, Office of BILLING CODE 4164–01–P apply Q3D concepts to routes of Counterterrorism and Emerging Threats, administration, not addressed in Q3D, Food and Drug Administration, 10903 (2) justification for elemental impurity New Hampshire Ave., Bldg. 1, Rm. levels higher than an established DEPARTMENT OF HEALTH AND HUMAN SERVICES 4347, Silver Spring, MD 20993–0002, permissible daily exposure (PDE) (3) 301–796–8510 (this is not a toll free application of Q3D concepts to Food and Drug Administration number). determine safe levels of elements not included in Q3D, (4) discussion of the [Docket No. FDA–2016–N–1486] SUPPLEMENTARY INFORMATION: rationale for limits on large volume I. Background parenterals, (5) elaboration of the Authorization of Emergency Use of an concepts outlined in the Q3D Sections In Vitro Diagnostic Device for Section 564 of the FD&C Act (21 on Risk Assessment and Control of Detection of Zika Virus; Availability U.S.C. 360bbb–3) as amended by the Elemental Impurities and (6) options for Project BioShield Act of 2004 (Pub. L. AGENCY: Food and Drug Administration, 108–276) and the Pandemic and All- converting between PDEs and HHS. concentrations. Hazards Preparedness Reauthorization In addition, case studies may be ACTION: Notice. Act of 2013 (Pub. L. 113–5) allows FDA to strengthen the public health presented to illustrate the concepts SUMMARY: The Food and Drug described previously, and frequently protections against biological, chemical, Administration (FDA) is announcing the nuclear, and radiological agents. Among asked questions will be discussed. The issuance of an Emergency Use presentation of the material will follow other things, section 564 of the FD&C Authorization (EUA) (the Authorization) Act allows FDA to authorize the use of the modules that are available on the for an in vitro diagnostic device for ICH Web site, www.ich.org, and will an unapproved medical product or an detection of the Zika virus in response unapproved use of an approved medical include time for questions and to the Zika virus outbreak in the discussion. Breakout sessions will be product in certain situations. With this Americas. FDA issued this EUA authority, FDA can help assure provided to discuss key topics and Authorization under the Federal Food, provide feedback to participants. that medical countermeasures may be Drug, and Cosmetic Act (the FD&C Act), used in emergencies to diagnose, treat, Material will be presented by members as requested by Hologic, Inc. The of the ICH Q3D Implementation or prevent serious or life-threatening Authorization contains, among other diseases or conditions caused by Working Group. The agenda for the things, conditions on the emergency use workshop will be made available on the biological, chemical, nuclear, or of the authorized in vitro diagnostic radiological agents when there are no internet at http://www.fda.gov/Drugs/ device. The Authorization follows the NewsEvents/ucm498553.htm. adequate, approved, and available February 26, 2016, determination by the Registration: If you wish to attend this alternatives. Secretary of Health and Human Services meeting, visit the following Web site to Section 564(b)(1) of the FD&C Act register: https://www.eventbrite.com/e/ (HHS) that there is a significant provides that, before an EUA may be regional-public-workshop-on-ich-q3d- potential for a public health emergency issued, the Secretary of HHS must implementation-of-guideline-for- that has a significant potential to affect declare that circumstances exist elemental-impurities-tickets- national security or the health and justifying the authorization based on 25492458630. Please register by August security of U.S. citizens living abroad one of the following grounds: (1) A 15, 2016. If you are unable to attend the and that involves Zika virus. On the determination by the Secretary of meeting in person, you can register to basis of such determination, the Homeland Security that there is a view a live Webcast on the meeting. You Secretary of HHS declared on February domestic emergency, or a significant will be asked to indicate in your 26, 2016, that circumstances exist potential for a domestic emergency, registration if you plan to attend in justifying the authorization of involving a heightened risk of attack person or via the Webcast. Your emergency use of in vitro diagnostic with a biological, chemical, radiological, registration must also contain your tests for detection of Zika virus and/or or nuclear agent or agents; (2) a complete contact information, including diagnosis of Zika virus infection, subject determination by the Secretary of name, title, affiliation, address, email to the terms of any authorization issued Defense that there is a military address, and phone number. under the FD&C Act. The Authorization, emergency, or a significant potential for Registrations may be limited, so early which includes an explanation of the a military emergency, involving a registration is recommended. reasons for issuance, is reprinted in this heightened risk to U.S. military forces of Registration is free and will be on a first- document. attack with a biological, chemical, come, first-served basis. However, the DATES: The Authorization is effective as radiological, or nuclear agent or agents; number of participants from each of June 17, 2016. (3) a determination by the Secretary of organization may be limited based on ADDRESSES: Submit written requests for HHS that there is a public health space limitations. Registrants will single copies of the EUA to the Office emergency, or a significant potential for receive confirmation once they have of Counterterrorism and Emerging a public health emergency, that affects, been accepted. Onsite registration on Threats, Food and Drug Administration, or has a significant potential to affect, the day of the meeting will be based on 10903 New Hampshire Ave., Bldg. 1, national security or the health and space availability. If you need special Rm. 4338, Silver Spring, MD 20993– security of U.S. citizens living abroad,
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and that involves a biological, chemical, FDA 1 concludes: (1) That an agent significant potential for a public health radiological, or nuclear agent or agents, referred to in a declaration of emergency emergency that has a significant or a disease or condition that may be or threat can cause a serious or life- potential to affect national security or attributable to such agent or agents; or threatening disease or condition; (2) the health and security of U.S. citizens (4) the identification of a material threat that, based on the totality of scientific living abroad and that involves Zika by the Secretary of Homeland Security evidence available to FDA, including virus. On February 26, 2016, under under section 319F–2 of the Public data from adequate and well-controlled section 564(b)(1) of the FD&C Act, and Health Service (PHS) Act (42 U.S.C. clinical trials, if available, it is on the basis of such determination, the 247d–6b) sufficient to affect national reasonable to believe that: (A) The Secretary of HHS declared that product may be effective in diagnosing, security or the health and security of circumstances exist justifying the treating, or preventing (i) such disease U.S. citizens living abroad. authorization of emergency use of in or condition; or (ii) a serious or life- Once the Secretary of HHS has threatening disease or condition caused vitro diagnostic tests for detection of declared that circumstances exist by a product authorized under section Zika virus and/or diagnosis of Zika justifying an authorization under 564, approved or cleared under the virus infection, subject to the terms of section 564 of the FD&C Act, FDA may FD&C Act, or licensed under section 351 any authorization issued under section authorize the emergency use of a drug, of the PHS Act, for diagnosing, treating, 564 of the FD&C Act. Notice of the device, or biological product if the or preventing such a disease or determination and declaration of the Agency concludes that the statutory condition caused by such an agent; and Secretary was published in the Federal criteria are satisfied. Under section (B) the known and potential benefits of Register on March 2, 2016 (81 FR 564(h)(1) of the FD&C Act, FDA is the product, when used to diagnose, 10878). On June 15, 2016, Hologic, Inc. required to publish in the Federal prevent, or treat such disease or requested, and on June 17, 2016, FDA ® Register a notice of each authorization, condition, outweigh the known and issued, an EUA for the Aptima Zika and each termination or revocation of an potential risks of the product, taking Virus assay, subject to the terms of the authorization, and an explanation of the into consideration the material threat Authorization. posed by the agent or agents identified reasons for the action. Section 564 of the in a declaration under section III. Electronic Access FD&C Act permits FDA to authorize the 564(b)(1)(D) of the FD&C Act, if An electronic version of this introduction into interstate commerce of applicable; (3) that there is no adequate, a drug, device, or biological product approved, and available alternative to document and the full text of the intended for use when the Secretary of the product for diagnosing, preventing, Authorization are available on the HHS has declared that circumstances or treating such disease or condition; Internet at http://www.regulations.gov. exist justifying the authorization of and (4) that such other criteria as may IV. The Authorization emergency use. Products appropriate for be prescribed by regulation are satisfied. emergency use may include products No other criteria for issuance have Having concluded that the criteria for and uses that are not approved, cleared, been prescribed by regulation under issuance of the Authorization under or licensed under sections 505, 510(k), section 564(c)(4) of the FD&C Act. section 564(c) of the FD&C Act are met, or 515 of the FD&C Act (21 U.S.C. 355, Because the statute is self-executing, FDA has authorized the emergency use 360(k), and 360e) or section 351 of the regulations or guidance are not required of an in vitro diagnostic device for PHS Act (42 U.S.C. 262). FDA may issue for FDA to implement the EUA detection of Zika virus subject to the an EUA only if, after consultation with authority. terms of the Authorization. The the HHS Assistant Secretary for II. EUA Request for an In Vitro Authorization in its entirety (not Preparedness and Response, the Diagnostic Device for Detection of the including the authorized versions of the Director of the National Institutes of Zika Virus fact sheets and other written materials) Health, and the Director of the Centers On February 26, 2016, the Secretary of follows and provides an explanation of for Disease Control and Prevention (to HHS determined that there is a the reasons for its issuance, as required the extent feasible and appropriate by section 564(h)(1) of the FD&C Act: given the applicable circumstances), 1 The Secretary of HHS has delegated the BILLING CODE 4164–01–P authority to issue an EUA under section 564 of the FD&C Act to the Commissioner of Food and Drugs.
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17,
Dear
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I. Criteria for Issuance of Authorization
for ISSURilCC that:
II. of Authorization
The Authorized
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the
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•
IV. Conditions of Authorization
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B.
Inc.
J.
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K.
M.
0.
P,
Authorized Laboratories
R.
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T.
Laboratories
Conditions Related to
• • use
•
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the use of the authorized may represent or "'u~;!ScM or effective the of Zika virus intection.
The emergency use of the authorized Zika Virus letter of authorization must with the conditions and a!l other of this authorization.
V. Duration of Authorization
This EUA will be cflective until the declaration that circumstances the authorization of the emergency use of in vitm tests liJr detection of Zika of Zika virus infection is tenninatcd under section ofthe revoked under section of the Act.
Enclosures
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Dated: July 1, 2016. regarding the privacy, security and the discussion may include information Leslie Kux, scalability of health records. Critics regarding meeting privacy and security Associate Commissioner for Policy. ascertain that it would take enormous standards, implementation and [FR Doc. 2016–16177 Filed 7–7–16; 8:45 am] processing power and specialized potential performance issues, and cost BILLING CODE 4164–01–C equipment that far exceeds the benefits. implications. Risk analysis and Although most would acknowledge mitigation would be appropriate to blockchain’s potential it is still evolving include here as well. DEPARTMENT OF HEALTH AND and maturing, especially with respect to Æ Discuss the solution’s link to the HUMAN SERVICES its applicability to the health care. stated objectives in the Nationwide This Ideation Challenge solicits White Interoperability Roadmap, PCOR, Office of the National Coordinator for Papers on the topic of Blockchain precision medicine and other national Health Information Technology; Technology and the Potential for Its Use health care delivery priorities. Announcement of Requirements and in Health IT and/or Healthcare Related How To Enter Registration for ‘‘Blockchain and Its Research Data. Emerging Role in Healthcare and This nationwide call may be Challenge participants will have five Health-related Research’’ addressed by an individual investigator (5) weeks from the date of the posting or a investigator team. Interested parties of this Notice. Those submissions must AGENCY: Office of the National should submit a White Paper no longer comply with the requirements provided Coordinator for Health Information than 10 pages describing the proposed above. Up to eight submissions may be Technology, HHS. selected as winners. The names of the Award Approving Official: Karen subject. Investigators or co-investigators winners will be posted on the DeSalvo, National Coordinator for may participate in no more than three Challenge.gov Web site, as well as the Health Information Technology. submissions. A limited number of these submissions will be selected. The names of any participants receiving an ACTION: Notice. selection of a White Paper will result in honorary mention. Honorary mentions SUMMARY: The ‘‘Blockchain and Its an invitation to present at an upcoming may be given to highly ranked Emerging Role in Healthcare and industry-wide workshop on September submissions. Health-related Research.’’ Ideation 26th–27th at NIST Headquarters in Eligibility Rules for Participating in the Challenge solicits white papers on the Gaithersburg, MD. Challenge topic of Blockchain Technology and the Objective potential use for Healthcare. Winners To be eligible to win a prize under will be invited to present their The goal of this Ideation Challenge is this Challenge, an individual or entity: 1. Shall have registered to participate submission at an upcoming industry- to solicit White Papers that investigate in the Challenge under the rules wide workshop co-hosted with the the relationship between blockchain promulgated by the Office of the National Institute of Standards and technology and its use in Health IT and/ National Coordinator for Health Technology (NIST). The statutory or Health Related research. The paper Information Technology. authority for this Challenge is Section should discuss the cryptography and 2. Shall have complied with all the 105 of the America COMPETES underlying fundamentals of blockchain stated requirements of the Blockchain Reauthorization Act of 2010 (Pub. L. technology, examine how the use of and Its Emerging Role in Healthcare and 111–358). blockchain can advance industry interoperability needs expressed in the Health-related Research Challenge. DATES: • Nationwide Interoperability Roadmap, 3. In the case of a private entity, shall Submission period begins: June 20. be incorporated in and maintain a • Submission period ends: July 29. patient centered outcomes research primary place of business in the United • Evaluation begins: August 1. (PCOR), precision medicine, and other • Evaluation ends: August 16. health care delivery needs, as well as States, and in the case of an individual, • Winners notified: August 17. provide recommendations for whether participating singly or in a • Winners Announced: August 20. blockchain’s implementation. group, shall be a citizen or permanent • Winner Presentation: September In lieu of a monetary award, challenge resident of the United States. 26th–27th. winners will be provided the 4. May not be a Federal entity or FOR FURTHER INFORMATION CONTACT: opportunity to present their White Federal employee acting within the Debbie Bucci, [email protected] Papers at an industry-wide ‘‘Blockchain scope of their employment. (preferred), (202) 690–0213. & Healthcare Workshop’’ co-hosted by 5. Shall not be an HHS employee working on their applications or SUPPLEMENTARY INFORMATION: ONC and NIST. Submissions during assigned duty Subject of Challenge Submission Requirements hours. A blockchain is a data structure that Include a White Paper, not longer 6. Shall not be an employee of the can be timed-stamped and signed using than ten (10) pages in length, that: Office of the National Coordinator for • a private key to prevent tampering. Educates its audience on the Health Information Technology. There are generally three types of technology; and 7. Federal grantees may not use • blockchain: Public, private and Can be used to determine whether Federal funds to develop COMPETES consortium. Potential uses include: there is a place in Health IT and/or Act challenge applications unless • Digitally sign information, Healthcare related Research for the consistent with the purpose of their • Computable enforcement of policies technology. grant award. and contracts (smart contracts), • The paper should: 8. Federal contractors may not use • Management of Internet of Things Æ Describe the value of blockchain to Federal funds from a contract to develop devices, the health-care system; COMPETES Act challenge applications • Distributed encrypted storage, and Æ Identify potential gaps; or to fund efforts in support of a • Distributed trust. Æ Discuss the effectiveness of the COMPETES Act challenge Submission. Proponents of blockchain suggest that solution and the solutions ability to An individual or entity shall not be it could be used to address concerns function in the ‘‘real world.’’ This deemed ineligible because the
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individual or entity used Federal awarded with the opportunity to present deems to violate these Official Rules, facilities or consulted with Federal their White Paper at a two-day Terms & Conditions. employees during a Challenge if the Blockchain & Healthcare Workshop. In Authority: 15 U.S.C. 3719. facilities and employees are made lieu of a monetary prize, finalists will be available to all individuals and entities provided with full expenses for travel to Karen DeSalvo, participating in the Challenge on an the Workshop, which will be held at the National Coordinator for Health Information equitable basis. NIST Headquarters in Gaithersburg, MD. Technology. At the end of the submission period, [FR Doc. 2016–16133 Filed 7–6–16; 8:45 am] General Submission Requirements Submissions will be posted on the BILLING CODE 4150–45–P In order for a Submission to be challenge Web site and will be eligible to win this Challenge, it must reviewed, graded, and voted on by a meet the following requirements: steering committee. DEPARTMENT OF HEALTH AND 1. No HHS or ONC logo—The HUMAN SERVICES Solution must not use HHS’ or ONC’s Additional Information logos or official seals and must not General Conditions: ONC reserves the Office of the Secretary claim endorsement. right to cancel, suspend, and/or modify 2. Functionality/Accuracy—A the Challenge, or any part of it, for any Request for Information: Opioid Solution may be disqualified if it fails reason, at ONC’s sole discretion. Analgesic Prescriber Education and to function as expressed in the Intellectual Property: Each participant Training Opportunities To Prevent description provided by the participant, retains title and full ownership in and Opioid Overdose and Opioid Use or if it provides inaccurate or to their Submission. Participants Disorder incomplete information. expressly reserve all intellectual AGENCY: Office of the Assistant property rights not expressly granted Registration Process for Participants Secretary for Planning and Evaluation under the challenge agreement. By (ASPE), HHS. To register for this Challenge, participating in the Challenge, each ACTION: Request for information. participants can access http:// entrant hereby irrevocably grants to the www.challenge.gov and search for Government a limited, non-exclusive, SUMMARY: Deaths from drug overdose ‘‘Blockchain and Its Emerging Role in royalty-free, perpetual, worldwide have risen steadily over the past two Healthcare and Health-related license and right to reproduce, decades and have become the leading Research.’’ publically perform, publically display, cause of injury death in the United and use the Submission to the extent Prize States. Prescription drugs, especially necessary to administer the challenge, opioid analgesics—a class of Winners will be provided the and to publically perform and prescription drugs such as following: publically display the Submission, • hydrocodone, oxycodone, morphine, Opportunity to present their paper including, without limitation, for and methadone used to treat both acute at a Blockchain & Healthcare Workshop advertising and promotional purposes and chronic pain—have been Hosted at NIST relating to the Challenge. This may also increasingly implicated in drug • Paid travel to the Workshop; include displaying the results of the • overdose deaths over the last decade. Paid room and board for the Challenge on a public Web site or Alarmingly, deaths related to opioid Workshop; and during a public presentation. analgesic overdose have quadrupled • Paid Per Diem. Representation, Warranties and since 1999, and this increase in deaths Payment of the Prize Indemnification has been linked to parallel increases in opioid prescribing. As part of its Prize will be paid by contractor. By entering the Challenge, each comprehensive response to the opioid Basis Upon Which Winner Will Be applicant represents, warrants and epidemic, HHS is actively working to Selected covenants as follows: stem overprescribing of opioids in a (a) Participant is the sole author, number of ways, including by providing The evaluation process will begin by creator, and owner of the Submission; clinicians with the tools and education removing those that are not responsive (b) The Submission is not the subject they need to make informed prescribing to this Challenge or not in compliance of any actual or threatened litigation or decisions. In particular, HHS has with all rules for eligibility. Judges will claim; examine all responsive and compliant (c) The Submission does not and will developed a number of activities that submissions, and rate the entries. Judges not violate or infringe upon the support opioid analgesic prescriber will determine the most meritorious intellectual property rights, privacy education. This Request for Information submissions, based on these ratings and rights, publicity rights, or other legal (RFI) seeks comment on the most select up to eight (8) finalists. Honorable rights of any third party; promising approaches in prescriber Mentions may be included and Participants must indemnify, defend, education and training programs and announced, along with the winners on and hold harmless the Federal effective ways to leverage HHS Challenge.gov. Government from and against all third programs to implement/expand them. The judging panel will rate each party claims, actions, or proceedings of DATES: Comments must be received at submission based upon the effectiveness any kind and from any and all damages, one of the addresses provided below, no of the overall concept to help foster liabilities, costs, and expenses relating later than 5 p.m. on September 6, 2016. transformative change in the HealthIT to or arising from participant’s ADDRESSES: Written comments may be culture, the viability of the proposed Submission or any breach or alleged submitted through any of the methods recommendations, the innovativeness of breach of any of the representations, specified below. Please do not submit the approach, and its potential for warranties, and covenants of participant duplicate comments. achieving the objectives of ONC. hereunder. The Federal Agency • Federal eRulemaking Portal: You Up to eight (8) submissions will be sponsors reserve the right to disqualify may submit electronic comments at selected as winners. Winners will be any Submission that, in their discretion, http://www.regulations.gov. Follow the
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instructions for submitting electronic health professional schools, and the training providers on pain management comments. Attachments should be in National Pain Strategy indicates that and appropriate opioid analgesic Microsoft Word, WordPerfect, or Excel; health professional education is a prescribing, including identifying however, we prefer Microsoft Word. central component of advancing a patients at risk for abuse and prescribing • Regular, Express, or Overnight Mail: system of care in which all people the appropriate dose and quantity of You may mail written comments (one receive high quality and evidence-based medication for their condition. As noted original and two copies) to the following pain care. above HHS has undertaken several address only: U.S. Department of Health To improve education and training on programs to engage providers on these and Human Services, Office for Civil pain management and appropriate topics, and this RFI is meant to solicit Rights, Attention: 1557 RFI (RIN 0945– opioid prescribing, HHS has developed input not only on those but also on AA02), Hubert H. Humphrey Building, programs that engage prescribers other approaches. For example, HHS Room 509F, 200 Independence Avenue throughout their training and seeks comment on the impact of non- SW., Washington, DC 20201. Mailed professional career. For example, in an federal prescriber training policies or comments may be subject to delivery effort to educate health professional programs on opioid analgesic prescriber delays due to security procedures. students, the National Institutes on Drug competency: Please allow sufficient time for mailed Abuse (NIDA) coordinates the National • How states have developed, comments to be timely received in the Institutes of Health Pain Consortium’s promoted, and made pain management Centers of Excellence in Pain Education event of delivery delays. and opioid analgesic prescriber • that develop and distribute pain Hand Delivery or Courier: If you education available, management curriculum resources for prefer, you may deliver (by hand or • courier) your written comments (one medical, dental, nursing, and pharmacy whether state requirements for original and two copies) to the following schools. mandatory pain management and opioid address only: Office for Civil Rights, Many HHS training initiatives target prescribing training have led to any Attention: 1557 RFI (RIN 0945–AA02), practicing clinicians throughout their changes in prescriber behavior and/or Hubert H. Humphrey Building, Room learning and practice lifecycles. Some other outcomes as a result of these 509F, 200 Independence Avenue SW., programs, such as NIDA’s NIDAMED programs, Washington, DC 20201. (Because access program, offer opioid and pain • the challenges opioid education to the interior of the Hubert H. management training as continuing providers have faced in implementing Humphrey Building is not readily education credit opportunities. opioid prescriber education initiatives, available to persons without federal Additionally, the Food and Drug • which measures education government identification, commenters Administration (FDA) has put in place providers use to evaluate the success of are encouraged to leave their comments a risk evaluation and mitigation strategy their interventions, or in the mail drop slots located in the (REMS) for extended-release (ER) and • long-acting (LA) opioid medications. how health information technology main lobby of the building.) has been implemented to assist the • Inspection of Public Comments: All The ER/LA Opioid Analgesic REMS requires manufacturers to make prescriber in appropriate opioid comments received before the close of prescribing and pain management. the comment period will be available for prescriber training available through public inspection, including any accredited continuing education (CE) HHS also is soliciting suggestions for personally identifiable or confidential programs funded by the ER/LA additional activities the Department business information that is included in sponsors. To assure that the training is could implement to ensure universal a comment. We will post all comments balanced and to protect from industry prescriber education on appropriate received before the close of the influence, the training is based upon the pain management and opioid comment period at http:// FDA blueprint for Prescriber Education prescribing. For example, additional www.regulations.gov. for ER/LA opioids and is made available HHS activities could include: through third-party CE providers. • Adding new opioid prescriber FOR FURTHER INFORMATION CONTACT: Other programs utilize a peer-to-peer education to Medicare Conditions of Office of the Assistant Secretary for mentoring model. The Substance Abuse Participation and/or to Medicare Planning and Evaluation, 202–690– and Mental Health Services enrollment requirements, 7858. Administration’s Providers’ Clinical • adding quality measures around SUPPLEMENTARY INFORMATION: Support System for Opioid Therapies safe opioid use to the specialty core (PCSS–O) is one such model that offers I. Background measures that clinicians may choose to colleague support and mentoring as well report under the Merit-based Incentive Education and training in pain as evidence-based educational resources management and appropriate opioid Payment System (MIPS), or on how to effectively utilize opioid • analgesic prescribing, including how to analgesics for patients with pain and revising the ER/LA Opioid identify patients who may be at risk for patients with opioid use disorders. And, Analgesic REMS to require that opioid misuse and ensuring patients other resources are intended to support prescribers of opioids receive treated with opioids receive the decision making during an active appropriate training on pain appropriate dose and quantity of patient encounter. The Centers for management and safe opioid use before medication for their condition, are key Disease Control and Prevention’s being able to prescribe specific opioids. elements of the response to the opioid Guideline for Prescribing Opioids for Finally, HHS seeks feedback through epidemic. Surveys of healthcare Chronic Pain facilitates providers’ this RFI on the ability of existing HHS providers indicate that they receive decision-making regarding appropriate education and training programs to inadequate training on pain pain treatment for patients 18 years and educate all opioid analgesic prescribers management, and many feel older in the primary care setting. on appropriate pain management and uncomfortable managing patients with opioid prescribing including comments pain. In addition, research has II. Solicitation of Comments on the development and delivery of the identified significant gaps and This RFI is seeking comment on the content and on efforts to assess the fragmentation in pain education in range of approaches to educating and impact of the training initiatives.
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III. Response to Comments Room 3B01, Bethesda, MD 20892–7523, Comment Due Date: Comments Email: [email protected]. regarding this information collection are Because of the large number of public best assured of having their full effect if comments we normally receive on SUPPLEMENTARY INFORMATION: The received within 30 days of the date of Federal Register documents, we are not conference is sponsored by the NIH this publication. able to acknowledge or respond to them Office of Dietary Supplements along individually. We will consider all with co-sponsors from other federal FOR FURTHER INFORMATION CONTACT: To comments we receive by the date and agencies. Information about the obtain a copy of the data collection time specified in the DATES section of conference agenda, registration plans and instruments or request more this preamble. procedures, and videocast arrangements information on the proposed project can be found at: https://events- contact: Steve Boehlert, Director of Dated: June 29, 2016. suport.com/events/NIH_Iron_Workshop. Operations, Division of Loan Kathryn E. Martin, Through its Iron Initiative, the Repayment, National Institutes of Acting Assistant Secretary for Planning and National Institutes of Health (NIH) Health, 6011 Executive Blvd., Room 206 Evaluation. Office of Dietary Supplements leads (MSC 7650), Bethesda, Maryland [FR Doc. 2016–16067 Filed 7–6–16; 8:45 am] efforts to advance scientific 20892–7650. Mr. Boehlert may be BILLING CODE 4150–15–P understanding of iron and health: contacted via email at BoehlerS@ https://ods.od.nih.gov/Research/ od.nih.gov or by calling 301–451–4465. Iron.aspx. Formal requests for additional plans and DEPARTMENT OF HEALTH AND instruments must be requested in Dated: July 1, 2016. HUMAN SERVICES writing. Lawrence A. Tabak, Proposed Collection: National National Institutes of Health Deputy Director, National Institutes of Health. Institutes of Health (NIH) Loan [FR Doc. 2016–16254 Filed 7–7–16; 8:45 am] Public Workshop—Iron Screening and Repayment Programs (LRP). Type of Supplementation of Iron-Replete BILLING CODE 4140–01–P Information Collection Request: Pregnant Women and Young Children Revision of a currently approved collection (OMB No. 0925–0361, SUMMARY: The Office of Dietary DEPARTMENT OF HEALTH AND expiration date 06/30/17). Form Supplements at the National Institutes HUMAN SERVICES Numbers: NIH 2674–1, NIH 2674–2, of Health (NIH) is sponsoring an open National Institutes of Health NIH 2674–3, NIH 2674–4, NIH 2674–5, public workshop titled, ‘‘Iron Screening NIH 2674–6, NIH 2674–7, NIH 2674–8, and Supplementation of Iron-replete Submission for OMB Review; 30-Day NIH 2674–9, NIH 2674–10, NIH 2674– Pregnant Women and Young Children,’’ Comment Request National Institutes 11, NIH 2674–12, NIH 2674–13, NIH September 28–29, 2016, on the NIH of Health (NIH) Loan Repayment 2674–14, NIH 2674–15, NIH 2674–16, main campus in Bethesda, Maryland. It Programs; Office of the Director (OD) NIH 2674–17, NIH 2674–18, NIH 2674– will also be available to be viewed live 19, and NIH 2674–20 (new). or later on-demand as a videocast. The SUMMARY: Under the provisions of Need and Use of Information workshop discussions will focus on the section 3507(a)(1)(D) of the Paperwork Collection: The NIH makes available U.S. and developed countries and will Reduction Act of 1995, the Division of financial assistance, in the form of serve to specify data gaps and research Loan Repayment (DLR), the National educational loan repayment, to M.D., needs by (1) exploring current Institutes of Health (NIH), has submitted Ph.D., Pharm.D., Psy.D., D.O., D.D.S., understanding of iron homeostasis in to the Office of Management and Budget D.M.D., D.P.M., D.C., N.D., O.D., D.V.M., pregnant women and in young children (OMB) a request to review and approve or equivalent degree holders who (6-24 months); (2) identifying the the information collection listed below. perform biomedical or behavioral challenges associated with measuring This proposed information collection research in NIH intramural laboratories iron status and with screening practices; was previously published in the Federal or as extramural grantees or scientists and (3) considering emerging issues Register on February 19, 2016, and page funded by domestic non-profit associated with routine numbers 8514–8516, and allowed 60 organizations for a minimum of two supplementation of iron-replete days for public comment. No public years (three years for the General individuals. All persons are invited to comments were received. The purpose Research LRP) in research areas attend, especially clinical educators, of this notice is to allow an additional supporting the mission and priorities of those who develop clinical 30 days for public comment. The NIH the NIH. recommendations, health care providers may not conduct or sponsor, and the The AIDS Research Loan Repayment and researchers. Persons wishing to respondent is not required to respond Program (AIDS–LRP) is authorized by attend are required to register in to, an information collection that has section 487A of the Public Health advance of the conference. been extended, revised, or implemented Service Act (42 U.S.C. 288–1); the DATES: September 28–29, 2016; 8:30 to on or after October 1, 1995, unless it Clinical Research Loan Repayment 5:15 p.m. (Eastern Time) on the first day displays a currently valid OMB control Program for Individuals from and 8:00 to 12:30 p.m. on the second number. Disadvantaged Backgrounds (CR–LRP) day. Direct Comments to OMB: Written is authorized by section 487E (42 U.S.C. comments and/or suggestions regarding 288–5); the General Research Loan ADDRESSES: National Institutes of the item(s) contained in this notice, Repayment Program (GR–LRP) is Health, William H. Natcher Building; especially regarding the estimated authorized by section 487C of the Public Natcher Conference Center, Building 45, public burden and associated response Health Service Act (42 U.S.C. 288–3); Bethesda, Maryland, 20892. time, should be directed to the: Office the Clinical Research Loan Repayment FOR FURTHER INFORMATION CONTACT: Ms. of Management and Budget, Office of Program (LRP–CR) is authorized by Cindy Rooney, Office of Dietary Regulatory Affairs, OIRA_submission@ section 487F (42 U.S.C. 288–5a); the Supplements, National Institutes of omb.eop.gov or by fax to 202–395–6974, Pediatric Research Loan Repayment Health, 6100 Executive Boulevard, Attention: NIH Desk Officer. Program (PR–LRP) is authorized by
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section 487F (42 U.S.C. 288–6); the will be used by the Division of Loan better user experience. Recommenders Extramural Clinical Research LRP for Repayment to determine an applicant’s will no longer be asked to complete a Individuals from Disadvantaged eligibility for participation in the recommendation form, but to write a Backgrounds (ECR–LRP) is authorized program. reference letter that comments on the by an amendment to section 487E (42 Frequency of Response: Initial research skills and the abilities of the U.S.C. 288–5); the Contraception and application and one- or two-year applicant. A general eligibility checklist Infertility Research LRP (CIR–LRP) is renewal application. (NIH 2674–20) was added at the start of Affected Public: Individuals or authorized by section 487B (42 U.S.C. the application to reduce the likelihood households; Nonprofits; and Businesses 288–2); and the Health Disparities of ineligible individuals working Research Loan Repayment Program or other for-profit. Type of Respondents: Physicians, through the application only to learn of (HD–LRP) is authorized by section 485G other scientific or medical personnel, their disqualification after submitting (42 U.S.C. 287c–33). and institutional representatives. the application. Redundant questions or The Loan Repayment Programs can Questions, required information, and statements were eliminated. OMB repay up to $35,000 per year toward a requested documents remain largely approval is requested for 3 years. There participant’s extant eligible educational unchanged. Improvements were made to are no costs to respondents other than loans, directly to financial institutions. the structure and appearance of online their time. The total estimated The information proposed for collection forms to provide applicants with a annualized burden hours are 33,242.
ESTIMATED ANNUALIZED BURDEN HOURS
Estimated Average Number of number of burden Annual burden Type of respondent respondents responses per hours per hours respondent response requested
Intramural LRPs Initial Applicants ...... 40 1 10 400 Advisors/Supervisors ...... 40 1 1 40 Recommenders ...... 120 1 30/60 60 Financial Institutions ...... 8 1 15/60 2
Subtotal ...... 208 ...... 502 Extramural LRPs Initial Applicants ...... 1,650 1 11 18,150 Advisors/Supervisors ...... 1,480 1 1 1,480 Recommenders ...... 4,950 1 30/60 2,475 Financial Institutions ...... 100 1 15/60 25
Subtotal ...... 8,180 ...... 22,130 Intramural LRPs Renewal Applicants ...... 40 1 7 280 Advisors/Supervisors ...... 40 1 2 80 Subtotal ...... 80 ...... 360 Extramural LRPS Renewal Applicants ...... 1,000 1 8 8,000 Advisors/Supervisors ...... 750 1 1 750 Recommenders ...... 3,000 1 30/60 1,500
Subtotal ...... 4,750 ...... 10,250 Total ...... 13,218 ...... 33,242
Dated: July 1, 2016. amended (5 U.S.C. App.), notice is Date: July 26, 2016. Lawrence A. Tabak, hereby given of the following meetings. Time: 4:00 p.m. to 5:00 p.m. The meetings will be closed to the Agenda: To review and evaluate grant Deputy Director, National Institutes of Health. applications. [FR Doc. 2016–16227 Filed 7–7–16; 8:45 am] public in accordance with the Place: National Institutes of Health, Two provisions set forth in sections BILLING CODE 4140–01–P Democracy Plaza, 6707 Democracy 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Boulevard, Bethesda, MD 20892, (Telephone as amended. The grant applications and Conference Call). DEPARTMENT OF HEALTH AND the discussions could disclose Contact Person: CAROL J. GOTER- ROBINSON, PH.D., SCIENTIFIC REVIEW HUMAN SERVICES confidential trade secrets or commercial property such as patentable material, OFFICER, REVIEW BRANCH, DEA, NIDDK, NATIONAL INSTITUTES OF HEALTH, National Institutes of Health and personal information concerning individuals associated with the grant ROOM 7347, 6707 DEMOCRACY BOULEVARD, BETHESDA, MD 20892–5452, National Institute of Diabetes and applications, the disclosure of which (301) 594–7791, goterrobinsonc@ Digestive and Kidney Diseases: Notice would constitute a clearly unwarranted extra.niddk.nih.gov. of Closed Meetings invasion of personal privacy. Name of Committee: National Institute of Name of Committee: National Institute of Diabetes and Digestive and Kidney Diseases Pursuant to section 10(d) of the Diabetes and Digestive and Kidney Diseases Special Emphasis Panel, Program Project on Federal Advisory Committee Act, as Special Emphasis Panel, NIDDK Training Gut Microbial Host Interactions. Grants Review. Date: August 5, 2016.
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Time: 1:00 p.m. to 5:00 p.m. periodic summaries of proposed Proposed Collection: National Agenda: To review and evaluate grant projects to be submitted to the Office of Institute of Neurological Disorders and applications. Management and Budget (OMB) for Stroke Federal Interagency Traumatic Place: National Institutes of Health, Two review and approval. Brain Injury Research (FITBIR) Data Democracy Plaza, 6707 Democracy Boulevard, Bethesda, MD 20892, (Telephone Written comments and/or suggestions Access Request, 0925–0677, Expiration Conference Call). from the public and affected agencies Date 08/31/2016—Reinstatement Contact Person: MARIA E. DAVILA- are invited on one or more of the without change, National Institute of BLOOM, PH.D., SCIENTIFIC REVIEW following points: (1) Whether the Neurological Disorders and Stroke OFFICER, REVIEW BRANCH, DEA, NIDDK, proposed collection of information is (NINDS), National Institutes of Health ROOM 7017, 6707 DEMOCRACY necessary for the proper performance of (NIH). BOULEVARD, BETHESDA, MD 20892, (301) the function of the agency, including Need and Use of Information 594–7637, davila-bloomm@ whether the information will have Collection: The FITBIR Informatics extra.niddk.nih.gov. practical utility; (2) The accuracy of the System Data Access Request form is (Catalogue of Federal Domestic Assistance agency’s estimate of the burden of the necessary for ‘‘Recipient’’ Principal Program Nos. 93.847, Diabetes, proposed collection of information, Investigators and their organization or Endocrinology and Metabolic Research; 93.848, Digestive Diseases and Nutrition including the validity of the corporations with approved assurance Research; 93.849, Kidney Diseases, Urology methodology and assumptions used; (3) from the DHHS Office of Human and Hematology Research, National Institutes Ways to enhance the quality, utility, and Research Protections to access data or of Health, HHS) clarity of the information to be images from the FITBIR Informatics Dated: July 1, 2016. collected; and (4) Ways to minimize the System for research purposes. The burden of the collection of information primary use of this information is to David Clary, on those who are to respond, including document, track, monitor, and evaluate Program Analyst, Office of Federal Advisory the use of appropriate automated, the use of the FITBIR datasets, as well Committee Policy. electronic, mechanical, or other as to notify interested recipients of [FR Doc. 2016–16142 Filed 7–7–16; 8:45 am] technological collection techniques or updates, corrections or other changes to BILLING CODE 4140–01–P other forms of information technology. the database. Type of respondents To Submit Comments and for Further affected by this information collection Information: To obtain a copy of the are researchers, such as Principal DEPARTMENT OF HEALTH AND data collection plans and instruments, Investigators (PI), who are interested in HUMAN SERVICES submit comments in writing, or request obtaining access to study data and National Institutes of Health more information on the proposed images from the FITBIR Informatics project, contact: Dr. Sophia Jeon, Health System for research purposes. Proposed Collection; 60-Day Comment Science Policy Analyst, Office of There are two scenarios for Request: National Institute of Science Policy and Planning (OSPP), completing the form. The first is where Neurological Disorders and Stroke NINDS, NIH, 31 Center Drive, Building the Principal Investigator (PI) completes Federal Interagency Traumatic Brain 31, Room 8A03, Bethesda, MD 20892, or the entire FITBIR Informatics System Injury Research (FITBIR) Data Access call non-toll-free number (301) 435– Data Access Request form, and the Request 7571, or Email your request, including second where the PI has the Research your address to: [email protected] Assistant begins filling out the form and Summary: In compliance with the Formal requests for additional plans and PI provides the final reviews and signs requirement of Section 3506(c)(2)(A) of instruments must be requested in it. The estimated annual burden hours the Paperwork Reduction Act of 1995, writing. to complete the data request form are for opportunity for public comment on Comment Due Date: Comments listed below. proposed data collection projects, the regarding this information collection are OMB approval reinstatement is National Institute of Neurological best assured of having their full effect if requested for 3 years. The total Disorders and Stroke (NINDS), National received within 60 days of the date of estimated annualized burden hours are Institutes of Health (NIH), will publish this publication. 63.
ESTIMATED ANNUALIZED BURDEN
Estimated annual burden hours for respondents Annual Form Type of respondent Number of frequency per Hours per Total hours respondents response response
FITBIR Informatics System Data Ac- Individuals (Principal Investigators) 40 1 95/60 63 cess Request.
Total ...... 40 40 ...... 63
Dated: July 1, 2016. Paul Scott, Project Clearance Liaison Officer, National Institute of Neurological Disorders and Stroke, NIH. [FR Doc. 2016–16256 Filed 7–7–16; 8:45 am] BILLING CODE 4140–01–P
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DEPARTMENT OF HEALTH AND Agenda: To review and evaluate grant 93.333, Clinical Research, 93.306, 93.333, HUMAN SERVICES applications. 93.337, 93.393–93.396, 93.837–93.844, Place: National Institutes of Health, 6701 93.846–93.878, 93.892, 93.893, National National Institutes of Health Rockledge Drive, Bethesda, MD 20892. Institutes of Health, HHS) Contact Person: Hilary D. Sigmon, Ph.D., Dated: July 1, 2016. Scientific Review Officer, Center for Center for Scientific Review; Notice of David Clary, Closed Meetings Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5222, Program Analyst, Office of Federal Advisory Pursuant to section 10(d) of the MSC 7852, Bethesda, MD 20892, (301) 594– Committee Policy. 6377, [email protected]. Federal Advisory Committee Act, as [FR Doc. 2016–16141 Filed 7–7–16; 8:45 am] amended (5 U.S.C. App.), notice is (Catalogue of Federal Domestic Assistance BILLING CODE 4140–01–P Program Nos. 93.306, Comparative Medicine; hereby given of the following meetings. 93.333, Clinical Research, 93.306, 93.333, The meetings will be closed to the 93.337, 93.393–93.396, 93.837–93.844, public in accordance with the 93.846–93.878, 93.892, 93.893, National DEPARTMENT OF HOMELAND provisions set forth in sections Institutes of Health, HHS) SECURITY 552b(c)(4) and 552b(c)(6), title 5 U.S.C., Dated: July 1, 2016. as amended. The grant applications and U.S. Citizenship and Immigration David Clary, the discussions could disclose Services confidential trade secrets or commercial Program Analyst, Office of Federal Advisory Committee Policy. [CIS No. 2584–16; DHS Docket No. USCIS– property such as patentable material, 2007–0028] and personal information concerning [FR Doc. 2016–16140 Filed 7–7–16; 8:45 am] individuals associated with the grant BILLING CODE 4140–01–P RIN 1615–ZB53 applications, the disclosure of which Extension of the Designation of El would constitute a clearly unwarranted DEPARTMENT OF HEALTH AND Salvador for Temporary Protected invasion of personal privacy. HUMAN SERVICES Status Name of Committee: Center for Scientific Review Special Emphasis Panel; Member National Institutes of Health AGENCY: U.S. Citizenship and Conflict: Interventions and Mechanisms for Immigration Services, Department of Addictions. Center for Scientific Review; Notice of Homeland Security. Date: July 19, 2016. Closed Meeting ACTION: Notice. Time: 10:30 a.m. to 1:00 p.m. Agenda: To review and evaluate grant Pursuant to section 10(d) of the SUMMARY: Through this Notice, the applications. Federal Advisory Committee Act, as Department of Homeland Security Place: National Institutes of Health, 6701 amended (5 U.S.C. App.), notice is Rockledge Drive, Bethesda, MD 20892 (DHS) announces that the Secretary of hereby given of the following meeting. Homeland Security (Secretary) is (Telephone Conference Call). The meeting will be closed to the Contact Person: Marc Boulay, Ph.D., extending the designation of El Salvador Scientific Review Officer, Center for public in accordance with the for Temporary Protected Status (TPS) Scientific Review, National Institutes of provisions set forth in sections for 18 months from September 10, 2016 Health, 6701 Rockledge Drive, Room 3110, 552b(c)(4) and 552b(c)(6), title 5 U.S.C., through March 9, 2018. MSC 7808, Bethesda, MD 20892, (301) 300– as amended. The grant applications and The extension allows currently 6541, [email protected]. the discussions could disclose eligible TPS beneficiaries to retain TPS This notice is being published less than 15 confidential trade secrets or commercial through March 9, 2018, so long as they days prior to the meeting due to the timing property such as patentable material, otherwise continue to meet the limitations imposed by the review and and personal information concerning funding cycle. eligibility requirements for TPS. The individuals associated with the grant Secretary has determined that an Name of Committee: Center for Scientific applications, the disclosure of which extension is warranted because the Review Special Emphasis Panel; PAR15–287: would constitute a clearly unwarranted Opportunities for Collaborative Research at conditions in El Salvador supporting the the NIH Clinical Center (U01). invasion of personal privacy. TPS designation continue to be met. Date: July 20, 2016. Name of Committee: Center for Scientific There continues to be a substantial, but Time: 10:00 a.m. to 2:00 p.m. Review Special Emphasis Panel; temporary, disruption of living Agenda: To review and evaluate grant Fellowships: Risk, Prevention and Health conditions in El Salvador resulting from applications. Behavior. a series of earthquakes in 2001, and El Place: National Institutes of Health, 6701 Date: July 11, 2016. Salvador remains unable, temporarily, Rockledge Drive, Bethesda, MD 20892 Time: 1:30 p.m. to 2:00 p.m. (Virtual Meeting). Agenda: To review and evaluate grant to handle adequately the return of its Contact Person: Fungai Chanetsa, MPH, applications. nationals. Ph.D., Scientific Review Officer, Center for Place: Embassy Suites at the Chevy Chase Through this Notice, DHS also sets Scientific Review, National Institutes of Pavilion, 4300 Military Road NW., forth procedures necessary for nationals Health, 6701 Rockledge Drive, Room 3135, Washington, DC 20015. of El Salvador (or aliens having no MSC 7770, Bethesda, MD 20892, 301–408– Contact Person: Stacey C. FitzSimmons, nationality who last habitually resided 9436, [email protected]. Ph.D., Scientific Review Officer, Center for in El Salvador) to re-register for TPS and This notice is being published less than 15 Scientific Review, National Institutes of to apply for renewal of their days prior to the meeting due to the timing Health, 6701 Rockledge Drive, Room 3114, Employment Authorization Documents MSC 7808, Bethesda, MD 20892, (301) 451– limitations imposed by the review and (EAD) with U.S. Citizenship and funding cycle. 9956, [email protected]. This notice is being published less than 15 Immigration Services (USCIS). Re- Name of Committee: Biology of registration is limited to persons who Development and Aging Integrated Review days prior to the meeting due to the timing Group; International and Cooperative limitations imposed by the review and have previously registered for TPS Projects—1 Study Section. funding cycle. under the designation of El Salvador Date: August 8, 2016. (Catalogue of Federal Domestic Assistance and whose applications have been Time: 11:00 a.m. to 6:00 p.m. Program Nos. 93.306, Comparative Medicine; granted. Certain nationals of El Salvador
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(or aliens having no nationality who last It is not for individual case status When was El Salvador designated for habitually resided in El Salvador) who inquires. TPS? have not previously applied for TPS • Applicants seeking information On March 9, 2001, the Attorney may be eligible to apply under the late about the status of their individual cases General designated El Salvador for TPS initial registration provisions, if they can check Case Status Online, available based on an environmental disaster meet: (1) At least one of the late initial at the USCIS Web site at http:// within that country, specifically the filing criteria; and, (2) all TPS eligibility www.uscis.gov, or call the USCIS devastation resulting from a series of criteria (including continuous residence National Customer Service Center at earthquakes that occurred in 2001. See in the United States since February 13, 800–375–5283 (TTY 800–767–1833). Designation of El Salvador Under 2001, and continuous physical presence Service is available in English and Temporary Protected Status, 66 FR in the United States since March 9, Spanish. 14214 (Mar. 9, 2001). The Secretary last 2001). • Further information will also be announced an extension of TPS for El For individuals who have already available at local USCIS offices upon Salvador on January 7, 2015, based on been granted TPS under the El Salvador publication of this Notice. his determination that the conditions designation, the 60-day re-registration warranting the designation continued to SUPPLEMENTARY INFORMATION: period runs from July 8, 2016 through be met. See Extension of the Designation September 6, 2016. USCIS will issue Table of Abbreviations of El Salvador for Temporary Protected new EADs with a March 9, 2018 Status, 80 FR 893 (January 7, 2015). expiration date to eligible El Salvador BIA—Board of Immigration Appeals DHS—Department of Homeland Security This announcement is the eleventh TPS beneficiaries who timely re-register DOS—Department of State extension of TPS for El Salvador since and apply for EADs under this EAD—Employment Authorization Document the original designation in 2001. extension. Given the timeframes FNC—Final Nonconfirmation involved with processing TPS re- GDP—Gross Domestic Product What authority does the Secretary of registration applications, DHS Government—U.S. Government Homeland Security have to extend the recognizes that not all re-registrants will IJ—Immigration Judge designation of El Salvador for TPS? receive new EADs before their current INA—Immigration and Nationality Act Section 244(b)(1) of the INA, 8 U.S.C. EADs expire on September 9, 2016. OSC—U.S. Department of Justice, Office of 1254a(b)(1), authorizes the Secretary, Accordingly, through this Notice, DHS Special Counsel for Immigration-Related after consultation with appropriate U.S. Unfair Employment Practices automatically extends the validity of SAVE—USCIS Systematic Alien Verification Government agencies, to designate a EADs issued under the TPS designation for Entitlements Program foreign state (or part thereof) for TPS if of El Salvador for 6 months, through Secretary—Secretary of Homeland Security the Secretary finds that certain country March 9, 2017, and explains how TPS TNC—Tentative Nonconfirmation conditions exist.1 The Secretary may beneficiaries and their employers may TPS—Temporary Protected Status then grant TPS to eligible nationals of determine which EADs are TTY—Text Telephone that foreign state (or aliens having no automatically extended and their impact USCIS—U.S. Citizenship and Immigration nationality who last habitually resided on Employment Eligibility Verification Services in that state). See INA section (Form I–9) and the E-Verify processes. What is Temporary Protected Status 244(a)(1)(A), 8 U.S.C. 1254a(a)(1)(A). DATES: The 18-month extension of the (TPS)? At least 60 days before the expiration TPS designation of El Salvador is of a country’s TPS designation or • TPS is a temporary immigration effective September 10, 2016, and will extension, the Secretary, after status granted to eligible nationals of a remain in effect through March 9, 2018. consultation with appropriate country designated for TPS under the The 60-day re-registration period runs Government agencies, must review the Immigration and Nationality Act (INA), from July 8, 2016 through September 6, conditions in a foreign state designated or to persons without nationality who 2016. (Note: It is important for re- for TPS and determine whether the last habitually resided in the designated registrants to timely re-register during conditions for the TPS designation country. this 60-day re-registration period and continue to be met. See INA section • not to wait until their EADs expire.) During the TPS designation period, 244(b)(3)(A), 8 U.S.C. 1254a(b)(3)(A). If TPS beneficiaries are eligible to remain the Secretary determines that a foreign FOR FURTHER INFORMATION CONTACT: • For further information on TPS, in the United States, may not be state continues to meet the conditions including guidance on the application removed, and are authorized to work for TPS designation, the designation process and additional information on and obtain EADs, so long as they may be extended for an additional eligibility, please visit the USCIS TPS continue to meet the requirements of period of 6, 12, or 18 months. See INA Web page at http://www.uscis.gov/tps. TPS. section 244(b)(3)(C), 8 U.S.C. • You can find specific information about TPS beneficiaries may also be 1254a(b)(3)(C). If the Secretary this extension of El Salvador for TPS by granted travel authorization as a matter determines that the foreign state no selecting ‘‘El Salvador’’ from the menu of discretion. longer meets the conditions for TPS on the left of the TPS Web page. • The granting of TPS does not result designation, the Secretary must • You can also contact Jerry Rigdon, in or lead to permanent resident status. terminate the designation. See INA Chief of the Waivers and Temporary • When the Secretary terminates a section 244(b)(3)(B), 8 U.S.C. Services Branch, Service Center country’s TPS designation through a 1254a(b)(3)(B). Operations Directorate, U.S. Citizenship separate Federal Register Notice, 1 As of March 1, 2003, in accordance with section and Immigration Services, Department beneficiaries return to the same 1517 of title XV of the Homeland Security Act of of Homeland Security, 20 Massachusetts immigration status they maintained 2002, Public Law 107–296, 116 Stat. 2135, any Avenue NW., Washington, DC 20529– before TPS, if any (unless that status has reference to the Attorney General in a provision of 2060; or by phone at 202–272–1533 (this since expired or been terminated), or to the INA describing functions transferred from the Department of Justice to DHS ‘‘shall be deemed to is not a toll-free number). Note: The any other lawfully obtained immigration refer to the Secretary’’ of Homeland Security. See phone number provided here is solely status they received while registered for 6 U.S.C. 557 (codifying the Homeland Security Act for questions regarding this TPS Notice. TPS. of 2002, tit. XV, section 1517).
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Why is the Secretary extending the TPS earthquakes still have not been rebuilt. and (C), 8 U.S.C. 1254a(b)(1)(B), designation for El Salvador through A lack of potable water and electricity (b)(3)(A) and (C). March 9, 2018? remain serious problems; more than 10 • There continues to be a substantial, DHS and the Department of State percent of El Salvador’s total population but temporary, disruption of living (DOS) have reviewed conditions in El lacks access to potable water. Water conditions in El Salvador as a result of Salvador. Based on these reviews and contamination and shortages are of an environmental disaster. See INA after consulting with DOS, the Secretary particular concern in the San Salvador section 244(b)(1)(B)(i), 8 U.S.C. metropolitan area, where they have 1254a(b)(1)(B)(i). has determined that an 18-month • extension is warranted because the affected the day-to-day activities of the El Salvador continues to be unable, conditions supporting El Salvador’s population and have reportedly led to temporarily, to handle adequately the 2001 designation for TPS persist. conflicts over water. In March 2016, return of its nationals (or aliens having El Salvador was originally designated extortion demands from gangs caused no nationality who last habitually for TPS following two separate an almost weeklong temporary bottled resided in El Salvador). See INA section earthquakes in 2001. The first water shortage and halting of some 244(b)(1)(B)(ii), 8 U.S.C. water deliveries in San Salvador. 1254a(b)(1)(B)(ii). earthquake, on January 13, registered 7.6 • in magnitude on the standard seismic Insecurity and water shortages have The designation of El Salvador for scale; the second, on February 13, contributed to increased inflation, TPS should be extended for an measured 6.6 in magnitude. Over 3,000 which is generally low due to El additional 18-month period from aftershocks hit El Salvador in the Salvador’s dollarized economy. September 10, 2016 through March 9, aftermath of the earthquakes, including Increasing violence and insecurity is 2018. See INA section 244(b)(3)(C), 8 also a major constraint to economic U.S.C. 1254a(b)(3)(C). those with 5.1 and 5.6 magnitudes in • late February 2001. growth. According to a study released in There are approximately 195,000 Together, the earthquakes killed over April 2016 by El Salvador’s Central current El Salvador TPS beneficiaries 1,000 people, caused approximately Bank and the United Nations who are expected to file for re- 8,000 injuries, and affected Development Program, Salvadoran registration and may be eligible to retain approximately 1.5 million people. Of citizens paid $756 million in extortion their TPS under the extension. 262 municipalities in El Salvador, 165 payments to gangs in 2014, representing Notice of Extension of the TPS suffered serious damage in the first about three percent of Gross Domestic Designation of El Salvador quake. The earthquakes caused Product (GDP). The study estimates the By the authority vested in me as significant damage to transportation total cost of violence, including the Secretary under INA section 244, 8 infrastructure, housing, education and amount households spend on extra U.S.C. 1254a, I have determined, after health services, small and medium security and the lost income from consultation with the appropriate U.S. businesses, and the environment. people deterred from working, is nearly Government agencies, that the Recovery from the earthquakes has 16 percent of GDP, the highest level in conditions that prompted the been slow and encumbered by Central America. Hampered by limited designation of El Salvador for TPS in subsequent natural disasters and financial resources, the government 2001 continue to be met. See INA environmental challenges, including continues to struggle to respond section 244(b)(3)(A), 8 U.S.C. hurricanes and tropical storms, heavy adequately to increasing levels of crime, 1254a(b)(3)(A). On the basis of this rains and flooding, volcanic and seismic and there is little confidence the determination, I am extending the activity, an ongoing coffee rust security situation will improve in the designation of El Salvador for TPS for epidemic, and a prolonged regional short term. 18 months from September 10, 2016, drought that is impacting food security. The fiscal, unemployment, and through March 9, 2018. See INA The regional drought currently affecting security situations in El Salvador also sections 244(b)(2) and (b)(3), 8 U.S.C. El Salvador has made the country the remain poor. El Salvador’s economy is 1254a(b)(2) and (b)(3). driest it has been in 35 years. The experiencing significant challenges. drought is projected to cause more than Around a third of the country’s work Jeh Charles Johnson, $400 million in losses from corn, beans, force is underemployed or unable to Secretary. coffee, sugar cane, livestock, and find full-time work. In 2014, almost a vegetables, resulting in subsistence third of all Salvadorans (31.9 percent) Required Application Forms and farmers facing malnutrition and lived in poverty. Murder, extortion, and Application Fees To Register or Re- pressure to migrate. Due to the drought robbery rates are high, and the Register for TPS and a regional coffee rust epidemic, government struggles to respond To register or re-register for TPS based coffee production for the 2015–2016 adequately to crime, including on the designation of El Salvador, an harvest is projected to be 30-percent significant criminal gang activity. The applicant must submit each of the lower than the previous season, and the police suffer from insufficient staffing, following two applications: U.S. Department of Agriculture expects corruption, and inadequate training. 1. Application for Temporary next year’s harvests to be the smallest in The judicial system is also weak, with Protected Status (Form I–821). 80 years. Further, environmental and a low criminal conviction rate and high • If you are filing an application for social conditions have contributed to an levels of corruption, creating an late initial registration, you must pay outbreak of mosquito borne illnesses, environment of impunity. the fee for the Application for including chikungunya and dengue. Based upon this review and after Temporary Protected Status (Form Although progress has been made in consultation with appropriate U.S. I–821). See 8 CFR 244.2(f)(2) and 244.6 repairing physical damage caused by the Government agencies, the Secretary and information on late initial filing on 2001 earthquakes, infrastructure finds that: the USCIS TPS Web page at http:// challenges remain. El Salvador faces a • The conditions supporting the www.uscis.gov/tps. housing deficit of approximately March 9, 2001 designation of El • If you are filing an application for 630,000 houses, created in part because Salvador for TPS continue to be met. re-registration, you do not need to pay 340,000 homes destroyed in the 2001 See INA sections 244(b)(1)(B), (b)(3)(A) the fee for the Application for
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Temporary Protected Status (Form Temporary Protected Status (Form I– applicant receives a denial of his or her I–821). See 8 CFR 244.17. and 821), the Application for Employment fee waiver request and is unable to re- 2. Application for Employment Authorization (Form I–765), and file by the re-registration deadline, the Authorization (Form I–765). biometric services are also described in applicant may still re-file his or her • If you are applying for late initial 8 CFR 103.7(b)(1)(i). application. This situation will be registration and want an EAD, you must Biometric Services Fee reviewed to determine whether the pay the fee for the Application for applicant has established good cause for Employment Authorization (Form Biometrics (such as fingerprints) are late re-registration. However, applicants I–765) only if you are age 14 through 65. required for all applicants 14 years of are urged to re-file within 45 days of the No fee for the Application for age or older. Those applicants must date on their USCIS fee waiver denial Employment Authorization (Form submit a biometric services fee. As notice, if at all possible. See INA section I–765) is required if you are under the previously stated, if you are unable to 244(c)(3)(C); 8 U.S.C. 1254a(c)(3)(C); 8 age of 14 or are 66 and older and pay for the biometric services fee, you CFR 244.17(c). For more information on applying for late initial registration. may apply for a fee waiver by good cause for late re-registration, visit • If you are applying for re- completing a Request for Fee Waiver the USCIS TPS Web page at http:// registration, you must pay the fee for the (Form I–912) or by submitting a www.uscis.gov/tps. Note: As previously Application for Employment personal letter requesting a fee waiver, stated, although a re-registering TPS Authorization (Form I–765) only if you and providing satisfactory supporting beneficiary age 14 and older must pay want an EAD, regardless of age. documentation. For more information the biometric services fee (but not the • You do not pay the fee for the on the biometric services fee, please initial TPS application fee) when filing Application for Employment visit the USCIS Web site at http:// a TPS re-registration application, the Authorization (Form I–765) if you are www.uscis.gov. If necessary, you may be applicant may decide to wait to request not requesting an EAD, regardless of required to visit an Application Support an EAD, and therefore not pay the whether you are applying for late initial Center to have your biometrics Application for Employment registration or re-registration. captured. You must submit both completed Authorization (Form I–765) fee, until application forms together. If you are Re-Filing a Re-Registration TPS after USCIS has approved the unable to pay for the Application for Application After Receiving a Denial of individual’s TPS re-registration, if he or Employment Authorization (Form I– a Fee Waiver Request she is eligible. If you choose to do this, 765) and/or biometrics fee, you may USCIS urges all re-registering you would file the Application for apply for a fee waiver by completing a applicants to file as soon as possible Temporary Protected Status (Form I– Request for Fee Waiver (Form I–912) or within the 60-day re-registration period 821) with the fee and the Application submitting a personal letter requesting a so that USCIS can process the for Employment Authorization (Form I– fee waiver, and by providing satisfactory applications and issue EADs promptly. 765) without the fee and without supporting documentation. For more Filing early will also allow those requesting an EAD. information on the application forms applicants who may receive denials of Mailing Information and fees for TPS, please visit the USCIS their fee waiver requests to have time to TPS Web page at http://www.uscis.gov/ re-file their applications before the re- Mail your application for TPS to the tps. Fees for the Application for registration deadline. If, however, an proper address in Table 1.
TABLE 1—MAILING ADDRESSES
If . . . Mail to . . .
Are applying for re-registration and you live in the following states/terri- U.S. Postal Service: U.S. Citizenship and Immigration Services, Attn: tories: TPS El Salvador, P.O. Box 660864, Dallas, TX 75266. Alabama, Alaska, American Samoa, Arkansas, Colorado, Guam, Ha- Non-U.S. Postal Delivery Service: U.S. Citizenship and Immigration waii, Idaho, Iowa, Kansas, Louisiana, Minnesota, Mississippi, Mis- Services, Attn: TPS El Salvador, 2501 S. State Highway, 121 Busi- souri, Montana, Nebraska, New Mexico, New York, North Dakota, ness Suite 400, Lewisville, TX 75067. Northern Mariana Islands, Oklahoma, Puerto Rico, South Dakota, Tennessee, Texas, Utah, Virgin Islands, Wisconsin, Wyoming.
Are applying for re-registration and you live in the following states/terri- U.S. Postal Service: U.S. Citizenship and Immigration Services, Attn: tories: TPS El Salvador, P.O. Box 8635, Chicago, IL 60680–8635. Connecticut, Delaware, Florida, Georgia, Illinois, Indiana, Kentucky, Non-U.S. Postal Delivery Service: U.S. Citizenship and Immigration Maine, Maryland, Massachusetts, Michigan, New Hampshire, New Services, Attn: TPS El Salvador, 131 S. Dearborn—3rd Floor, Chi- Jersey, North Carolina, Ohio, Pennsylvania, Rhode Island, South cago, IL 60603–5517. Carolina, Vermont, Virginia, Washington D.C., West Virginia.
Are applying for re-registration and you live in the following states: U.S. Postal Service: U.S. Citizenship and Immigration Services, Attn: TPS El Salvador, P.O. Box 21800, Phoenix, AZ 85036. Arizona, California, Nevada, Oregon, Washington ...... Non-U.S. Postal Delivery Service: U.S. Citizenship and Immigration Services, Attn: TPS El Salvador, 1820 E. Skyharbor Circle S, Suite 100, Phoenix, AZ 85034.
Are applying for the first time as a late initial registration (this is for all U.S. Postal Service: U.S. Citizenship and Immigration Services, Attn: states/territories) TPS El Salvador, P.O. Box 8635, Chicago, IL 60680–8635. Non-U.S. Postal Delivery Service: U.S. Citizenship and Immigration Services, Attn: TPS El Salvador, 131 S. Dearborn—3rd Floor, Chi- cago, IL 60603–5517.
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If you were granted TPS by an National Customer Service Center for EAD to your employer as proof of Immigration Judge (IJ) or the Board of assistance before making an InfoPass identity and employment authorization Immigration Appeals (BIA), and you appointment. for Employment Eligibility Verification wish to request an EAD, or are re- (Form I–9) through March 9, 2017 (see Am I eligible to receive an automatic 6- registering for the first time following a the subsection titled ‘‘How do my month extension of my current EAD grant of TPS by an IJ or the BIA, please employer and I complete the mail your application to the appropriate through March 9, 2017? Employment Eligibility Verification address in Table 1. When submitting a Provided that you currently have TPS (Form I–9) using an automatically re-registration application and/or under the designation of El Salvador, extended EAD for a new job?’’ for requesting an EAD based on an IJ/BIA this Notice automatically extends your further information). To minimize grant of TPS, please include a copy of EAD by 6 months if you: confusion over this extension at the the IJ or BIA order granting you TPS • Are a national of El Salvador (or an time of hire, you should explain to your with your application. This will aid in alien having no nationality who last employer that USCIS has automatically the verification of your grant of TPS and habitually resided in El Salvador); extended your EAD through March 9, processing of your application, as • Received an EAD under the last 2017. You may also show your USCIS may not have received records of extension of TPS for El Salvador; and employer a copy of this Federal Register • your grant of TPS by either the IJ or the Have an EAD with a marked Notice confirming the automatic BIA. expiration date of September 9, 2016, extension of employment authorization bearing the notation ‘‘A–12’’ or ‘‘C–19’’ through March 9, 2017. As an E-Filing on the face of the card under alternative to presenting your You cannot electronically file your ‘‘Category.’’ automatically extended EAD, you may application when re-registering or Although this Notice automatically choose to present any other acceptable submitting an initial registration for El extends your EAD through March 9, document from List A, a combination of Salvador TPS. Please mail your 2017, you must re-register timely for one selection from List B and one application to the mailing address listed TPS in accordance with the procedures selection from List C, or a valid receipt. in Table 1. described in this Notice if you would like to maintain your TPS. What documentation may I show my Supporting Documents employer if I am already employed but The filing instructions on the When hired, what documentation may I my current TPS-related EAD is set to Application for Temporary Protected show to my employer as proof of expire? employment authorization and identity Status (Form I–821) list all the Even though EADs with an expiration when completing Employment documents needed to establish basic date of September 9, 2016, that state Eligibility Verification (Form I–9)? eligibility for TPS. You may also find ‘‘A–12’’ or ‘‘C–19’’ under ‘‘Category’’ information on the acceptable You can find a list of acceptable have been automatically extended for 6 documentation and other requirements document choices on the ‘‘Lists of months by this Federal Register Notice, for applying or registering for TPS on Acceptable Documents’’ for your employer will need to ask you the USCIS Web site at www.uscis.gov/ Employment Eligibility Verification about your continued employment tps under ‘‘El Salvador.’’ (Form I–9). You can find additional authorization once September 9, 2016, Do I need to submit additional detailed information on the USCIS I–9 is reached to meet its responsibilities for supporting documentation? Central Web page at http:// Employment Eligibility Verification www.uscis.gov/I-9Central. Employers (Form I–9). Your employer may need to If one or more of the questions listed are required to verify the identity and reinspect your automatically extended in Part 4, Question 2 of the Application employment authorization of all new EAD to check the expiration date and for Temporary Protected Status (Form I– employees by using Employment code to record the updated expiration 821) applies to you, then you must Eligibility Verification (Form I–9). date on your Form I–9 if he or she did submit an explanation on a separate Within 3 days of hire, an employee must not keep a copy of this EAD when you sheet(s) of paper and/or additional present proof of identity and initially presented it. However, your documentation. employment authorization to his or her employer does not need a new Employment Authorization Document employer. document to reverify your employment (EAD) You may present any document from authorization until March 9, 2017, the List A (reflecting both your identity and expiration date of the automatic How can I obtain information on the employment authorization) or one extension. Instead, you and your status of my EAD request? document from List B (reflecting employer must make corrections to the To get case status information about identity) together with one document employment authorization expiration your TPS application, including the from List C (reflecting employment dates in Section 1 and Section 2 of status of a request for an EAD, you can authorization). Or you may present an Employment Eligibility Verification check Case Status Online at http:// acceptable receipt for List A, List B, or (Form I–9) (see the subsection titled www.uscis.gov, or call the USCIS List C documents as described in the ‘‘What corrections should my current National Customer Service Center at Employment Eligibility Verification employer and I make to Employment 800–375–5283 (TTY 800–767–1833). If (Form I–9) Instructions. An EAD is an Eligibility Verification (Form I–9) if my your Application for Employment acceptable document under ‘‘List A.’’ EAD has been automatically extended?’’ Authorization (Form I–765) has been Employers may not reject a document for further information). In addition, pending for more than 90 days and you based on a future expiration date. you may also show this Federal Register still need assistance, you may request an If your EAD has an expiration date of Notice to your employer to explain what EAD inquiry appointment with USCIS September 9, 2016, and states ‘‘A–12’’ or to do for Employment Eligibility by using the InfoPass system at https:// ‘‘C–19’’ under ‘‘Category,’’ it has been Verification (Form I–9). infopass.uscis.gov. However, we extended automatically for 6 months by By March 9, 2017, the expiration date strongly encourage you first to check virtue of this Federal Register Notice, of the automatic extension, your Case Status Online or call the USCIS and you may choose to present your employer must reverify your
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employment authorization. At that time, extended. Before that time, however, c. Write ‘‘TPS Ext.’’ in the margin of you must present any document from USCIS will endeavor to issue new EADs Section 1; and List A or any document from List C on to eligible TPS re-registrants who d. Initial and date the correction in Employment Eligibility Verification request them. These new EADs will the margin of Section 1. (Form I–9) to reverify employment have an expiration date of March 9, 2. For Section 2, employers should: authorization, or an acceptable List A or 2018, and can be presented to your a. Draw a line through the expiration List C receipt described in the employer for completion of date written in Section 2; Employment Eligibility Verification Employment Eligibility Verification b. Write ‘‘March 9, 2017’’ above the (Form I–9) Instructions. Your employer (Form I–9). Alternatively, you may previous date; should complete either Section 3 of the choose to present any other legally c. Write ‘‘TPS Ext.’’ in the margin of Employment Eligibility Verification acceptable document or combination of Section 2; and (Form I–9) originally completed for you documents listed on the Employment d. Initial and date the correction in or, if this Section has already been Eligibility Verification (Form I–9). the margin of Section 2. completed or if the version of By March 9, 2017, when the Employment Eligibility Verification How do my employer and I complete automatic extension of EADs expires, (Form I–9) has expired (check the date Employment Eligibility Verification employers must reverify the employee’s in the upper right-hand corner of the (Form I–9) using an automatically employment authorization in Section 3. form), complete Section 3 of a new extended EAD for a new job? Employment Eligibility Verification When using an automatically If I am an employer enrolled in E-Verify, (Form I–9) using the most current extended EAD to complete Employment what do I do when I receive a ‘‘Work version. Note that employers may not Eligibility Verification (Form I–9) for a Authorization Documents Expiration’’ specify which List A or List C document new job prior to March 9, 2017, you and alert for an automatically extended employees must present, and cannot your employer should do the following: EAD? reject an acceptable receipt. 1. For Section 1, you should: E-Verify automated the verification a. Check ‘‘An alien authorized to Can my employer require that I produce process for employees whose TPS status work;’’ any other documentation to prove my b. Write your alien number (USCIS was automatically extended in a Federal status, such as proof of my Salvadoran number or A-number) in the first space Register Notice. If you have an citizenship? (your EAD or other document from DHS employee who is a TPS beneficiary who No. When completing Employment will have your USCIS number or A- provided a TPS-related EAD when he or Eligibility Verification (Form I–9), number printed on it; the USCIS she first started working for you, you including re-verifying employment number is the same as your A-number will receive a ‘‘Work Authorization authorization, employers must accept without the A prefix); and Documents Expiring’’ case alert when any documentation that appears on the c. Write the automatically extended the auto-extension period for this EAD ‘‘Lists of Acceptable Documents’’ for EAD expiration date (March 9, 2017) in is about to expire. By March 9, 2017, Employment Eligibility Verification the second space. you must reverify employment (Form I–9) that reasonably appears to be 2. For Section 2, employers should authorization in Section 3. Employers genuine and that relates to you or an record the: should not use E-Verify for acceptable List A, List B, or List C a. Document title; reverification. receipt. Employers may not request b. Document number; and Note to All Employers documentation that does not appear on c. Automatically extended EAD the ‘‘Lists of Acceptable Documents.’’ expiration date (March 9, 2017). Employers are reminded that the laws Therefore, employers may not request By March 9, 2017, employers must requiring proper employment eligibility proof of Salvadoran citizenship or proof reverify the employee’s employment verification and prohibiting unfair of re-registration for TPS when authorization in Section 3 of the immigration-related employment completing Employment Eligibility Employment Eligibility Verification practices remain in full force. This Verification (Form I–9) for new hires or (Form I–9). Notice does not supersede or in any way reverifying the employment limit applicable employment authorization of current employees. If What corrections should my current verification rules and policy guidance, presented with EADs that have been employer and I make to Employment including those rules setting forth automatically extended, employers Eligibility Verification (Form I–9) if my reverification requirements. For general should accept such EADs as valid List EAD has been automatically extended? questions about the employment A documents so long as the EADs If you are an existing employee who eligibility verification process, reasonably appear to be genuine and to presented a TPS-related EAD that was employers may call USCIS at 888–464– relate to the employee. Refer to the Note valid when you first started your job, 4218 (TTY 877–875–6028) or email to Employees section of this Notice for but that EAD has now been USCIS at [email protected]. Calls and important information about your rights automatically extended, your employer emails are accepted in English and if your employer rejects lawful may need to reinspect your many other languages. For questions documentation, requires additional automatically extended EAD if your about avoiding discrimination during documentation, or otherwise employer does not have a copy of the the employment eligibility verification discriminates against you based on your EAD on file, and you and your employer process, employers may also call the citizenship or immigration status, or should correct your previously U.S. Department of Justice, Office of your national origin. completed Employment Eligibility Special Counsel for Immigration-Related Verification (Form I–9) as follows: Unfair Employment Practices (OSC) What happens after March 9, 2017, for 1. For Section 1, you should: Employer Hotline at 800–255–8155 purposes of employment authorization? a. Draw a line through the expiration (TTY 800–237–2515), which offers After March 9, 2017, employers may date in the second space; language interpretation in numerous no longer accept the EADs that this b. Write ‘‘March 9, 2017’’ above the languages, or email OSC at osccrt@ Federal Register Notice automatically previous date; usdoj.gov.
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Note to Employees Information Hotline at 800–255–7688 interview at a local USCIS office. For general questions about the (TTY 800–237–2515). Additional Detailed information on how to make employment eligibility verification information about proper corrections, make an appointment, or process, employees may call USCIS at nondiscriminatory Employment submit a written request to correct 888–897–7781 (TTY 877–875–6028) or Eligibility Verification (Form I–9) and E- records under the Freedom of email at [email protected]. Calls are Verify procedures is available on the Information Act can be found at the accepted in English and many other OSC Web site at http://www.justice.gov/ SAVE Web site at http://www.uscis.gov/ languages. Employees or applicants may crt/about/osc/ and the USCIS Web site save, then by choosing ‘‘For Benefit also call the U.S. Department of Justice, at http://www.dhs.gov/E-verify. Applicants’’ from the menu on the left Office of Special Counsel for Note Regarding Federal, State, and and selecting ‘‘Questions about your Immigration-Related Unfair Local Government Agencies (Such as Records?’’ Employment Practices (OSC) Worker Departments of Motor Vehicles) [FR Doc. 2016–15802 Filed 7–7–16; 8:45 am] Information Hotline at 800–255–7688 While Federal Government agencies BILLING CODE 9111–97–P (TTY 800–237–2515) for information must follow the guidelines laid out by regarding employment discrimination the Federal Government, State and local based upon citizenship status, government agencies establish their own immigration status, or national origin, or rules and guidelines when granting DEPARTMENT OF HOUSING AND for information regarding discrimination certain benefits. Each State may have URBAN DEVELOPMENT related to Employment Eligibility different laws, requirements, and Verification (Form I–9) and E-Verify. determinations about what documents [Docket No. FR–5907–N–28] The OSC Worker Information Hotline you need to provide to prove eligibility provides language interpretation in for certain benefits. Whether you are Federal Property Suitable as Facilities numerous languages. applying for a Federal, State, or local To Assist the Homeless To comply with the law, employers government benefit, you may need to must accept any document or provide the government agency with AGENCY: Office of the Assistant combination of documents from the documents that show you are a TPS Secretary for Community Planning and Lists of Acceptable Documents if the beneficiary and/or show you are Development, HUD. documentation reasonably appears to be authorized to work based on TPS. genuine and to relate to the employee, ACTION: Notice. Examples are: or an acceptable List A, List B, or List (1) Your unexpired EAD that has been SUMMARY: This Notice identifies C receipt described in the Employment automatically extended or your EAD unutilized, underutilized, excess, and Eligibility Verification (Form I–9) that has not expired; Instructions. Employers may not require (2) A copy of this Federal Register surplus Federal property reviewed by extra or additional documentation Notice if your EAD is automatically HUD for suitability for possible use to beyond what is required for extended under this Notice; assist the homeless. Employment Eligibility Verification (3) A copy of your Application for FOR FURTHER INFORMATION CONTACT: (Form I–9) completion. Further, Temporary Protected Status Notice of Juanita Perry, Department of Housing employers participating in E-Verify who Action (Form I–797) for this re- and Urban Development, 451 Seventh receive an E-Verify case result of registration; Street SW., Room 7262, Washington, DC ‘‘Tentative Nonconfirmation’’ (TNC) (4) A copy of your past or current 20410; telephone (202) 402–3970; TTY must promptly inform employees of the Application for Temporary Protected number for the hearing- and speech- TNC and give such employees an Status Notice of Action (Form I–797), if impaired (202) 708–2565, (these opportunity to contest the TNC. A TNC you received one from USCIS; and/or telephone numbers are not toll-free), or case result means that the information (5) If there is an automatic extension call the toll-free Title V information line entered into E-Verify from Employment of work authorization, a copy of the fact at 800–927–7588. Eligibility Verification (Form I–9) differs sheet from the USCIS TPS Web site that from Federal or State government provides information on the automatic SUPPLEMENTARY INFORMATION: In records. extension. accordance with the December 12, 1988 Employers may not terminate, Check with the government agency court order in National Coalition for the suspend, delay training, withhold pay, regarding which document(s) the agency Homeless v. Veterans Administration, lower pay or take any adverse action will accept. You may also provide the No. 88–2503–OG (D.D.C.), HUD against an employee based on the agency with a copy of this Federal publishes a Notice, on a weekly basis, employee’s decision to contest a TNC or Register Notice. identifying unutilized, underutilized, because the case is still pending with E- Some benefit-granting agencies use excess and surplus Federal buildings Verify. A Final Nonconfirmation (FNC) the USCIS Systematic Alien Verification and real property that HUD has case result is received when E-Verify for Entitlements Program (SAVE) to reviewed for suitability for use to assist cannot verify an employee’s verify the current immigration status of the homeless. Today’s Notice is for the employment eligibility. An employer applicants for public benefits. If such an purpose of announcing that no may terminate employment based on a agency has denied your application additional properties have been case result of FNC. Work-authorized based solely or in part on a SAVE determined suitable or unsuitable this employees who receive an FNC may call response, the agency must offer you the week. USCIS for assistance at 888–897–7781 opportunity to appeal the decision in Dated: June 30, 2016. (TTY 877–875–6028). An employee that accordance with the agency’s believes he or she was discriminated procedures. If the agency has received Brian P. Fitzmaurice, against by an employer in the E-Verify and acted upon or will act upon a SAVE Director, Division of Community Assistance, process based on citizenship or verification and you do not believe the Office of Special Needs Assistance Programs. immigration status, or based on national response is correct, you may make an [FR Doc. 2016–16017 Filed 7–7–16; 8:45 am] origin, may contact OSC’s Worker InfoPass appointment for an in-person BILLING CODE 4210–67–P
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DEPARTMENT OF THE INTERIOR multiple planned wells, including consulted with the Colorado State drilling plans, Surface Use Plans of Historic Preservation Office (SHPO) and Bureau of Land Management Operations, and plans for future interested Indian Tribes. The SHPO [LLCOS05000.L13100000.DB0000.16X] production in order to guide that concurred with the BLM’s finding of no development going forward. The MDP effect on historic properties. Notice of Availability of the Final allows SGI to exercise their lease rights, The Final EIS analyzes a reasonable Environmental Impact Statement for while drilling in a manner that limits range of alternatives, including a No the Bull Mountain Unit Master the impacts to natural resources in the Action Alternative (Alternative A), the Development Plan, Gunnison County, area. proposed action (Alternative B), and a CO The Bull Mountain Unit MDP Final modified action (Alternative C). Based EIS analyzed the environmental impacts on the public comment received, AGENCY: Bureau of Land Management, of the exploration and development of additional internal reviews were Interior. up to 146 natural gas wells, four water completed by the BLM; updated ACTION: Notice. disposal wells, and associated information was provided by SGI; the infrastructure on Federal and private BLM added clarifying text to the Final SUMMARY: In accordance with the mineral leases within a federally EIS; and the BLM developed an National Environmental Policy Act of unitized area known as the Bull additional alternative, Alternative D, 1969 (NEPA), as amended, the Federal Mountain Unit. SGI developed the unit which was selected as the preferred Land Policy and Management Act of after exploration wells demonstrated the alternative. Alternative D includes 1976 (FLPMA), as amended, and the potential for economically viable additional design features that Mineral Leasing Act of 1920 (MLA), as reserves of natural gas. specifically address impacts to air amended, the Bureau of Land The Bull Mountain Unit is located resources and air quality-related Management (BLM) prepared a Final within the Colorado River basin, resource values, water resources, and Environmental Impact Statement (EIS) approximately 30 miles northeast of the wildlife. for the Bull Mountain Unit Master town of Paonia, and is bisected by State Alternative D is also the Development Plan (MDP) and by this Highway 133. The boundaries of the environmentally preferred alternative, notice is announcing its availability. unit encompass approximately 19,670 because it best achieves the following: DATES: The BLM will not issue a final acres of Federal and private oil and gas • Satisfies statutory requirements decision on the proposal for a minimum mineral estate in Gunnison County, CO. (true for all alternatives); of 30 days after the date the The unit consists of 440 acres of • Represents what the BLM believes Environmental Protection Agency federally owned surface lands and to be the best combination of action publishes its Notice of Availability for mineral estate administered by the BLM; alternatives analyzed in the EIS and best the Bull Mountain MDP Final EIS in the 12,900 acres of split-estate lands, meets the purpose and need for action, Federal Register. consisting of private surface and BLM- as described in Chapter 1 of the Final ADDRESSES: Copies of the Bull Mountain administered Federal mineral estate; EIS; MDP Final EIS are available for public and 6,330 acres of fee land, consisting • Provides the best approach to inspection at the Uncompahgre Field of private surface and private mineral address key resource and planning Office, 2465 South Townsend Ave., estate. issues; Work on the MDP began with a Montrose, CO 81401. Interested persons • Provides resource protection and a preliminary Environmental Assessment may also review the Final EIS on the viable strategy for development of the (EA) in 2008. In 2012, the BLM project Web site at www.blm.gov/co/st/ mineral resources in the area; determined that an EIS was necessary, en/BLM_Information/nepa/ufo/Bull_ • Responds to the public comments due to potential significant impacts to Mountain_EIS.html. received; and air quality in nearby Class I air sheds, • FOR FURTHER INFORMATION CONTACT: Gina Reflects input from cooperating water, socioeconomics, and wildlife. agencies, stakeholders, the public, and Jones, Southwest District NEPA The BLM released the Draft EIS for a 45- Coordinator; telephone (970) 240–5300; BLM resource specialists. day public comment period on January Alternative D is within the scope of Uncompahgre Field Office, 2465 South 16, 2015. The comment period was Townsend Ave., Montrose, CO 81401; the Alternatives analyzed in the Draft subsequently extended for an additional EIS. email [email protected]. Persons who 45 days and closed on April 16, 2015. use a telecommunications device for the The BLM held one public meeting on Authority: 40 CFR 1506.6, 40 CFR 1506.10. deaf (TDD) may call the Federal February 10, 2015, and received 565 Ruth Welch, Information Relay Service (FIRS) at unique comment letters and 83 form BLM Colorado State Director. 1–800–877–8339 to contact the above letters. The BLM carefully reviewed and [FR Doc. 2016–16090 Filed 7–7–16; 8:45 am] individual during normal business responded to those comments as part of hours. The FIRS is available 24 hours a the development of the Final EIS. BILLING CODE 4310–JB–P day, seven days a week, to leave a To comply with the Endangered message or question with the above Species Act, the BLM consulted with DEPARTMENT OF THE INTERIOR individual. You will receive a reply the U.S. Fish and Wildlife Service during normal business hours. (USFWS) for two threatened species— National Park Service SUPPLEMENTARY INFORMATION: SG greenback cutthroat trout and the Interests I, Ltd. (SGI) submitted a master Canada Lynx. The USFWS concurred [NPS–WASO–BSD–CONC–20917; development plan proposal, the Bull with the BLM’s finding that the PPWOBSADC0, PPMVSCS1Y.Y00000(166)] Mountain MDP, to the BLM’s proposed action ‘‘may affect, but is not Information Collection Request Sent to Uncompahgre Field Office for its Bull likely to adversely affect’’ the greenback the Office of Management and Budget Mountain Unit. The MDP covers natural cutthroat trout and the Canada Lynx, or (OMB) for Approval; Commercial Use gas exploration and development within designated habitat for either species. To Authorizations the Bull Mountain Unit. An MDP comply with Section 106 of the National provides information common to Historic Preservation Act, the BLM AGENCY: National Park Service, Interior.
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ACTION: Notice; request for comments. services to visitors in units of the • Determine the qualifications and National Park System through a abilities of the commercial operators to SUMMARY: We (National Park Service, Commercial Use Authorization (CUA). provide a high quality, safe, and NPS) have sent an Information Such authorizations are not considered enjoyable experience for park visitors. Collection Request (ICR) to OMB for concession contracts. We authorize • Determine the impact on the parks review and approval. We summarize the commercial operations that originate natural and cultural resources. ICR below and describe the nature of the and operate entirely within a park (in- • collection and the estimated burden and Manage the use and impact of park); commercial operations that multiple operators. cost. This IC is scheduled to expire on provide services originating and August 31, 2016. We may not conduct The information requested will allow terminating outside of the park the NPS to evaluate requests for a or sponsor and you are not required to boundaries; organized children’s camps, respond to a collection of information commercial use authorization and outdoor clubs, and nonprofit unless it displays a currently valid OMB determine the suitability of the institutions; and other uses as the control number. applicants to safely and effectively Secretary determines appropriate. The DATES: You must submit comments on provide an appropriate service to the commercial operations include a range visiting public. It will also enable the or before August 8, 2016. of services, such as mountain climbing ADDRESSES: Send your comments and NPS to manage the activity in a manner guides, boat repair services, that protects the natural and cultural suggestions on this information transportation services and tours, canoe collection to the Desk Officer for the resources and the park visitor. livery operations, hunting guides, retail Management includes, but is not limited Department of the Interior at OMB— sales, equipment rentals, catering _ to, managing the number of permits OIRA at (202) 395–5806 (fax) or OIRA services, and dozens of other visitor [email protected] (email). issued, determining the location and services. time that the activity occurs, and Please provide a copy of your comments Section 418 limits CUAs to: requiring the appropriate visitor to Madonna L. Baucum, Information • Commercial operations with annual protections including insurance, Collection Clearance Officer, National gross receipts of not more than $25,000 equipment, training, and procedures. Park Service, 12201 Sunrise Valley resulting from services originating and Drive, Room 2C114, Mail Stop 242, provided solely within a unit of the Regulations Resulting in Information _ Reston, VA 20192 (mail); or madonna National Park System; Collection Required for a Commercial [email protected] (email). Please • Incidental use of resources of the Use Authorization include ‘‘1024–0268 CUA’’ in the unit by commercial operations which subject line of your comments. provide services originating and 36 CFR 1.6—Permits FOR FURTHER INFORMATION CONTACT: To terminating outside of the boundaries of 36 CFR 2—Resource Protection, Public request additional information about the unit; or Use and Recreation this ICR, contact Samantha Towery, • Uses by organized children’s 36 CFR 5—Commercial and Private National Park Service, 12795 West camps, outdoor clubs and nonprofit Operations. Alameda Parkway, Lakewood, CO institutions (including back country 36 CFR 7—Special Regulations, 80228; by fax at (303) 987–6901; or via use) and such other uses as the 36 CFR Sec. 13—National Park System _ email at Samantha [email protected]. Secretary determines appropriate. Units in Alaska You may review the ICR online at The legislative mandate of the NPS, http://www.reginfo.gov. Follow the found at 54 U.S.C. 1100101, is to II. Data instructions to review Department of the preserve America’s natural wonders OMB Number: 1024–0268. Interior collections under review by unimpaired for future generations, Title: Commercial Use Authorization. OMB. while also making them available for the Form(s): 10–550, ‘‘Commercial Use enjoyment of visitors. Meeting this SUPPLEMENTARY INFORMATION: Authorization Application and mandate requires the NPS to balance Instructions’’, 10–660, ‘‘Commercial Use I. Abstract preservation with use. Maintaining a Authorization Annual Report and The purpose of this information good balance requires both information Instructions’’, and 10–660A, collection is to assist the NPS in and limits. The information requested ‘‘Commercial Use Authorization managing the Commercial Use will allow the unit manager to evaluate Monthly Report and Instructions’’. Authorization Program. Conducting requests for a commercial use to commercial operations in a unit of the determine impact on the resources and Type of Request: Revision to a National Park System without a the appropriateness of the activity. Currently Approved Collection. contract, permit, commercial use We collect information on the CUA Description of Respondents: authorization, or some other written Application (Form 10–550), the CUA Respondents will be businesses that agreement is prohibited. Section 418, Annual Report (Form 10–660), and CUA wish to provide a commercial service to Public Law 105–391 (54 U.S.C. 101925) Monthly Report (Form 10–660A). We visitors in areas of the National Park gives the Secretary of the Interior the use the information from these forms to: System. authority to authorize a private person, • Manage the program and Respondent Obligation: Required to corporation, or other entity to provide operations. Obtain or Retain a Benefit.
Average time Annual Total annual per response Total annual respondents responses (hours) burden hours
Form 10–550, ‘‘Commercial Use Authorization Application and Instructions’’
Private Sector ...... 5,900 5,900 2.5 14,750
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Average time Annual Total annual per response Total annual respondents responses (hours) burden hours
Form 10–660, ‘‘Commercial Use Authorization Annual Report and Instructions’’
Private Sector ...... 5,900 5,900 1.25 7,375
Form 10–660A, ‘‘Commercial Use Authorization Monthly Report and Instructions’’
Private Sector ...... 5,900 53,100 .75 39,825
Totals ...... 17,700 64,900 ...... 61,950
Estimated Annual Nonhour Burden management decisions. By requiring information from public review, we Cost: $590,000 ($100 × 5,900 Forms 10– only those authorized transportation cannot guarantee that it will be done. 550, ‘‘Commercial Use Authorization providers to submit the CUA Monthly Dated: July 1, 2016. Application and Instructions’’ per year). report, duplicate reporting is Madonna L. Baucum, eliminated. The decision to limit the III. Comments requirement of monthly reporting to Information Collection Clearance Officer, National Park Service. On January 11, 2016, we published in only those CUA holders providing the Federal Register (80 FR 1202) a transportation was reached after public [FR Doc. 2016–16208 Filed 7–7–16; 8:45 am] Notice requesting public comment on meetings held with current and BILLING CODE 4310–EH–P this information collection. The prospective CUA holders. The NPS did comment period ended on March 11, not make any changes to our DEPARTMENT OF THE INTERIOR 2016. We received five comments in information collection based on these response to this Notice, all of which comments. National Park Service concerned the new requirement of form We also received a comment from 10–660A, CUA Monthly Reporting at Jean Public. The commenter did not [NPS–WASO–NRSS–EQD–SSB–21470; Katmai National Park. Commenters address the information collection PPSESERON2, PPMRSNR1N.NM0000 (166)] stated that the additional reporting requirements, but stated that the Information Collection Request Sent to requirement would create excess burden Government should charge CUA holders the Office of Management and Budget on CUA holders during a very busy and fees to operate on public lands. NPS is (OMB) for Approval; Cape Lookout short operating season. They also legally required to charge a fee for National Seashore Cultural Resource expressed concern that the requirement commercial operations [section 418, Values and Vulnerabilities Assessment to report visitation numbers would Pub. L. 105–391 (54 U.S.C. 101925)]. result in duplicate reporting since most Parks, at a minimum, charge a fee to AGENCY: National Park Service, Interior. park visitors utilized the services of recover costs associated with the ACTION: Notice; request for comments. more than one CUA holder. management and administration of NPS Response/Action Taken: NPS CUAs. We did not make any changes to SUMMARY: We (National Park Service, must strictly manage some CUA our information collection based on this NPS) have sent an Information activities by imposing restrictions such comment. Collection Request (ICR) to OMB for as daily visitor limits to protect We again invite comments concerning review and approval. We summarize the sensitive natural and cultural resources. this information collection on: ICR below and describe the nature of the Parks may require the submission of the • Whether or not the collection of collection and the estimated burden and CUA Monthly Report to more closely information is necessary, including cost. We may not conduct or sponsor track these CUA activities and whether or not the information will and a person is not required to respond associated visitor use to ensure that have practical utility; to a collection of information unless it maximum daily limits and seasonal • The accuracy of our estimate of the displays a currently valid OMB Control average limits are not exceeded. By burden for this collection of Number. However, under OMB closely monitoring this information, the information; regulations, we may continue to • parks can also ensure that commercial Ways to enhance the quality, utility, conduct or sponsor this information operators do not exceed the authorized and clarity of the information to be collection while it is pending at OMB. use before the end of the season and collected; and DATES: To ensure that your comments create a gap when prospective visitors • Ways to minimize the burden of the on this ICR are considered, OMB must cannot be accommodated. collection of information on receive them on or before August 8, Additionally, in Katmai National Park respondents. only, CUA holders that provide Comments that you submit in 2016. transportation are required to submit the response to this notice are a matter of ADDRESSES: Please direct all written CUA Monthly report in addition to the public record. Before including your comments on this ICR directly to the CUA Annual Report. The vast majority address, phone number, email address, Office of Management and Budget of visitors access the park by plane or or other personal identifying (OMB) Office of Information and boat operated by authorized commercial information in your comment, you Regulatory Affairs, Attention: Desk service providers and there are no should be aware that your entire Officer for the Department of the entrance stations to track the number of comment, including your personal Interior, to OIRA_Submission@ visitors. The CUA Monthly reports identifying information, may be made omb.eop.gov (email) or 202–395–5806 provide the only means of securing an publicly available at any time. While (fax); and identify your submission as accurate visitor count and are used to you can ask OMB in your comment to 1024–CALOSURV. Please also send a influence short-term resource withhold your personal identifying copy of your comments to Phadrea
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Ponds, Information Collection includes the time for reviewing SUMMARY: This notice sets forth the date Coordinator, National Park Service, instructions and completing the survey. of the 303rd Meeting of the Cape Cod 1201 Oakridge Drive, Fort Collins, CO Estimated Annual Reporting and National Seashore Advisory 80525 (mail); or phadrea_ponds@ Recordkeeping ‘‘Non-Hour Cost’’: None. Commission. nps.gov (email). Please reference III. Request for Comments DATES: The public meeting of the Cape Information Collection 1024– Cod National Seashore Advisory CALOSURV in the subject line. A notice was published in the Federal Commission will be held on Monday, FOR FURTHER INFORMATION CONTACT: Register (80 FR 29334) on May 21, 2015 September 19, 2016, at 1:00 p.m. Phadrea Ponds, Information Collection stating that we intended to request OMB (EASTERN). Coordinator, National Park Service, approval of our information collection ADDRESSES: The 303rd meeting of the 1201 Oakridge Drive, Fort Collins, CO associated with the Cape Lookout Cape Cod National Seashore Advisory 80525 (mail); or phadrea_ponds@ National Seashore Cultural Resource Commission will take place on Monday, nps.gov (email). Please reference Values and Vulnerabilities Assessment September 19, 2016, at 1:00 p.m., in the Information Collection 1024– project. In this notice, we solicited conference room at park headquarters, CALOSURV in the subject line. You public comment for 60 days ending June 99 Marconi Site Road, Wellfleet, may also access this ICR at 8, 2015. We did not receive any Massachusetts 02667 to discuss the www.reginfo.gov. comments in response to that notice. We again invite comments concerning following: I. Abstract this information collection on: 1. Adoption of Agenda Managers of Cape Lookout National • Whether the proposed collection of 2. Reports of Officers Seashore (CALO) are interested in information is necessary for the agency 3. Reports of Subcommittees identifying ways to reduce the risk of to perform its duties, including whether Update of Pilgrim Nuclear Plant damage to coastal buildings and the information is useful; Emergency Planning Subcommittee • The accuracy of the agency’s Nickerson Fellowship sensitive species from storm surge, sea 4. Superintendent’s Report level rise, and shoreline erosion estimate of the burden of the proposed Update From U.S. Army Corps of anticipated over the next 20 to 30 years. collection of information; Engineers About Next Steps for FUDS Of specific interest to managers are • Ways to enhance the quality, (Formerly Used Defense Sites) contemporary cultural resource values usefulness, and clarity of the Examination of Un-Exploded Ordnance and perceptions of cultural resource information to be collected; and Former Camp Wellfleet Update on Horton’s vulnerability and feasible adaptation • Ways to minimize the burden on Campground Private Commercial strategies to sustain its cultural the respondents, including the use of Properties Related to Their Certificates of resources for future generations. The automated collection techniques or Suspension From Condemnation other forms of information technology. Storm Damage/Erosion Update National Park Service will conduct a Shorebird Management Plan/ survey with members of CALO’s partner Comments that you submit in Environmental Assessment—Update organizations and cultural resource response to this notice are a matter of Seashore Projects experts from federal and state agencies public record. Before including your Nauset Spit Update and nongovernmental organizations. address, phone number, email address, National Park Service Centennial The collection will be used to or other personal identifying Improved Properties/Town Bylaws understand the values these information in your comment, you Herring River Wetland Restoration stakeholders place on cultural resources should be aware that your entire Highlands Center Update within the historic districts, and comment, including your personal Ocean Stewardship Topics—Shoreline perceptions of strategies to adapt and identifying information, may be made Change Climate Friendly Parks respond to changes in cultural resource publicly available at any time. While 5. Old Business conditions from storms, flooding, and you can ask OMB in your comment to Live Lightly Campaign Progress Report erosion. The information from this withhold your personal identifying 6. New Business collection will provide NPS managers information from public review, we 7. Date and Agenda for Next Meeting with information that can be used to cannot guarantee that it will be done. 8. Public Comment 9. Adjournment prepare resource management planning Dated: July 1, 2016. documents. Madonna L. Baucum FOR FURTHER INFORMATION CONTACT: II. Data Information Collection Clearance Officer, Further information concerning the National Park Service. meeting may be obtained from George E. OMB Control Number: 1024—New. Price, Jr., Superintendent, Cape Cod Title: Cape Lookout National Seashore [FR Doc. 2016–16209 Filed 7–7–16; 8:45 am] National Seashore, 99 Marconi Site, Cultural Resource Values and BILLING CODE 4310–EH–P Wellfleet, Massachusetts 02667, or via Vulnerabilities Assessment. telephone at (508) 771–2144 or by email Type of Request: New collection. _ Affected Public: Federal, state and DEPARTMENT OF THE INTERIOR at george [email protected]. local government and nongovernmental, SUPPLEMENTARY INFORMATION: The members of partner organizations and National Park Service Commission was reestablished pursuant academic faculty with cultural resource to Public Law 87–126, as amended by expertise in historic preservation. [NPS–NERO–CACO–21348; PPNECACOS0, Public Law 105–280. The purpose of the Respondent Obligation: Voluntary. PPMPSD1Z.YM0000] Commission is to consult with the Frequency of Collection: One time. Secretary of the Interior, or her Estimated Number of Responses: 260. Notice of September 19, 2016, Meeting designee, with respect to matters Estimated Annual Burden Hours: 65 for Cape Cod National Seashore relating to the development of Cape Cod hours. We estimate the public reporting Advisory Commission National Seashore, and with respect to burden for The Partner Survey to be 15 AGENCY: National Park Service, Interior. carrying out the provisions of sections 4 minutes per response and 45 minutes and 5 of the Act establishing the ACTION: Meeting notice. per response for the Expert Survey. This Seashore.
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The meeting is open to the public. It membership, contact Designated Federal cannot guarantee that we will be able to is expected that 15 persons will be able Official Donald Striker, Superintendent, do so. to attend the meeting in addition to at (907) 683–9581, or via email at don_ Alma Ripps, Commission members. Interested [email protected] or Amy Craver, persons may make oral/written Subsistence Manager at (907) 644–3604 Chief, Office of Policy. presentations to the Commission during or by email at [email protected] or [FR Doc. 2016–16138 Filed 7–7–16; 8:45 am] the business meeting or file written Clarence Summers, Subsistence BILLING CODE 4310–EE–P statements. Such requests should be Manager, at (907) 644–3603 or via email made to the park superintendent prior at [email protected]. DEPARTMENT OF THE INTERIOR to the meeting. Before including your Proposed Meeting Agenda: The address, telephone number, email agenda may change to accommodate Bureau of Reclamation address, or other personal identifying SRC business. The proposed meeting information in your comment, you agenda includes the following: [RR02013000, 16XR0680G3, should be aware that your entire RX178511101000000] 1. Call to Order—Confirm Quorum comment—including your personal Notice of Availability for the Final identifying information—may be made 2. Welcome and Introductions Environmental Impact Statement/ publicly available at any time. While 3. Review and Adoption of Agenda Environmental Impact Report for the you may ask us in your comment to 4. Approval of Minutes Mendota Pool Bypass and Reach 2B withhold your personal identifying 5. Superintendent’s Welcome and Improvements Project information from public review, we Review of the SRC Purpose cannot guarantee that we will be able to 6. SRC Membership Status AGENCY: Bureau of Reclamation, do so. 7. SRC Chair and Members’ Reports Interior. Alma Ripps, 8. Superintendent’s Report ACTION: Notice. Chief, Office of Policy. 9. Old Business SUMMARY: The Bureau of Reclamation [FR Doc. 2016–16139 Filed 7–7–16; 8:45 am] 10. New Business and the California State Lands BILLING CODE 4310–EE–P 11. Federal Subsistence Board Update Commission have prepared the Mendota 12. Alaska Boards of Fish and Game Pool Bypass and Reach 2B Update Improvements Project Final DEPARTMENT OF THE INTERIOR Environmental Impact Statement/ 13. National Park Service Reports Environmental Impact Report (EIS/EIR). National Park Service a. Ranger Update The Mendota Pool Bypass and Reach 2B [NPS–AKRO–DENA–21466; PPAKAKROR4; b. Resource Manager’s Report Improvements Project is a component of PPMPRLE1Y.LS0000] c. Subsistence Manager’s Report Phase 1 of the San Joaquin River 14. Public and Other Agency Comments Restoration Program which seeks to Notice of an Open Public Meeting for 15. Work Session restore flows to the San Joaquin River the National Park Service Alaska from Friant Dam to the confluence of Region Subsistence Resource 16. Set Tentative Date and Location for Next SRC Meeting the Merced River, and restore a self- Commission Program sustaining Chinook salmon fishery in 17. Adjourn Meeting AGENCY: National Park Service, Interior. the river while reducing or avoiding SRC meeting locations and dates may ACTION: Meeting notice. adverse water supply impacts associated change based on inclement weather or with restoration flows. The Project SUMMARY: As required by the Federal exceptional circumstances. If the includes the construction, operation, Advisory Committee Act (16 U.S.C. meeting date and location are changed, and maintenance of the Mendota Pool Appendix 1–16), the National Park the Superintendent will issue a press Bypass and improvements in the San Service (NPS) is hereby giving notice release and use local newspapers and Joaquin River channel in Reach 2B to that the Denali National Park radio stations to announce the contribute to achieving the San Joaquin Subsistence Resource Commission rescheduled meeting. River Restoration Program’s Restoration (SRC) will hold a public meeting to SUPPLEMENTARY INFORMATION: The Goal. develop and continue work on NPS meetings are open to the public and will DATES: The Bureau of Reclamation subsistence program recommendations, have time allocated for public (Reclamation) will not issue a final and other related regulatory proposals testimony. The public is welcome to decision on the proposed action until at and resource management issues. The present written or oral comments to the least 30 days after the date that the NPS SRC program is authorized under SRC. SRC meetings will be recorded and Environmental Protection Agency title VIII, section 808 of the Alaska meeting minutes will be available upon releases the Final EIS/EIR. After the EIS/ National Interest Lands Conservation request from the Superintendent for EIR has been available for 30 days, Act, Public Law 96–487. public inspection approximately six Reclamation will complete a Record of DATES: The Denali National Park SRC weeks after the meeting. Before Decision. The Record of Decision will will meet from 10:30 a.m. to 5:00 p.m. including your address, telephone state the action that Reclamation will or until business is completed on number, email address, or other implement and will discuss all factors Tuesday, August 2, 2016. personal identifying information in your considered in the decision. ADDRESSES: The Denali National Park comment, you should be aware that ADDRESSES: Send written SRC will meet at Friday Creek at the your entire comment—including your correspondence or requests for copies or Kantishna Yurt in Denali National Park, personal identifying information—may a compact disc of the Final EIS/EIR to AK. be made publicly available at any time. Ms. Becky Victorine, Bureau of For more detailed information While you may ask us in your comment Reclamation, San Joaquin River regarding this meeting, or if you are to withhold your personal identifying Restoration Program, 2800 Cottage Way, interested in applying for SRC information from public review, we Room W–1727, Sacramento, California
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95825, via email to [email protected], including Restoration Flows similar to comments and any additional or by calling (916) 978–4624. those that started January 2014, and information received during the review The Final EIS/EIR may be viewed on other reasonably foreseeable actions period. Reclamation’s Web site at http:// expected to occur in the Project area. Copies of the Final EIS/EIR are www.usbr.gov/mp/nepa/nepa_ Four Action Alternatives are analyzed available for public review at the projdetails.cfm?Project_ID=4032. See in the EIS/EIR: Alternative A (Compact following locations: the Supplementary Information section Bypass with Narrow Floodplain and 1. Bureau of Reclamation, Mid-Pacific for locations where copies of the Final South Canal), Alternative B (Compact Region, Regional Library, 2800 Cottage EIS are available for public review. Bypass with Consensus-Based Way, Sacramento, CA 95825. FOR FURTHER INFORMATION CONTACT: Ms. Floodplain and Bifurcation Structure), 2. Natural Resources Library, U.S. Katrina Harrison, Program Engineer, Alternative C (Fresno Slough Dam with Department of the Interior, 1849 C Street Bureau of Reclamation, via email at Narrow Floodplain and Short Canal), NW., Main Interior Building, [email protected], or at (916) 978– and Alternative D (Fresno Slough Dam Washington, DC 20240–0001. 5465; or Chris Huitt, California State with Wide Floodplain and North Canal). Public Disclosure Lands Commission, via email at All four Action Alternatives are designed to provide conveyance of at Before including your address, phone [email protected], or at (916) number, email address, or other 574–2080. least 4,500 cfs in Reach 2B and through the Mendota Pool Bypass, and diversion personal identifying information in any SUPPLEMENTARY INFORMATION: The San and screening of up to 2,500 cfs from communication, you should be aware Joaquin River Restoration Program Reach 2B into Mendota Pool. that your entire communication— (SJRRP) was established in late 2006 to Constructed elements common to the including your personal identifying implement the Stipulation of Settlement Action Alternatives include the information—may be made publicly (Settlement) in Natural Resources provision of fish habitat and passage, available at any time. While you can ask Defense Council, et al. v. Kirk Rodgers, seepage control measures, removal of us in your communication to withhold et al. The Mendota Pool Bypass and existing levees and structures, and levee your personal identifying information Reach 2B Improvements Project and structure construction and from public review, we cannot (Project) consists of establishing a modification, among other activities. guarantee that we will be able to do so. floodplain width which would be Alternative B (Compact Bypass with Dated: April 13, 2016. capable of conveying at least 4,500 Consensus-Based Floodplain and cubic feet per second (cfs), a method to Pablo R. Arroyave, Bifurcation Structure) [PREFERRED Deputy Regional Director, Mid-Pacific Region. bypass restoration flows around ALTERNATIVE], would construct the [FR Doc. 2016–15891 Filed 7–7–16; 8:45 am] Mendota Pool, and a method to deliver Compact Bypass Channel between water to Mendota Pool. The Project Reach 2B and Reach 3 to bypass the BILLING CODE 4332–90–P footprint extends from approximately Mendota Pool. Restoration Flows would 0.3 mile above the Chowchilla Bypass enter Reach 2B at the Chowchilla DEPARTMENT OF THE INTERIOR Bifurcation Structure to approximately Bifurcation Structure, flow through one mile below the Mendota Dam in the Reach 2B, then downstream to Reach 3 Bureau of Safety and Environmental area of Fresno and Madera counties, via the Compact Bypass Channel. The Enforcement near the town of Mendota, California. existing Chowchilla Bifurcation This Final EIS/EIR has been prepared in Structure would continue to divert San [Docket ID BSEE–2016–0008; OMB Control coordination with the parties to the Number 1014–0001 164E1700D2 Joaquin River flows into the Chowchilla EEEE500000 ET1SF0000.DAQ000] Settlement and the SJRRP Implementing Bypass during flood operations, and a Agencies, including the U.S. Fish and fish passage facility and control Information Collection Activities: Oil Wildlife Service, National Marine structure modifications would be and Gas Well-Workover Operations; Fisheries Service, State of California included at the San Joaquin River Proposed Collection; Comment Department of Water Resources, and control structure at the Chowchilla Request State of California Department of Fish Bypass. A bifurcation structure would and Wildlife. National Marine Fisheries be built at the head of the Compact ACTION: 60-Day notice. Service, U.S. Environmental Protection Bypass Channel to control diversions Agency, and the U.S. Army Corps of into Mendota Pool. Fish passage SUMMARY: To comply with the Engineers have been cooperating facilities would be built at the Compact Paperwork Reduction Act of 1995 agencies in preparation of the Final EIS/ Bypass bifurcation structure to provide (PRA), the Bureau of Safety and EIR. passage around the structure and Environmental Enforcement (BSEE) is The EIS/EIR analyzes five prevent fish being entrained in the inviting comments on a collection of alternatives. Under the No-Action diversion. The San Mateo Avenue information that we will submit to the Alternative, the Project would not be crossing would be removed. Office of Management and Budget implemented. Although future A Notice of Availability for the Draft (OMB) for review and approval. The conditions would not include the EIS/EIR was published in the Federal information collection request (ICR) components described below in the Register on June 9, 2015 (80 FR 32604). concerns renewal to the paperwork Action Alternatives, other components The comment period for the Draft EIS/ requirements in the regulations under of the SJRRP would be implemented EIR ended on August 10, 2015. Public Subpart F, Oil and Gas Well-Workover following completion and receipt of meetings on the Draft EIS/EIR were held Operations. appropriate environmental reviews and on Wednesday, July 8, 2015, from 6 to DATES: You must submit comments by approvals, as necessary. Likely future 9 p.m., in Fresno, CA; Thursday, July 9, September 6, 2016. conditions include implementation of 2015, from 6 to 9 p.m., in Los Banos, ADDRESSES: You may submit comments the other components of the SJRRP CA; and Friday, July 10, 2015, from 9 by either of the following methods listed selected alternative, as described in the a.m. to 12 noon, in Sacramento, CA. The below. 2012 Record of Decision and analyzed Final EIS/EIR contains responses to all • Electronically: go to in the SJRRP Program EIS/EIR, comments received and reflects www.regulations.gov and search for
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BSEE–2016–0008. Follow the delegated to BSEE to ensure that • Review well-workover procedures instructions to submit public comments operations in the OCS will meet relating to hydrogen sulfide (H2S) to and view all related materials. We will statutory requirements; provide for ensure the safety of the crew in the post all comments. safety and protection of the event of encountering H2S. • Email: [email protected]. You may also environment; and result in diligent • Review well-workover diagrams hand-carry comments to the Department exploration, development, and and procedures to ensure the safety of of the Interior; BSEE; Regulations and production of OCS leases. This well-workover operations. Standards Branch; Attention: Kelly information collection (IC) request • Verify that the crown block safety Odom; 45600 Woodland Road, Sterling, addresses the regulations at 30 CFR 250, device is operating and can be expected Virginia 20166. Please reference ICR subpart F, Oil and Gas Well-Workover to function and avoid accidents. 1014–0001 in your comment and Operations, and any associated • Assure that the well-workover include your name and return address. supplementary Notices to Lessees and operations are conducted on well casing FOR FURTHER INFORMATION CONTACT: Operators (NTLs) intended to provide that is structurally competent. Kelly Odom, Regulations and Standards clarification, description, or explanation The BSEE will protect proprietary Branch at (703) 787–1775 to request of these regulations. information according to the Freedom of additional information about this ICR. In addition to the general rulemaking Information Act (5 U.S.C. 552) and its SUPPLEMENTARY INFORMATION: authority of the OCSLA at 43 U.S.C. implementing regulations (43 CFR 2); 30 Title: 30 CFR part 250, subpart F, Oil 1334, section 301(a) of the Federal Oil CFR 250.197, Data and information to and Gas Well-Workover Operations. and Gas Royalty Management Act be made available to the public or for OMB Control Number: 1014–0001. (FOGRMA), 30 U.S.C. 1751(a), grants limited inspection; and 30 CFR part 252, Abstract: The Outer Continental Shelf authority to the Secretary to prescribe OCS Oil and Gas Information Program. (OCS) Lands Act, as amended (43 U.S.C. such rules and regulations as are No items of a sensitive nature are 1331 et seq. and 43 U.S.C. 1801 et seq.), reasonably necessary to carry out collected. Responses are mandatory. authorizes the Secretary of the Interior FOGRMA’s provisions. While the to prescribe rules and regulations Frequency: On occasion, weekly, majority of FOGRMA is directed to monthly, annually, and varies by necessary for the administration of the royalty collection and enforcement, leasing provisions of the Act related to section. some provisions apply to offshore Description of Respondents: Potential the mineral resources on the OCS. Such operations. For example, section 108 of rules and regulations will apply to all respondents include Federal OCS oil, FOGRMA, 30 U.S.C. 1718, grants the operations conducted under a lease. gas, and sulphur lessees and holders of Secretary broad authority to inspect Operations on the OCS must preserve, pipeline rights-of-way. lease sites for the purpose of protect, and develop mineral resources Estimated Reporting and determining whether there is in a manner that is consistent with the Recordkeeping Hour Burden: The compliance with the mineral leasing need to make such resources available current OMB inventory includes 53,156 laws. Section 109(c)(2) and (d)(1), 30 to meet the Nation’s energy needs as burden hours for this collection of U.S.C. 1719(c)(2) and (d)(1), impose rapidly as possible; to balance orderly information. This submission requests substantial civil penalties for failure to energy resource development with 2,941 burden hours. The adjustment permit lawful inspections and for protection of human, marine, and decrease of 50,215 hours is due to the coastal environments; to ensure the knowing or willful preparation or publication of the final blowout public a fair and equitable return on the submission of false, inaccurate, or preventer regulations which moved resources of the OCS; and to preserve misleading reports, records, or other many of the requirements of Subpart F and maintain free enterprise information. Because the Secretary has into the new Subpart G regulations, Well competition. delegated some of the authority under Operations and Equipment. There is no Section 5(a) of the OCS Lands Act FOGRMA to BSEE, 30 U.S.C. 1751 is non-hour cost burden associated with requires the Secretary to prescribe rules included as additional authority for this collection. The following chart and regulations ‘‘to provide for the these requirements. details the individual components and prevention of waste, and conservation of The regulations at 30 CFR 250, respective hour burden estimates of this the natural resources of the Outer Subpart F, Oil and Gas Well-Workover ICR. In calculating the burdens, we Continental Shelf, and the protection of Operations are the subject of this assumed that respondents perform correlative rights therein’’ and to collection. Specifically, BSEE uses the certain requirements in the normal include provisions ‘‘for the prompt and information collected to: course of their activities. We consider efficient exploration and development • Review log entries of crew meetings these to be usual and customary and of a lease area.’’ These authorities and to verify that safety procedures have took that into account in estimating the responsibilities are among those been properly reviewed. burden.
BURDEN BREAKDOWN
Citation Average Annual burden 30 CFR 250, Subpart F Reporting requirement Hour burden number of annual hours and NTL reponses (rounded)
600–620 ...... General departure and alternative compliance re- Burden covered under 1014–0022. 0 quests not specifically covered elsewhere in Sub- part F regulations.
611 ...... Document results weekly of traveling-block safety 1.5 351 workovers × 3 results 1,580 device in the operations log. = 1,053. 612 ...... Request establishment/amendment/cancellation of 5 23 requests...... 115 field well-workover rules.
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BURDEN BREAKDOWN—Continued
Citation Average Annual burden 30 CFR 250, Subpart F Reporting requirement Hour burden number of annual hours and NTL reponses (rounded)
613; 616(a)(4); 619(f) ...... These sections contain references to information, Burden covered under 1014–0026. 0 approvals, requests, payments, etc., which are submitted with an APM, the burdens for which are covered under its own information collection.
613(d) ...... Submit to District Manager on Form BSEE–0125, Burden covered under 1014–0018. 0 End of Operations Report, an operation resulting in the initial recompletion of a well into a new zone, include a new schematic of the tubing sub- surface equipment if subsurface equipment has been changed.
614(b) ...... Post number of stands of drill pipe or workover 0.75 306 postings...... 230 string and drill collars that may be pulled prior to filling the hole and equivalent well-control fluid volume. NTL ...... Notify BSEE if sustained casing pressure is ob- 2 508 notifications...... 1,016 served on a well.
Total Burden ...... 1,890 Responses ...... 2,941
Estimated Reporting and Bureau representative listed previously PLACE: Room 101, 500 E Street SW., Recordkeeping Non-Hour Cost Burden: in this notice. Washington, DC 20436, Telephone: We have identified no non-hour cost We will summarize written responses (202) 205–2000. burdens associated with this collection to this notice and address them in our STATUS: Open to the public. of information. submission for OMB approval. As a MATTERS TO BE CONSIDERED: Public Disclosure Statement: The PRA result of your comments, we will make 1. Agendas for future meetings: None. (44 U.S.C. 3501, et seq.) provides that an any necessary adjustments to the burden 2. Minutes. agency may not conduct or sponsor a in our submission to OMB. 3. Ratification List. collection of information unless it Public Comment Procedures: Before 4. Vote in Inv. No. 731–TA–298 displays a currently valid OMB control including your address, phone number, (Fourth Review) (Porcelain-on-Steel number. Until OMB approves a email address, or other personal Cooking Ware from China). The collection of information, you are not identifying information in your Commission is currently scheduled to obligated to respond. comment, you should be aware that complete and file its determination and Comments: Before submitting an ICR your entire comment—including your views of the Commission on July 22, to OMB, PRA section 3506(c)(2)(A) personal identifying information—may 2016. requires each agency ‘‘. . . to provide be made publicly available at any time. 5. Outstanding action jackets: None. notice . . . and otherwise consult with While you can ask us in your comment In accordance with Commission members of the public and affected to withhold your personal identifying policy, subject matter listed above, not agencies concerning each proposed information from public review, we disposed of at the scheduled meeting, collection of information . . .’’. cannot guarantee that we will be able to may be carried over to the agenda of the Agencies must specifically solicit do so. following meeting. comments to: (a) Evaluate whether the BSEE Information Collection By order of the Commission. collection is necessary or useful; (b) Clearance Officer: Nicole Mason (703) Issued: July 5, 2016. evaluate the accuracy of the burden of 787–1607. the proposed collection of information; William R. Bishop, (c) enhance the quality, usefulness, and Dated: June 30, 2016. Supervisory Hearings and Information clarity of the information to be Robert W. Middleton, Officer. collected; and (d) minimize the burden Deputy Chief, Office of Offshore Regulatory [FR Doc. 2016–16296 Filed 7–6–16; 11:15 am] on the respondents, including the use of Programs. BILLING CODE 7020–02–P technology. [FR Doc. 2016–16206 Filed 7–7–16; 8:45 am] Agencies must also estimate the non- BILLING CODE 4310–VH–P hour paperwork cost burdens to INTERNATIONAL TRADE respondents or recordkeepers resulting COMMISSION from the collection of information. INTERNATIONAL TRADE [Investigation No. 731–TA–1058 (Second Therefore, if you have other than hour Review)] COMMISSION burden costs to generate, maintain, and Wooden Bedroom Furniture From disclose this information, you should [USITC SE–16–024] comment and provide your total capital China; Scheduling of a Full Five-Year and startup cost components or annual Sunshine Act Meeting Review operation, maintenance, and purchase AGENCY: United States International AGENCY: United States International of service components. For further Trade Commission. information on this burden, refer to 5 Trade Commission. ACTION: Notice. CFR 1320.3(b)(1) and (2), or contact the TIME AND DATE: July 12, 2016 at 9:30 a.m.
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SUMMARY: The Commission hereby gives of all persons, or their representatives, briefs must conform with the provisions notice of the scheduling of a full review who are parties to the review. of section 207.65 of the Commission’s pursuant to the Tariff Act of 1930 (‘‘the For further information concerning rules; the deadline for filing is October Act’’) to determine whether revocation the conduct of this review and rules of 31, 2016. Parties may also file written of the antidumping duty order on general application, consult the testimony in connection with their wooden bedroom furniture from China Commission’s Rules of Practice and presentation at the hearing, as provided would be likely to lead to continuation Procedure, part 201, subparts A and B in section 207.24 of the Commission’s or recurrence of material injury within (19 CFR part 201), and part 207, rules, and posthearing briefs, which a reasonably foreseeable time. The subparts A, D, E, and F (19 CFR part must conform with the provisions of Commission has determined to exercise 207). section 207.67 of the Commission’s its authority to extend the review period Limited disclosure of business rules. The deadline for filing by up to 90 days. proprietary information (BPI) under an posthearing briefs is November 22, administrative protective order (APO) DATES: Effective Date: July 1, 2016. 2016. In addition, any person who has and BPI service list.—Pursuant to not entered an appearance as a party to FOR FURTHER INFORMATION CONTACT: section 207.7(a) of the Commission’s the review may submit a written Amy Sherman (202–205–3289), Office rules, the Secretary will make BPI statement of information pertinent to of Investigations, U.S. International gathered in this review available to the subject of the review on or before Trade Commission, 500 E Street SW., authorized applicants under the APO November 22, 2016. On December 21, Washington, DC 20436. Hearing- issued in the review, provided that the 2016, the Commission will make impaired persons can obtain application is made by 45 days after available to parties all information on information on this matter by contacting publication of this notice. Authorized which they have not had an opportunity the Commission’s TDD terminal on 202– applicants must represent interested to comment. Parties may submit final 205–1810. Persons with mobility parties, as defined by 19 U.S.C. 1677(9), comments on this information on or impairments who will need special who are parties to the review. A party before December 23, 2016, but such assistance in gaining access to the granted access to BPI following final comments must not contain new Commission should contact the Office publication of the Commission’s notice factual information and must otherwise of the Secretary at 202–205–2000. of institution of the review need not comply with section 207.68 of the General information concerning the reapply for such access. A separate Commission’s rules. All written Commission may also be obtained by service list will be maintained by the submissions must conform with the accessing its internet server (http:// Secretary for those parties authorized to provisions of section 201.8 of the www.usitc.gov). The public record for receive BPI under the APO. Commission’s rules; any submissions Staff report.—The prehearing staff this review may be viewed on the that contain BPI must also conform with report in the review will be placed in Commission’s electronic docket (EDIS) the requirements of sections 201.6, the nonpublic record on October 20, at http://edis.usitc.gov. 207.3, and 207.7 of the Commission’s 2016, and a public version will be SUPPLEMENTARY INFORMATION: issued thereafter, pursuant to section rules. The Commission’s Handbook on Background.—On February 5, 2016, 207.64 of the Commission’s rules. E-Filing, available on the Commission’s the Commission determined that Hearing.—The Commission will hold Web site at http://edis.usitc.gov, responses to its notice of institution of a hearing in connection with the review elaborates upon the Commission’s rules the subject five-year review were such beginning at 9:30 a.m. on Thursday, with respect to electronic filing. that a full review should proceed (81 FR November 10, 2016, at the U.S. Additional written submissions to the 8991, February 23, 2016); accordingly, a International Trade Commission Commission, including requests full review is being scheduled pursuant Building. Requests to appear at the pursuant to section 201.12 of the to section 751(c)(5) of the Tariff Act of hearing should be filed in writing with Commission’s rules, shall not be 1930 (19 U.S.C. 1675(c)(5)). A record of the Secretary to the Commission on or accepted unless good cause is shown for the Commissioners’ votes, the before November 7, 2016. A nonparty accepting such submissions, or unless Commission’s statement on adequacy, who has testimony that may aid the the submission is pursuant to a specific and any individual Commissioner’s Commission’s deliberations may request request by a Commissioner or statements are available from the Office permission to present a short statement Commission staff. of the Secretary and at the at the hearing. All parties and In accordance with sections 201.16(c) Commission’s Web site. nonparties desiring to appear at the and 207.3 of the Commission’s rules, Participation in the review and public hearing and make oral presentations each document filed by a party to the service list.—Persons, including should participate in a prehearing review must be served on all other industrial users of the subject conference to be held on November 8, parties to the review (as identified by merchandise and, if the merchandise is 2016, at the U.S. International Trade either the public or BPI service list), and sold at the retail level, representative Commission Building, if deemed a certificate of service must be timely consumer organizations, wishing to necessary. Oral testimony and written filed. The Secretary will not accept a participate in this review as parties materials to be submitted at the public document for filing without a certificate must file an entry of appearance with hearing are governed by sections of service. the Secretary to the Commission, as 201.6(b)(2), 201.13(f), 207.24, and The Commission has determined that provided in section 201.11 of the 207.66 of the Commission’s rules. this review is extraordinarily Commission’s rules, by 45 days after Parties must submit any request to complicated and therefore has publication of this notice. A party that present a portion of their hearing determined to exercise its authority to filed a notice of appearance following testimony in camera no later than 7 extend the review period by up to 90 publication of the Commission’s notice business days prior to the date of the days pursuant to 19 U.S.C.1675(c)(5)(B). of institution of the review need not file hearing. Authority: This review is being conducted an additional notice of appearance. The Written submissions.—Each party to under authority of title VII of the Tariff Act Secretary will maintain a public service the review may submit a prehearing of 1930; this notice is published pursuant to list containing the names and addresses brief to the Commission. Prehearing section 207.62 of the Commission’s rules.
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By order of the Commission. of The Chamberlain Group, Inc. (‘‘CGI’’) Written submissions must be filed no Issued: July 1, 2016. on July 5, 2016. The complaint alleges later than by close of business, eight Lisa R. Barton, violations of section 337 of the Tariff calendar days after the date of Secretary to the Commission. Act of 1930 (19 U.S.C. 1337) in the publication of this notice in the Federal [FR Doc. 2016–16148 Filed 7–7–16; 8:45 am] importation into the United States, the Register. There will be further BILLING CODE 7020–02–P sale for importation, and the sale within opportunities for comment on the the United States after importation of public interest after the issuance of any certain access control systems and final initial determination in this INTERNATIONAL TRADE components thereof. The complaint investigation. COMMISSION names as respondents Techtronic Industries Co. Ltd of Hong Kong; Persons filing written submissions Notice of Receipt of Complaint; Techtronic Industries North America, must file the original document Solicitation of Comments Relating to Inc. of Hunt Valley, MD; One World electronically on or before the deadlines the Public Interest Technologies Inc. of Anderson, SC; stated above and submit 8 true paper copies to the Office of the Secretary by AGENCY: OWT Industries Inc. of Pickens, SC; U.S. International Trade noon the next day pursuant to section Commission. Ryobi Technologies, Inc. of Anderson, SC; and Et Technology (Wuxi) Co., Ltd. 210.4(f) of the Commission’s Rules of ACTION: Notice. of China. The complainant requests that Practice and Procedure (19 CFR SUMMARY: Notice is hereby given that the Commission issue a limited 210.4(f)). Submissions should refer to the U.S. International Trade exclusion order, cease and desist orders, the docket number (‘‘Docket No. 3162’’) Commission has received a complaint and impose a bond upon respondents’ in a prominent place on the cover page entitled Certain Access Control Systems alleged infringing articles during the 60- and/or the first page. (See Handbook for and Components Thereof, DN 3162; the day Presidential review period pursuant Electronic Filing Procedures, Electronic Commission is soliciting comments on to 19 U.S.C. 1337(j). Filing Procedures).4 Persons with any public interest issues raised by the Proposed respondents, other questions regarding filing should complaint or complainant’s filing under interested parties, and members of the contact the Secretary (202–205–2000). section 210.8(b) of the Commission’s public are invited to file comments, not Any person desiring to submit a Rules of Practice and Procedure (19 CFR to exceed five (5) pages in length, 210.8(b)). inclusive of attachments, on any public document to the Commission in confidence must request confidential FOR FURTHER INFORMATION CONTACT: Lisa interest issues raised by the complaint treatment. All such requests should be R. Barton, Secretary to the Commission, or section 210.8(b) filing. Comments U.S. International Trade Commission, should address whether issuance of the directed to the Secretary to the 500 E Street SW., Washington, DC relief specifically requested by the Commission and must include a full 20436, telephone (202) 205–2000. The complainant in this investigation would statement of the reasons why the public version of the complaint can be affect the public health and welfare in Commission should grant such accessed on the Commission’s the United States, competitive treatment. See 19 CFR 201.6. Documents Electronic Document Information conditions in the United States for which confidential treatment by the System (EDIS) at EDIS,1 and will be economy, the production of like or Commission is properly sought will be available for inspection during official directly competitive articles in the treated accordingly. All nonconfidential business hours (8:45 a.m. to 5:15 p.m.) United States, or United States written submissions will be available for in the Office of the Secretary, U.S. consumers. public inspection at the Office of the International Trade Commission, 500 E In particular, the Commission is Secretary and on EDIS.5 Street SW., Washington, DC 20436, interested in comments that: This action is taken under the telephone (202) 205–2000. (i) Explain how the articles authority of section 337 of the Tariff Act General information concerning the potentially subject to the requested of 1930, as amended (19 U.S.C. 1337), Commission may also be obtained by remedial orders are used in the United and of sections 201.10 and 210.8(c) of accessing its Internet server at United States; the Commission’s Rules of Practice and States International Trade Commission (ii) identify any public health, safety, 2 Procedure (19 CFR 201.10, 210.8(c)). (USITC) at USITC. The public record or welfare concerns in the United States for this investigation may be viewed on relating to the requested remedial By order of the Commission. the Commission’s Electronic Document orders; Issued: July 5, 2016. 3 Information System (EDIS) at EDIS. (iii) identify like or directly Lisa R. Barton, Hearing-impaired persons are advised competitive articles that complainant, Secretary to the Commission. that information on this matter can be its licensees, or third parties make in the [FR Doc. 2016–16225 Filed 7–7–16; 8:45 am] obtained by contacting the United States which could replace the BILLING CODE 7020–02–P Commission’s TDD terminal on (202) subject articles if they were to be 205–1810. excluded; SUPPLEMENTARY INFORMATION: The (iv) indicate whether complainant, Commission has received a complaint complainant’s licensees, and/or third and a submission pursuant to section party suppliers have the capacity to 210.8(b) of the Commission’s Rules of replace the volume of articles Practice and Procedure filed on behalf potentially subject to the requested exclusion order and/or a cease and 1 Electronic Document Information System desist order within a commercially (EDIS): http://edis.usitc.gov. 4 Handbook for Electronic Filing Procedures: reasonable time; and _ _ 2 United States International Trade Commission http://www.usitc.gov/secretary/fed reg notices/ (USITC): http://edis.usitc.gov. (v) explain how the requested rules/handbook_on_electronic_filing.pdf. 3 Electronic Document Information System remedial orders would impact United 5 Electronic Document Information System (EDIS): http://edis.usitc.gov. States consumers. (EDIS): http://edis.usitc.gov.
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DEPARTMENT OF LABOR Secretary, Frances Perkins Building, NATIONAL AERONAUTICS AND U.S. Department of Labor, 200 SPACE ADMINISTRATION Employee Benefits Security Constitution Avenue NW., Suite N– [Notice: (16–049)] Administration 5623, Washington, DC 20210, or as email attachments to good.larry@ Advisory Council on Employee Welfare NASA Advisory Council; Ad Hoc Task dol.gov. Nominations (including and Pension Benefit Plans; Force on STEM Education Meeting Nominations for Vacancies supporting nominations) must be received on or before August 1, 2016. AGENCY: National Aeronautics and Section 512 of the Employee Please allow two weeks for regular mail Space Administration. Retirement Income Security Act of 1974 delivery to the Department of Labor. If ACTION: Notice of meeting. (ERISA), 88 Stat. 895, 29 U.S.C. 1142, sending electronically, please use an SUMMARY: In accordance with the provides for the establishment of an attachment in rich text, Word, or pdf Federal Advisory Committee Act, Public Advisory Council on Employee Welfare format. Nominations may be in the form Law 92–463, as amended, the National and Pension Benefit Plans (the Council), of a letter, resolution or petition, signed Aeronautics and Space Administration which is to consist of 15 members to be by the person making the nomination announces a meeting of the Ad Hoc appointed by the Secretary of Labor (the or, in the case of a nomination by an Task Force on Science, Technology, Secretary) as follows: Three organization, by an authorized Engineering and Mathematics (STEM) of representatives of employee representative of the organization. the NASA Advisory Council (NAC). organizations (at least one of whom This Task Force reports to the NAC. shall be a representative of an Nominations, including supporting DATES: Tuesday, July 26, 2016, 10:00 organization whose members are letters, should: a.m.–5:15 p.m., Local Time. participants in a multiemployer plan); • State the person’s qualifications to ADDRESSES: Ohio Aerospace Institute, three representatives of employers (at serve on the Council. 3rd Floor Conference Room, 22800 least one of whom shall be a • State that the candidate will accept representative of employers maintaining Cedar Point Road, Cleveland, Ohio appointment to the Council if offered. or contributing to multiemployer plans); 44142, from 10:00 a.m. to 3:15 p.m. one representative each from the fields • Include which of the five positions From 3:15 p.m. to 5:15 p.m., a joint of insurance, corporate trust, actuarial (representing groups or fields) the session with the NAC Science counseling, investment counseling, candidate is nominated to fill. Committee will take place in Industry Room B. investment management, and • Include the nominee’s full name, FOR FURTHER INFORMATION CONTACT: Dr. accounting; and three representatives work affiliation, mailing address, phone Beverly Girten, Executive Secretary for from the general public (one of whom number, and email address. the NAC Ad Hoc Task Force on STEM shall be a person representing those • receiving benefits from a pension plan). Include the nominator’s full name, Education, NASA Headquarters, No more than eight members of the mailing address, phone number, and Washington, DC 20546, (202) 358–0212, Council shall be members of the same email address. or [email protected]. political party. • Include the nominator’s signature, SUPPLEMENTARY INFORMATION: The Council members shall be persons whether sent by email or otherwise. meeting will be open to the public up qualified to appraise the programs to the capacity of the room. This instituted under ERISA. Appointments Please do not include any information meeting is also available telephonically are for terms of three years. The that you do not want publicly disclosed. and by WebEx. You must use a touch- prescribed duties of the Council are to In selecting Council members, the tone phone to participate in this advise the Secretary with respect to the Secretary of Labor will consider meeting. From the start of the meeting carrying out of his or her functions individuals nominated in response to on July 26 at 10:00 a.m. until 3:15 p.m., under ERISA, and to submit to the this Federal Register notice, as well as please use the following information: Secretary, or his or her designee, other qualified individuals. The meeting will be held in the 3rd Floor Conference Room. Any person recommendations with respect thereto. Nominees will be contacted to The Council will meet at least four interested in joining the meeting may provide information on their political times each year. dial the toll free access number 844– affiliation and their status as registered The terms of five members of the 467–6272 or toll access number 720– Council expire at the end of this year. lobbyists. Anyone currently subject to 259–6462, and then the numeric The groups or fields they represent are federal registration requirements as a participant passcode: 329152 followed as follows: (1) Employee organizations; lobbyist is not eligible for appointment. by the # sign. If dialing in, please (2) employers; (3) insurance; (4) Nominees should be aware of the time ‘‘mute’’ your telephone. To join via accounting; and (5) the general public. commitment for attending meetings and WebEx, the link is https:// The Department of Labor is committed actively participating in the work of the nasa.webex.com/, the meeting number to equal opportunity in the workplace Council. Historically, this has meant a is 991 407 556 and the password is and seeks a broad-based and diverse commitment of at least 20 days per year. STEMEdJuly26! (case sensitive). Council. The Department of Labor has a process Beginning at 3:15 p.m. on July 26 until Accordingly, notice is hereby given for vetting nominees under the end of the meeting at 5:15 p.m., for that any person or organization desiring consideration for appointment. the joint session with the NAC Science to nominate one or more individuals for Signed at Washington, DC. Committee, please use the following appointment to the Advisory Council on information: The joint session will be Employee Welfare and Pension Benefit Phyllis C. Borzi, held in Industry Room B. Any person Plans to represent any of the groups or Assistant Secretary, Employee Benefits interested in joining the meeting may fields specified in the preceding Security Administration. call the USA toll free conference call paragraph may submit nominations to [FR Doc. 2016–16216 Filed 7–7–16; 8:45 am] number 1–888–790–1716, passcode Larry Good, Council Executive BILLING CODE 4510–29–P 4101817, or toll number 1–212–287–
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1654, passcode 4101817 followed by the tone phone to participate in this Local Time; and Wednesday, July 27, # sign. If dialing in, please ‘‘mute’’ your meeting. Any person interested in 2016, 8:30 a.m.–10:00 a.m., Local Time. telephone. The WebEx link is https:// joining the meeting may dial the toll ADDRESSES: Ohio Aerospace Institute, nasa.webex.com/, the meeting number free access number (844) 467–6272 or Industry Room B, 22800 Cedar Point is 992 934 159 and the password is SC@ toll access number (720) 259–6462, and Road, Cleveland, Ohio 44142. July2016 (case sensitive). then the numeric participant passcode: FOR FURTHER INFORMATION CONTACT: Ms. The agenda for the July 26 meeting 180093 followed by the # sign. If dialing Ann Delo, Science Mission Directorate, will include the following: in, please ‘‘mute’’ your telephone. To NASA Headquarters, Washington, DC —Opening Remarks by Chair join via WebEx on July 26, the web link 20546, (202) 358–0750, fax (202) 358– —Interagency Collaborations in is https://nasa.webex.com/, the meeting 2779, or [email protected]. Education number is 991 872 492 and the SUPPLEMENTARY INFORMATION: The —Formulating Findings and password is Meeting2016! (case meeting will be open to the public up Recommendations sensitive). To join via WebEx on July 27, to the capacity of the room. This —Joint Session with NAC Science the link is https://nasa.webex.com/, the meeting will also be available Committee meeting number is 991 030 614 and the telephonically and by WebEx. You must —Other Related Topics password is Meeting2016! (case use a touch-tone phone to participate in Attendees will be required to sign a sensitive). this meeting. Any person interested in register. It is imperative that the meeting The agenda for the meeting includes joining the meeting may call the USA be held on this date to accommodate the the following topics: toll free conference call number 1–888– scheduling priorities of the key • NAC Institutional Committee Work 790–1716, passcode 4101817, or toll participants. Plan number 1–212–287–1654, passcode • Business Systems Assessment Patricia D. Rausch, 4101817, for all three days. If dialing in, Overview Status please ‘‘mute’’ your telephone. The Advisory Committee Management Officer, • Business Systems Assessment National Aeronautics and Space WebEx link is https://nasa.webex.com/; Administration. Procurement Implementation Plan the meeting number is 992 934 159 and • Business Systems Assessment Human [FR Doc. 2016–16184 Filed 7–7–16; 8:45 am] the password is SC@July2016 (case Resources Implementation Plan sensitive) for all three days. The agenda BILLING CODE 7510–13–P Attendees will be required to sign a for the meeting includes the following register. It is imperative that the meeting topics: NATIONAL AERONAUTICS AND be held on this date to accommodate the —Science Mission Directorate Division SPACE ADMINISTRATION scheduling priorities of the key Updates participants. —NAC Science Committee Subcommittee [Notice: (16–047)] Reports Patricia D. Rausch, —Planetary Defense Coordination Office NASA Advisory Council; Institutional Advisory Committee Management Officer, —Harmful Algal Blooms Committee; Meeting National Aeronautics and Space —Joint Session with the NAC Ad Hoc Task Administration. Force on STEM Education AGENCY: National Aeronautics and [FR Doc. 2016–16182 Filed 7–7–16; 8:45 am] Space Administration. Attendees will be required to sign a BILLING CODE 7510–13–P ACTION: Notice of meeting. register. It is imperative that this meeting be held on these dates to SUMMARY: In accordance with the accommodate the scheduling priorities NATIONAL AERONAUTICS AND Federal Advisory Committee Act, Public of the key participants. SPACE ADMINISTRATION Law 92–463, as amended, the National Patricia D. Rausch, Aeronautics and Space Administration [Notice: (16–051)] announces a meeting of the Institutional Advisory Committee Management Officer, National Aeronautics and Space Committee of the NASA Advisory NASA Advisory Council; Science Administration. Council (NAC). This Committee reports Committee; Meeting. [FR Doc. 2016–16186 Filed 7–7–16; 8:45 am] to the NAC. AGENCY: BILLING CODE 7510–13–P DATES: Tuesday, July 26, 2016, 8:30 National Aeronautics and a.m.–5:00 p.m., Local Time; and Space Administration. Wednesday, July 27, 2016, 8:15 a.m.– ACTION: Notice of meeting. NATIONAL AERONAUTICS AND 10:00 a.m., Local Time. SUMMARY: In accordance with the SPACE ADMINISTRATION ADDRESSES: Ohio Aerospace Institute, Federal Advisory Committee Act, Public [Notice: (16–046)] NASA Safety Center (NSC) Conference Law 92–463, as amended, the National Room, 22800 Cedar Point Road, Aeronautics and Space Administration NASA Advisory Council; Human Cleveland, Ohio 44142. (NASA) announces a meeting of the Exploration and Operations FOR FURTHER INFORMATION CONTACT: Mr. Science Committee of the NASA Committee; Meeting Todd Mullins, Executive Secretary for Advisory Council (NAC). This the NAC Institutional Committee, NASA AGENCY: National Aeronautics and Committee reports to the NAC. The Space Administration. Headquarters, Washington, DC 20546; meeting will be held for the purpose of ACTION: (202) 358–3831, or todd.mullins@ soliciting, from the scientific Notice of meeting. nasa.gov. community and other persons, scientific SUMMARY: In accordance with the SUPPLEMENTARY INFORMATION: The and technical information relevant to Federal Advisory Committee Act, Public meeting will be open to the public up program planning. Law 92–463, as amended, the National to the seating capacity of the room. This DATES: Monday, July 25, 2016, 1:00 Aeronautics and Space Administration meeting is also available telephonically p.m.–5:30 p.m., Local Time; Tuesday, (NASA) announces a meeting of the and by WebEx. You must use a touch- July 26, 2016, 8:45 a.m.—5:15 p.m.; Human Exploration and Operations
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(HEO) Committee of the NASA NATIONAL AERONAUTICS AND accommodate the scheduling priorities Advisory Council (NAC). This SPACE ADMINISTRATION of the key participants. Committee reports to the NAC. Patricia D. Rausch, DATES: Monday, July 25, 2016, 9:30 [Notice: 16–050] Advisory Committee Management Officer, a.m.–4:30 p.m.; and Tuesday, July 26, National Aeronautics and Space NASA Advisory Council; Technology, Administration. 2016, 8:00 a.m.–2:00 p.m., Local Time. Innovation and Engineering [FR Doc. 2016–16185 Filed 7–7–16; 8:45 am] ADDRESSES: Committee; Meeting Ohio Aerospace Institute, BILLING CODE 7510–13–P President’s Room, 22800 Cedar Point Road, Cleveland, Ohio 44142. AGENCY: National Aeronautics and Space Administration. NATIONAL AERONAUTICS AND FOR FURTHER INFORMATION CONTACT: Dr. SPACE ADMINISTRATION Bette Siegel, Executive Secretary for the ACTION: Notice of meeting. NAC HEO Committee, Human [Notice: (16–048)] Exploration and Operations Mission SUMMARY: In accordance with the Directorate, NASA Headquarters, Federal Advisory Committee Act, Public NASA Advisory Council; Aeronautics Washington, DC 20546, (202) 358–2245, Law 92–463, as amended, the National Committee; Meeting or [email protected]. Aeronautics and Space Administration (NASA) announces a meeting of the AGENCY: National Aeronautics and SUPPLEMENTARY INFORMATION: The Technology, Innovation and Space Administration. meeting will be open to the public up Engineering (TI&E) Committee of the ACTION: Notice of meeting. to the seating capacity of the room. This NASA Advisory Council (NAC). This meeting is also available telephonically Committee reports to the NAC. SUMMARY: In accordance with the Federal Advisory Committee Act, Public and by WebEx. You must use a touch- DATES: Tuesday, July 26, 2016, 8:00 Law 92–463, as amended, the National tone phone to participate in this a.m.–12:15 p.m.; and 3:30 p.m.–5:00 Aeronautics and Space Administration meeting. Any interested person in p.m., Local Time. joining the meeting may dial the toll announces a meeting of the Aeronautics free access number 1–888–455–6733 or ADDRESSES: Ohio Aerospace Institute, Committee of the NASA Advisory toll access number 1–210–839–8935, Board Room (Second Floor), 22800 Council (NAC). This Committee reports and then the numeric participant Cedar Point Rd, Cleveland, Ohio 44142. to the NAC. The meeting will be held for the purpose of soliciting, from the passcode: 4213809 followed by the FOR FURTHER INFORMATION CONTACT: Mr. aeronautics community and other #sign. If dialing in, please ‘‘mute’’ your Mike Green, Executive Secretary for the persons, research and technical telephone. The WebEx link is https:// NAC TI&E Committee, Space information relevant to program nasa.webex.com/, the meeting number Technology Mission Directorate, NASA planning. is 990 997 513, and the password is Headquarters, Washington, DC 20546, Exploration@2016 (case sensitive). (202) 358–4710, or [email protected]. DATES: Tuesday, July 26, 2016, 10:00 a.m.–4:30 p.m., Local Time. The agenda for the meeting includes SUPPLEMENTARY INFORMATION: The ADDRESSES: the following topics: meeting will be open to the public up Ohio Aerospace Institute, Industry Room A, 22800 Cedar Point —Status of Human Exploration and to the capacity of the room. This meeting is also available telephonically Road, Cleveland, Ohio 44142 Operations Mission Directorate and by WebEx. You must use a touch- FOR FURTHER INFORMATION CONTACT: Ms. —Status of Exploration Systems tone phone to participate in this Irma Rodriguez, Executive Secretary for Development meeting. Any person interested in the NAC Aeronautics Committee, NASA —Status of International Space Station joining the meeting may call the USA Headquarters, Washington, DC 20546, toll-free conference number 1–844–467– (202) 358–0984, or irma.c.rodriguez@ —International Space Station Research 6272, passcode 102421 followed by the nasa.gov. —Research Subcommittee Update # sign. If dialing in, please ‘‘mute’’ your SUPPLEMENTARY INFORMATION: The —Status of Asteroid Redirect Mission telephone. The WebEx link is https:// meeting will be open to the public up nasa.webex.com/, the meeting number —System Maturation Teams to the capacity of the room. This is 998 519 793, and the password is meeting will also be available —Habitation Module Presentation ‘‘Technology16$’’ (case sensitive). telephonically and by WebEx. You must —Status of Commercial Crew Program The agenda for the meeting includes use a touch-tone phone to participate in this meeting. Any person interested in Attendees will be required to sign a the following topics: joining the meeting by telephone and register. It is imperative that the meeting —Welcome to NASA Glenn Research WebEx should contact Ms. Irma be held on this date to accommodate the Center and Remarks Rodriguez at (202) 358–0984 for the toll- scheduling priorities of the key —Space Technology Mission Directorate free number, Web link and passcode. participants. Update The agenda for the meeting includes the Patricia D. Rausch, —Nuclear Propulsion and Power following topics: Advisory Committee Management Officer, Overview • National Research Council-Led Low National Aeronautics and Space Carbon Study —SpaceX Red Dragon Partnership • Administration. Overview Thrust 4 Roadmaps Out Brief [FR Doc. 2016–16181 Filed 7–7–16; 8:45 am] • New Aviation Horizons Formulation —Chief Technologist Update BILLING CODE 7510–13–P Rationale and Approach Attendees will be required to sign a Attendees will be required to sign a register. It is imperative that this register. It is imperative that the meeting meeting be held on this date to be held on this date to accommodate the
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scheduling priorities of the key NATIONAL SCIENCE FOUNDATION Effective date for renewal is July 1, participants. 2016. For more information, please Committee Management; Renewals contact Crystal Robinson, NSF, at (703) Patricia D. Rausch, 292–8687. Advisory Committee Management Officer, The National Science Foundation National Aeronautics and Space (NSF) management officials having Dated: July 5, 2016. Administration. responsibility for the advisory Crystal Robinson, [FR Doc. 2016–16183 Filed 7–7–16; 8:45 am] committees listed below have Committee Management Officer. BILLING CODE 7510–13–P determined that renewing these groups [FR Doc. 2016–16172 Filed 7–7–16; 8:45 am] for another two years is necessary and BILLING CODE 7555–01–P in the public interest in connection with the performance of duties imposed upon NATIONAL ARCHIVES AND RECORDS the Director, National Science NUCLEAR REGULATORY ADMINISTRATION Foundation (NSF), by 42 U.S.C. 1861 et COMMISSION Information Security Oversight Office seq. This determination follows consultation with the Committee [Docket Nos. 50–327 and 50–328; NRC– 2016–0130] [NARA–2016–039] Management Secretariat, General Services Administration. Completion Date of Cyber Security State, Local, Tribal, and Private Sector Committees Plan Implementation Milestone 8; Policy Advisory Committee (SLTPS– Tennessee Valley Authority; Sequoyah PAC) Advisory Committee for Computer and Nuclear Plant, Units 1 and 2 Information Science and Engineering AGENCY: National Archives and Records #1115 AGENCY: Nuclear Regulatory Administration (NARA). Advisory Committee for Mathematical Commission. ACTION: Notice of Advisory Committee and Physical Sciences #66 ACTION: License amendment request; Meeting. Advisory Committee for Social, opportunity to comment, request a Behavioral, and Economic Sciences hearing, and petition for leave to SUMMARY: In accordance with the #1171 intervene; order. Federal Advisory Committee Act (5 Business and Operations Advisory U.S.C. app 2) and implementing Committee #9556 SUMMARY: The U.S. Nuclear Regulatory regulation 41 CFR 101–6, NARA Committee on Equal Opportunities in Commission (NRC) is considering announces the following committee Sciences and Engineering #1173 issuance of amendments to Facility meeting. Proposal Review Panel for Astronomical Operating License Nos. DPR–77 and DPR–79, issued to the Tennessee Valley DATES: The meeting will be on July 27, Sciences #1186 Proposal Review Panel for Chemical, Authority, for operation of the Sequoyah 2016, from 10:00 a.m. to 12:00 p.m. Nuclear Plant (SQN), Units 1 and 2. The EDT. Bioengineering, Environmental, and Transport Systems #1189 proposed amendments would revise the ADDRESSES: National Archives and Proposal Review Panel for Chemistry SQN, Units 1 and 2, Cyber Security Plan Records Administration; 700 #1191 (CSP) implementation schedule for Pennsylvania Avenue NW.; Jefferson Proposal Review Panel for Civil, Milestone 8 and would revise the Room; Washington, DC 20408. Mechanical, and Manufacturing associated license condition in the FOR FURTHER INFORMATION CONTACT: Innovation #1194 Facility Operating Licenses. The Robert J. Skwirot, Senior Program Proposal Review Panel for Computer amendment request contains sensitive Analyst, by mail at ISOO, National and Network Systems #1207 unclassified non-safeguards information Archives Building; 700 Pennsylvania Proposal Review Panel for Computing & (SUNSI). Avenue NW.; Washington, DC 20408, by Communication Foundations #1192 DATES: Submit comments by August 8, telephone at (202) 357–5398, or by Proposal Review Panel for 2016. Requests for a hearing or petition email at [email protected]. Cyberinfrastructure #1185 for leave to intervene must be filed by Contact ISOO at [email protected]. Proposal Review Panel for Electrical, September 6, 2016. Any potential party SUPPLEMENTARY INFORMATION: The Communications, and Cyber Systems as defined in § 2.4 of title 10 of the Code purpose of this meeting is to discuss #1196 of Federal Regulations (10 CFR), who matters relating to the Classified Proposal Review Panel for Engineering believes access to SUNSI is necessary to National Security Information Program Education and Centers #173 respond to this notice must request for State, Local, Tribal, and Private Proposal Review Panel for Graduate document access by July 18, 2016. Sector Entities. The meeting is open to Education #57 ADDRESSES: You may submit comments the public. However, due to space Proposal Review Panel for Human by any of the following methods (unless limitations and access procedures, you Resource Development #1199 this document describes a different must submit the name and telephone Proposal Review Panel for Information method for submitting comments on a number of individuals planning to and Intelligent Systems #1200 specific subject): attend to the Information Security Proposal Review Panel for Materials • Federal Rulemaking Web site: Go to Oversight Office (ISOO) no later than Research #1203 http://www.regulations.gov and search Friday, July 22, 2016. ISOO will provide Proposal Review Panel for Mathematical for Docket ID NRC–2016–0130. Address additional instructions for entering the Sciences #1204 questions about NRC dockets to Carol building. Proposal Review Panel for Physics Gallagher; telephone: 301–415–3463; #1208 email: [email protected]. For Patrice Little Murray, Proposal Review Panel for Polar technical questions, contact the Committee Management Officer. Programs #1209 individual listed in the FOR FURTHER [FR Doc. 2016–16231 Filed 7–7–16; 8:45 am] Proposal Review Panel for INFORMATION CONTACT section of this BILLING CODE 7515–01–P Undergraduate Education #1214 document.
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• Mail comments to: Cindy Bladey, The NRC will post all comment which systems are operated, maintained, Office of Administration, Mail Stop: submissions at http:// modified, tested, or inspected. The proposed OWFN–12–H08, U.S. Nuclear www.regulations.gov as well as enter the change is an extension to the completion date of implementation Milestone 8, that in itself Regulatory Commission, Washington, comment submissions into ADAMS. does not require any plant modifications DC 20555–0001. The NRC does not routinely edit which affect the performance capability of For additional direction on obtaining comment submissions to remove the structures, systems, and components information and submitting comments, identifying or contact information. relied upon to mitigate the consequences of see ‘‘Obtaining Information and If you are requesting or aggregating postulated accidents and have no impact on Submitting Comments’’ in the comments from other persons for the probability or consequences of an SUPPLEMENTARY INFORMATION section of submission to the NRC, then you should accident previously evaluated. this document. inform those persons not to include Therefore, the proposed amendment does not involve a significant increase in the FOR FURTHER INFORMATION CONTACT: identifying or contact information that probability or consequences of an accident Andrew Hon, Office of Nuclear Reactor they do not want to be publicly previously evaluated. Regulation, U.S. Nuclear Regulatory disclosed in their comment submission. 2. Does the proposed amendment create Commission, Washington, DC 20555– Your request should state that the NRC the possibility of a new or different kind of 0001; telephone: 301–415–8480, email: does not routinely edit comment accident from any accident previously [email protected]. submissions to remove such information evaluated? Response: No. SUPPLEMENTARY INFORMATION: before making the comment submissions available to the public or The proposed amendment revises the CSP I. Obtaining Information and Implementation Schedule. This proposed entering the comment submissions into change to extend the completion date of Submitting Comments ADAMS. implementation Milestone 8 does not alter A. Obtaining Information II. Introduction accident analysis assumptions, add any initiators, or affect the function of plant Please refer to Docket ID NRC–2016– The NRC is considering issuance of systems or the manner in which systems are 0130 when contacting the NRC about amendments to Facility Operating operated, maintained, modified, tested, or the availability of information for this License Nos. DPR–77 and DPR–79, inspected. The proposed change does not action. You may obtain publicly- issued to the Tennessee Valley require any plant modifications which affect available information related to this the performance capability of the structures, Authority, for operation of the SQN, systems and components relied upon to action by any of the following methods: Units 1 and 2, located in Hamilton • Federal Rulemaking Web site: Go to mitigate the consequences of postulated County, Tennessee. The proposed accidents. This change also does not create http://www.regulations.gov and search amendments would revise the SQN, the possibility of a new or different kind of for Docket ID NRC–2016–0130. accident from any accident previously • Units 1 and 2, CSP implementation NRC’s Agencywide Documents schedule for Milestone 8 and would evaluated. Access and Management System revise the associated license condition Therefore, the proposed change does not (ADAMS): You may obtain publicly- create the possibility of a new or different in the Facility Operating Licenses. kind of accident from any accident available documents online in the Before any issuance of the proposed ADAMS Public Documents collection at previously evaluated. license amendments, the NRC will need 3. Does the proposed amendment involve http://www.nrc.gov/reading-rm/ to make the findings required by the a significant reduction in a margin of safety? adams.html. To begin the search, select Atomic Energy Act of 1954, as amended Response: No. ‘‘ADAMS Public Documents’’ and then (the Act), and NRC’s regulations. Plant safety margins are established select ‘‘Begin Web-based ADAMS The NRC has made a proposed through limiting conditions for operation, Search.’’ For problems with ADAMS, determination that the license limiting safety system settings, and safety please contact the NRC’s Public limits specified in the technical amendment request involves no specifications. The proposed change extends Document Room (PDR) reference staff at significant hazards consideration. Under 1–800–397–4209, 301–415–4737, or by the CSP Implementation Schedule. Because the NRC’s regulations in 10 CFR 50.92, there is no change to these established safety email to [email protected]. The this means that operation of the facility margins as result of this change, the proposed License Amendment Request (SQN–TS– in accordance with the proposed change does not involve a significant 16–03) to Change the Completion Date amendments would not (1) involve a reduction in a margin of safety. of Cyber Security Plan Implementation significant increase in the probability or Therefore, the proposed change does not involve a significant reduction in a margin of Milestone 8 is available in ADAMS consequences of an accident previously under Accession No. ML16138A247. safety. • evaluated; or (2) create the possibility of NRC’s PDR: You may examine and a new or different kind of accident from The NRC staff has reviewed the purchase copies of public documents at any accident previously evaluated; or licensee’s analysis and, based on this the NRC’s PDR, Room O1–F21, One (3) involve a significant reduction in a review, it appears that the three White Flint North, 11555 Rockville margin of safety. As required by 10 CFR standards of 10 CFR 50.92(c) are Pike, Rockville, Maryland 20852. 50.91(a), the licensee has provided its satisfied. Therefore, the NRC staff B. Submitting Comments analysis of the issue of no significant proposes to determine that the license hazards consideration, which is amendment request involves a No Please include Docket ID NRC–2016– presented below: Significant Hazards Consideration. 0130 and ‘‘Sequoyah Nuclear Plant, The NRC is seeking public comments Units 1 and 2, application dated May 1. Does the proposed amendment involve on this proposed determination that the 16, 2016, license amendment request to a significant increase in the probability or license amendment request involves no change the completion date of Cyber consequence of an accident previously significant hazards consideration. Any Security Plan Implementation Milestone evaluated? Response: No. comments received within 30 days after 8,’’ in your comment submission. The proposed change revises the CSP the date of publication of this notice The NRC cautions you not to include Milestone 8 implementation date. This will be considered in making any final identifying or contact information that change does not alter accident analysis determination. you do not want to be publicly assumptions, add any initiators, or affect the Normally, the Commission will not disclosed in your comment submission. function of plant systems or the manner in issue the amendments until the
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expiration of 60 days after the date of should specifically explain the reasons determination by the presiding officer publication of this notice. The why intervention should be permitted that the filing demonstrates good cause Commission may issue the license with particular reference to the by satisfying the three factors in 10 CFR amendments before expiration of the 60- following general requirements: (1) The 2.309(c)(1)(i)–(iii). day notice period if the Commission name, address, and telephone number of If a hearing is requested, and the concludes the amendments involve no the requestor or petitioner; (2) the Commission has not made a final significant hazards consideration. In nature of the requestor’s/petitioner’s determination on the issue of no addition, the Commission may issue the right under the Act to be made a party significant hazards consideration, the amendments prior to the expiration of to the proceeding; (3) the nature and Commission will make a final the 30-day comment period should extent of the requestor’s/petitioner’s determination on the issue of no circumstances change during the 30-day property, financial, or other interest in significant hazards consideration. The comment period such that failure to act the proceeding; and (4) the possible final determination will serve to decide in a timely way would result, for effect of any decision or order which when the hearing is held. If the final example, in derating or shutdown of the may be entered in the proceeding on the determination is that the amendment facility. Should the Commission take requestor’s/petitioner’s interest. The request involves no significant hazards action prior to the expiration of either petition must also set forth the specific consideration, the Commission may the comment period or the notice contentions which the requestor/ issue the amendments and make them period, it will publish in the Federal petitioner seeks to have litigated at the immediately effective, notwithstanding Register a notice of issuance. Should the proceeding. the request for a hearing. Any hearing Commission make a final No Significant Each contention must consist of a held would take place after issuance of Hazards Consideration Determination, specific statement of the issue of law or the amendments. If the final any hearing will take place after fact to be raised or controverted. In determination is that the amendment issuance. The Commission expects that addition, the requestor/petitioner shall request involves a significant hazards the need to take this action will occur provide a brief explanation of the bases consideration, then any hearing held very infrequently. for the contention and a concise would take place before the issuance of statement of the alleged facts or expert any amendments unless the III. Opportunity To Request a Hearing opinion which support the contention Commission finds an imminent danger and Petition for Leave To Intervene and on which the requestor/petitioner to the health or safety of the public, in Within 60 days after the date of intends to rely in proving the contention which case it will issue an appropriate publication of this notice, any person(s) at the hearing. The requestor/petitioner order or rule under 10 CFR part 2. whose interest may be affected by this must also provide references to those A State, local governmental body, action may file a request for a hearing specific sources and documents of Federally-recognized Indian Tribe, or and a petition to intervene with respect which the petitioner is aware and on agency thereof, may submit a petition to to issuance of the amendments to the which the requestor/petitioner intends the Commission to participate as a party subject facility operating licenses or to rely to establish those facts or expert under 10 CFR 2.309(h)(1). The petition combined licenses. Requests for a opinion. The petition must include should state the nature and extent of the hearing and a petition for leave to sufficient information to show that a petitioner’s interest in the proceeding. intervene shall be filed in accordance genuine dispute exists with the The petition should be submitted to the with the Commission’s ‘‘Agency Rules applicant on a material issue of law or Commission by September 6, 2016. The of Practice and Procedure’’ in 10 CFR fact. Contentions shall be limited to petition must be filed in accordance part 2. Interested person(s) should matters within the scope of the with the filing instructions in the consult a current copy of 10 CFR 2.309, amendments under consideration. The ‘‘Electronic Submissions (E-Filing)’’ which is available at the NRC’s PDR, contention must be one which, if section of this document, and should located at One White Flint North, Room proven, would entitle the requestor/ meet the requirements for petitions for O1–F21, 11555 Rockville Pike (first petitioner to relief. A requestor/ leave to intervene set forth in this floor), Rockville, Maryland 20852. The petitioner who fails to satisfy these section, except that under § 2.309(h)(2) NRC’s regulations are accessible requirements with respect to at least one a State, local governmental body, or electronically from the NRC Library on contention will not be permitted to Federally-recognized Indian Tribe, or the NRC’s Web site at http:// participate as a party. agency thereof does not need to address www.nrc.gov/reading-rm/doc- Those permitted to intervene become the standing requirements in 10 CFR collections/cfr/. If a request for a hearing parties to the proceeding, subject to any 2.309(d) if the facility is located within or petition for leave to intervene is filed limitations in the order granting leave to its boundaries. A State, local within 60 days, the Commission or a intervene, and have the opportunity to governmental body, Federally- presiding officer designated by the participate fully in the conduct of the recognized Indian Tribe, or agency Commission or by the Chief hearing with respect to resolution of thereof may also have the opportunity to Administrative Judge of the Atomic that person’s admitted contentions, participate under 10 CFR 2.315(c). Safety and Licensing Board Panel, will including the opportunity to present If a hearing is granted, any person rule on the request and/or petition; and evidence and to submit a cross- who does not wish, or is not qualified, the Secretary or the Chief examination plan for cross-examination to become a party to the proceeding Administrative Judge of the Atomic of witnesses, consistent with NRC may, in the discretion of the presiding Safety and Licensing Board will issue a regulations, policies and procedures. officer, be permitted to make a limited notice of a hearing or an appropriate Petitions for leave to intervene must appearance pursuant to the provisions order. be filed no later than 60 days from the of 10 CFR 2.315(a). A person making a As required by 10 CFR 2.309, a date of publication of this notice. limited appearance may make an oral or petition for leave to intervene shall set Requests for hearing, petitions for leave written statement of position on the forth with particularity the interest of to intervene, and motions for leave to issues, but may not otherwise the petitioner in the proceeding, and file new or amended contentions that participate in the proceeding. A limited how that interest may be affected by the are filed after the 60-day deadline will appearance may be made at any session results of the proceeding. The petition not be entertained absent a of the hearing or at any prehearing
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conference, subject to the limits and System Help Desk will not be able to Participants who believe that they conditions as may be imposed by the offer assistance in using unlisted have a good cause for not submitting presiding officer. Persons desiring to software. documents electronically must file an make a limited appearance are If a participant is electronically exemption request, in accordance with requested to inform the Secretary of the submitting a document to the NRC in 10 CFR 2.302(g), with their initial paper Commission by September 6, 2016. accordance with the E-Filing rule, the filing requesting authorization to participant must file the document IV. Electronic Submissions (E-Filing) continue to submit documents in paper using the NRC’s online, Web-based format. Such filings must be submitted All documents filed in NRC submission form. In order to serve by: (1) First class mail addressed to the adjudicatory proceedings, including a documents through the Electronic Office of the Secretary of the request for hearing, a petition for leave Information Exchange System, users Commission, U.S. Nuclear Regulatory to intervene, any motion or other will be required to install a Web Commission, Washington, DC 20555– document filed in the proceeding prior browser plug-in from the NRC’s Web 0001, Attention: Rulemaking and to the submission of a request for site. Further information on the Web- Adjudications Staff; or (2) courier, hearing or petition to intervene, and based submission form, including the express mail, or expedited delivery documents filed by interested installation of the Web browser plug-in, service to the Office of the Secretary, governmental entities participating is available on the NRC’s public Web Sixteenth Floor, One White Flint North, under 10 CFR 2.315(c), must be filed in site at http://www.nrc.gov/site-help/ 11555 Rockville Pike, Rockville, accordance with the NRC’s E-Filing rule e-submittals.html. Maryland 20852, Attention: Rulemaking (72 FR 49139; August 28, 2007). The Once a participant has obtained a and Adjudications Staff. Participants E-Filing process requires participants to digital ID certificate and a docket has filing a document in this manner are submit and serve all adjudicatory been created, the participant can then responsible for serving the document on documents over the internet, or in some submit a request for hearing or petition all other participants. Filing is cases to mail copies on electronic for leave to intervene. Submissions considered complete by first-class mail storage media. Participants may not should be in Portable Document Format as of the time of deposit in the mail, or submit paper copies of their filings (PDF) in accordance with NRC guidance by courier, express mail, or expedited unless they seek an exemption in available on the NRC’s public Web site delivery service upon depositing the accordance with the procedures at http://www.nrc.gov/site-help/ document with the provider of the described below. e-submittals.html. A filing is considered service. A presiding officer, having To comply with the procedural complete at the time the documents are granted an exemption request from requirements of E-Filing, at least 10 submitted through the NRC’s E-Filing using E-Filing, may require a participant days prior to the filing deadline, the system. To be timely, an electronic or party to use E-Filing if the presiding participant should contact the Office of filing must be submitted to the E-Filing officer subsequently determines that the the Secretary by email at system no later than 11:59 p.m. Eastern reason for granting the exemption from [email protected], or by telephone Time on the due date. Upon receipt of use of E-Filing no longer exists. at 301–415–1677, to request (1) a digital a transmission, the E-Filing system identification (ID) certificate, which time-stamps the document and sends Documents submitted in adjudicatory allows the participant (or its counsel or the submitter an email notice proceedings will appear in the NRC’s representative) to digitally sign confirming receipt of the document. The electronic hearing docket which is documents and access the E-Submittal E-Filing system also distributes an email available to the public at http:// server for any proceeding in which it is notice that provides access to the ehd1.nrc.gov/ehd/, unless excluded participating; and (2) advise the document to the NRC’s Office of the pursuant to an order of the Commission, Secretary that the participant will be General Counsel and any others who or the presiding officer. Participants are submitting a request or petition for have advised the Office of the Secretary requested not to include personal hearing (even in instances in which the that they wish to participate in the privacy information, such as social participant, or its counsel or proceeding, so that the filer need not security numbers, home addresses, or representative, already holds an NRC- serve the documents on those home phone numbers in their filings, issued digital ID certificate). Based upon participants separately. Therefore, unless an NRC regulation or other law this information, the Secretary will applicants and other participants (or requires submission of such establish an electronic docket for the their counsel or representative) must information. However, in some hearing in this proceeding if the apply for and receive a digital ID instances, a request to intervene will Secretary has not already established an certificate before a hearing request/ require including information on local electronic docket. petition to intervene is filed so that they residence in order to demonstrate a Information about applying for a can obtain access to the document via proximity assertion of interest in the digital ID certificate is available on the the E-Filing system. proceeding. With respect to copyrighted NRC’s public Web site at http:// A person filing electronically using works, except for limited excerpts that www.nrc.gov/site-help/e-submittals/ the NRC’s adjudicatory E-Filing system serve the purpose of the adjudicatory getting-started.html. System may seek assistance by contacting the filings and would constitute a Fair Use requirements for accessing the NRC Meta System Help Desk through application, participants are requested E-Submittal server are detailed in the the ‘‘Contact Us’’ link located on the not to include copyrighted materials in NRC’s ‘‘Guidance for Electronic NRC’s public Web site at http:// their submission. Submission,’’ which is available on the www.nrc.gov/site-help/ For further details with respect to this agency’s public Web site at http:// e-submittals.html, by email to action, see the license amendment www.nrc.gov/site-help/ [email protected], or by a toll- request dated May 16, 2016. e-submittals.html. Participants may free call at 1–866–672–7640. The NRC Attorney for licensee: Ms. Sherry A. attempt to use other software not listed Meta System Help Desk is available Quirk, Executive Vice President and on the Web site, but should note that the between 8 a.m. and 8 p.m., Eastern General Counsel, Tennessee Valley NRC’s E-Filing system does not support Time, Monday through Friday, Authority, 400 West Summit Hill Drive, unlisted software, and the NRC Meta excluding government holidays. Knoxville, Tennessee 37902.
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Acting NRC Branch Chief: Tracy J. (3) The identity of the individual or determination on standing and need for Orf. entity requesting access to SUNSI and access, the NRC staff shall immediately the requester’s basis for the need for the notify the requestor in writing, briefly Order Imposing Procedures for Access information in order to meaningfully stating the reason or reasons for the to Sensitive Unclassified Non- participate in this adjudicatory denial. Safeguards Information for Contention proceeding. In particular, the request Preparation (2) The requester may challenge the must explain why publicly-available NRC staff’s adverse determination by Tennessee Valley Authority, Docket versions of the information requested filing a challenge within 5 days of Nos. 50–327 and 50–328, Sequoyah would not be sufficient to provide the receipt of that determination with: (a) Nuclear Plant, Units 1 and 2, Hamilton basis and specificity for a proffered The presiding officer designated in this County, Tennessee contention. proceeding; (b) if no presiding officer D. Based on an evaluation of the has been appointed, the Chief A. This Order contains instructions information submitted under paragraph regarding how potential parties to this Administrative Judge, or if he or she is C.(3) the NRC staff will determine unavailable, another administrative proceeding may request access to within 10 days of receipt of the request documents containing SUNSI. judge, or an administrative law judge whether: with jurisdiction pursuant to 10 CFR B. Within 10 days after publication of (1) There is a reasonable basis to 2.318(a); or (c) officer if that officer has this notice of hearing and opportunity to believe the petitioner is likely to been designated to rule on information petition for leave to intervene, any establish standing to participate in this access issues. potential party who believes access to NRC proceeding; and SUNSI is necessary to respond to this (2) The requestor has established a H. Review of Grants of Access. A notice may request such access. A legitimate need for access to SUNSI. party other than the requester may ‘‘potential party’’ is any person who E. If the NRC staff determines that the challenge an NRC staff determination intends to participate as a party by requestor satisfies both D.(1) and D.(2) granting access to SUNSI whose release demonstrating standing and filing an above, the NRC staff will notify the would harm that party’s interest admissible contention under 10 CFR requestor in writing that access to independent of the proceeding. Such a 2.309. Requests for access to SUNSI SUNSI has been granted. The written challenge must be filed with the Chief submitted later than 10 days after notification will contain instructions on Administrative Judge within 5 days of publication of this notice will not be how the requestor may obtain copies of the notification by the NRC staff of its considered absent a showing of good the requested documents, and any other grant of access. cause for the late filing, addressing why conditions that may apply to access to If challenges to the NRC staff the request could not have been filed those documents. These conditions may determinations are filed, these earlier. include, but are not limited to, the procedures give way to the normal C. The requester shall submit a letter signing of a Non-Disclosure Agreement process for litigating disputes requesting permission to access SUNSI or Affidavit, or Protective Order 2 setting concerning access to information. The to the Office of the Secretary, U.S. forth terms and conditions to prevent availability of interlocutory review by Nuclear Regulatory Commission, the unauthorized or inadvertent the Commission of orders ruling on Washington, DC 20555–0001, Attention: disclosure of SUNSI by each individual such NRC staff determinations (whether Rulemakings and Adjudications Staff, who will be granted access to SUNSI. granting or denying access) is governed and provide a copy to the Associate F. Filing of Contentions. Any by 10 CFR 2.311.3 General Counsel for Hearings, contentions in these proceedings that I. The Commission expects that the Enforcement and Administration, Office are based upon the information received NRC staff and presiding officers (and of the General Counsel, Washington, DC as a result of the request made for any other reviewing officers) will 20555–0001. The expedited delivery or SUNSI must be filed by the requestor no consider and resolve requests for access courier mail address for both offices is: later than 25 days after the requestor is to SUNSI, and motions for protective U.S. Nuclear Regulatory Commission, granted access to that information. orders, in a timely fashion in order to 11555 Rockville Pike, Rockville, However, if more than 25 days remain minimize any unnecessary delays in Maryland 20852. The email address for between the dates the petitioner is identifying those petitioners who have the Office of the Secretary and the granted access to the information and standing and who have propounded Office of the General Counsel are the deadline for filing all other contentions meeting the specificity and [email protected] and contentions (as established in the notice basis requirements in 10 CFR part 2. [email protected], respectively.1 of hearing or opportunity for hearing), Attachment 1 to this Order summarizes The request must include the following the petitioner may file its SUNSI the general target schedule for information: contentions by that later deadline. This processing and resolving requests under (1) A description of the licensing provision does not extend the time for these procedures. action with a citation to this Federal filing a request for a hearing and It is so ordered. Register notice; petition to intervene, which must (2) The name and address of the comply with the requirements of 10 CFR Dated at Rockville, Maryland, this 1st day potential party and a description of the 2.309. of July 2016. potential party’s particularized interest G. Review of Denials of Access. For the Nuclear Regulatory Commission. that could be harmed by the action (1) If the request for access to SUNSI Rochelle C. Bavol, identified in C.(1); and is denied by the NRC staff after a Acting, Secretary of the Commission.
1 While a request for hearing or petition to 2 Any motion for Protective Order or draft Non- 3 Requesters should note that the filing intervene in this proceeding must comply with the Disclosure Affidavit or Agreement for SUNSI must requirements of the NRC’s E-Filing Rule (72 FR filing requirements of the NRC’s ‘‘E-Filing Rule,’’ be filed with the presiding officer or the Chief 49139; August 28, 2007) apply to appeals of NRC the initial request to access SUNSI under these Administrative Judge if the presiding officer has not staff determinations (because they must be served procedures should be submitted as described in this yet been designated, within 30 days of the deadline on a presiding officer or the Commission, as applicable), but not to the initial SUNSI request paragraph. for the receipt of the written access request. submitted to the NRC staff under these procedures.
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ATTACHMENT 1—GENERAL TARGET SCHEDULE FOR PROCESSING AND RESOLVING REQUESTS FOR ACCESS TO SENSITIVE UNCLASSIFIED NON-SAFEGUARDS INFORMATION IN THIS PROCEEDING
Day Event/activity
0 ...... Publication of Federal Register notice of hearing and opportunity to petition for leave to intervene, including order with in- structions for access requests. 10 ...... Deadline for submitting requests for access to Sensitive Unclassified Non-Safeguards Information (SUNSI) with information: Supporting the standing of a potential party identified by name and address; describing the need for the information in order for the potential party to participate meaningfully in an adjudicatory proceeding. 60 ...... Deadline for submitting petition for intervention containing: (i) Demonstration of standing; and (ii) all contentions whose formu- lation does not require access to SUNSI (+25 Answers to petition for intervention; +7 petitioner/requestor reply). 20 ...... U.S. Nuclear Regulatory Commission (NRC) staff informs the requester of the staff’s determination whether the request for access provides a reasonable basis to believe standing can be established and shows need for SUNSI. (NRC staff also in- forms any party to the proceeding whose interest independent of the proceeding would be harmed by the release of the in- formation.) If NRC staff makes the finding of need for SUNSI and likelihood of standing, NRC staff begins document proc- essing (preparation of redactions or review of redacted documents). 25 ...... If NRC staff finds no ‘‘need’’ or no likelihood of standing, the deadline for petitioner/requester to file a motion seeking a ruling to reverse the NRC staff’s denial of access; NRC staff files copy of access determination with the presiding officer (or Chief Administrative Judge or other designated officer, as appropriate). If NRC staff finds ‘‘need’’ for SUNSI, the deadline for any party to the proceeding whose interest independent of the proceeding would be harmed by the release of the information to file a motion seeking a ruling to reverse the NRC staff’s grant of access. 30 ...... Deadline for NRC staff reply to motions to reverse NRC staff determination(s). 40 ...... (Receipt +30) If NRC staff finds standing and need for SUNSI, deadline for NRC staff to complete information processing and file motion for Protective Order and draft Non-Disclosure Affidavit. Deadline for applicant/licensee to file Non-Disclosure Agreement for SUNSI. A ...... If access granted: Issuance of presiding officer or other designated officer decision on motion for protective order for access to sensitive information (including schedule for providing access and submission of contentions) or decision reversing a final adverse determination by the NRC staff. A + 3 ...... Deadline for filing executed Non-Disclosure Affidavits. Access provided to SUNSI consistent with decision issuing the protec- tive order. A + 28 ...... Deadline for submission of contentions whose development depends upon access to SUNSI. However, if more than 25 days remain between the petitioner’s receipt of (or access to) the information and the deadline for filing all other contentions (as established in the notice of hearing or opportunity for hearing), the petitioner may file its SUNSI contentions by that later deadline. A + 53 ...... (Contention receipt +25) Answers to contentions whose development depends upon access to SUNSI. A + 60 ...... (Answer receipt +7) Petitioner/Intervenor reply to answers. >A + 60 ...... Decision on contention admission.
[FR Doc. 2016–16211 Filed 7–7–16; 8:45 am] consideration only for comments Submitting Comments’’ in the BILLING CODE 7590–01–P received on or before this date. SUPPLEMENTARY INFORMATION section of Although a time limit is given, this document. comments and suggestions in FOR FURTHER INFORMATION CONTACT: NUCLEAR REGULATORY connection with items for inclusion in Richard Laura, Office of New Reactors, COMMISSION guides currently being developed or telephone: 301–415–1837, email: improvements in all published guides [email protected], and Stephen [NRC–2016–0133] are encouraged at any time. Burton, Office of Nuclear Regulatory Research, telephone: 301–415–7000, Dedication of Commercial-Grade Items ADDRESSES: You may submit comments email: [email protected]. Both for Use in Nuclear Power Plants by any of the following methods (unless this document describes a different are staff members of the U.S. Nuclear AGENCY: Nuclear Regulatory method for submitting comments on a Regulatory Commission, Washington, Commission. specified subject): DC 20555–0001. ACTION: Draft regulatory guide; request • Federal Rulemaking Web site: Go to SUPPLEMENTARY INFORMATION: for comment. http://www.regulations.gov and search I. Obtaining Information and for Docket ID NRC–2016–0133. Address Submitting Comments SUMMARY: The U.S. Nuclear Regulatory questions about NRC dockets to Carol Commission (NRC) is issuing for public Gallagher; telephone: 301–415–3463; A. Obtaining Information comment draft regulatory guide (DG), email: [email protected]. For Please refer to Docket ID NRC–2016– DG–1292, ‘‘Dedication of Commercial- technical questions, contact the 0133 when contacting the NRC about Grade Items for Use in Nuclear Power individuals listed in the FOR FURTHER the availability of information regarding Plants.’’ This DG proposes new INFORMATION CONTACT section of this this action. You may obtain publically- guidance that describes methods that document. available information related to this the NRC staff considers acceptable in • Mail comments to: Cindy Bladey, action, by any of the following methods: meeting regulatory requirements for Office of Administration, Mail Stop: • Federal Rulemaking Web site: Go to dedication of commercial-grade items OWFN–12 H08, U.S. Nuclear Regulatory http://www.regulations.gov and search used in nuclear power plants. Commission, Washington, DC 20555– for Docket ID NRC–2016–0133. DATES: Submit comments by September 0001. • NRC’s Agencywide Documents 6, 2016. Comments received after this For additional direction on accessing Access and Management System date will be considered if it is practical information and submitting comments, (ADAMS): You may obtain publicly- to do so, but the NRC is able to ensure see ‘‘Obtaining Information and available documents online in the
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ADAMS Public Documents collection at of commercial-grade items used in POSTAL SERVICE http://www.nrc.gov/reading-rm/ nuclear power plants. adams.html. To begin the search, select Product Change—Priority Mail III. Backfitting and Issue Finality ‘‘ADAMS Public Documents’’ and then Negotiated Service Agreement select ‘‘Begin Web-based ADAMS DG–1292 describes a method that the AGENCY: Postal ServiceTM. Search.’’ For problems with ADAMS, staff of the NRC considers acceptable for ACTION: Notice. please contact the NRC’s Public dedication of commercial-grade items Document Room (PDR) reference staff at for use in nuclear power plants. SUMMARY: The Postal Service gives 1–800–397–4209, 301–415–4737, or by Issuance of this DG, if finalized, would notice of filing a request with the Postal email to [email protected]. The DG not constitute backfitting as defined in Regulatory Commission to add a is electronically available in ADAMS 10 CFR 50.109 (the Backfit Rule) and domestic shipping services contract to under Accession No. ML15313A425. would not otherwise be inconsistent • NRC’s PDR: You may examine and the list of Negotiated Service with the issue finality provisions in 10 Agreements in the Mail Classification purchase copies of public documents at CFR part 52. As discussed in the the NRC’s PDR, Room O1–F21, One Schedule’s Competitive Products List. ‘‘Implementation’’ section of this DG, DATES: Effective date: July 8, 2016. White Flint North, 11555 Rockville the NRC has no current intention to Pike, Rockville, Maryland 20852. FOR FURTHER INFORMATION CONTACT: impose this DG, if finalized, on holders Elizabeth A. Reed, 202–268–3179. B. Submitting Comments of current operating licenses or combined licenses. SUPPLEMENTARY INFORMATION: The Please include Docket ID NRC–2016– United States Postal Service® hereby 0133 in your comment submission. Dated at Rockville, Maryland, this 29th day gives notice that, pursuant to 39 U.S.C. The NRC cautions you not to include of June, 2016. 3642 and 3632(b)(3), on July 1, 2016, it identifying or contact information that For the Nuclear Regulatory Commission. filed with the Postal Regulatory you do not want to be publicly Harriett Karagiannis, Commission a Request of the United disclosed in your comment submission. Acting Chief, Regulatory Guidance and States Postal Service to Add Priority The NRC posts all comment Generic Issues Branch, Division of Mail Contract 231 to Competitive submissions at http:// Engineering, Office of Nuclear Regulatory Product List. Documents are available at www.regulations.gov as well as enters Research. www.prc.gov, Docket Nos. MC2016–163, the comment submissions into ADAMS. [FR Doc. 2016–16215 Filed 7–7–16; 8:45 am] CP2016–236. The NRC does not routinely edit BILLING CODE 7590–01–P comment submissions to remove Stanley F. Mires, identifying or contact information. Attorney, Federal Compliance. If you are requesting or aggregating [FR Doc. 2016–16161 Filed 7–7–16; 8:45 am] comments from other persons for POSTAL SERVICE BILLING CODE 7710–12–P submission to the NRC, then you should inform those persons not to include Product Change—Priority Mail Negotiated Service Agreement identifying or contact information that SECURITIES AND EXCHANGE they do not want to be publicly COMMISSION disclosed in their comment submission. AGENCY: Postal ServiceTM. [OMB Control No. 3235–0528, SEC File No. Your request should state that the NRC ACTION: Notice. does not routinely edit comment 270–465] submissions to remove such information SUMMARY: The Postal Service gives before making the comment Proposed Collection; Comment notice of filing a request with the Postal Request submissions available to the public or Regulatory Commission to add a entering the comment submissions into domestic shipping services contract to Upon Written Request, Copies Available ADAMS. the list of Negotiated Service From: Securities and Exchange II. Additional Information Agreements in the Mail Classification Commission, Office of Investor Schedule’s Competitive Products List. Education and Advocacy, The NRC is issuing for public Washington, DC 20549–0213. comment a DG in the NRC’s ‘‘Regulatory DATES: Effective date: July 8, 2016. Guide’’ series. This series was Extension: developed to describe and make FOR FURTHER INFORMATION CONTACT: Rule 237. available to the public information Elizabeth A. Reed, 202–268–3179. Notice is hereby given that, pursuant regarding methods that are acceptable to SUPPLEMENTARY INFORMATION: The to the Paperwork Reduction Act of 1995 the NRC staff for implementing specific United States Postal Service® hereby (44 U.S.C. 3501–3520), the Securities parts of the NRC’s regulations, gives notice that, pursuant to 39 U.S.C. and Exchange Commission (the techniques that the staff uses in 3642 and 3632(b)(3), on July 1, 2016, it ‘‘Commission’’) is soliciting comments evaluating specific issues or postulated filed with the Postal Regulatory on the collection of information events, and data that the staff needs in Commission a Request of the United summarized below. The Commission its review of applications for permits States Postal Service to Add Priority plans to submit this existing collection and licenses. The DG, entitled, Mail Contract 230 to Competitive of information to the Office of ‘‘Dedication of Commercial-Grade Items Product List. Documents are available at Management and Budget (‘‘OMB’’) for for Use in Nuclear Power Plants,’’ is a www.prc.gov, Docket Nos. MC2016–162, extension and approval. proposed new guide temporarily CP2016–235. In Canada, as in the United States, identified by its task number, DG–1292. individuals can invest a portion of their It proposes new guidance that describes Stanley F. Mires, earnings in tax-deferred retirement acceptance methods that the NRC staff Attorney, Federal Compliance. savings accounts (‘‘Canadian retirement considers acceptable in meeting [FR Doc. 2016–16162 Filed 7–7–16; 8:45 am] accounts’’). These accounts, which regulatory requirements for dedication BILLING CODE 7710–12–P operate in a manner similar to
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individual retirement accounts in the exempt from registration under the U.S. In addition, issuers from foreign United States, encourage retirement securities laws. The burden under the countries other than Canada could rely savings by permitting savings on a tax- rule associated with adding this on rule 237 to offer securities to deferred basis. Individuals who disclosure to written offering documents Canadian-U.S. Participants and sell establish Canadian retirement accounts is minimal and is non-recurring. The securities to their accounts without while living and working in Canada and foreign issuer, underwriter, or broker- becoming subject to the registration who later move to the United States dealer can redraft an existing prospectus requirements of the Securities Act. (‘‘Canadian-U.S. Participants’’ or or other written offering material to add However, the staff believes that the ‘‘participants’’) often continue to hold this disclosure statement, or may draft number of issuers from other countries their retirement assets in their Canadian a sticker or supplement containing this that rely on rule 237, and that therefore retirement accounts rather than disclosure to be added to existing are required to comply with the offering prematurely withdrawing (or ‘‘cashing offering materials. In either case, based document disclosure requirements, is out’’) those assets, which would result on discussions with representatives of negligible. in immediate taxation in Canada. the Canadian fund industry, the staff These burden hour estimates are Once in the United States, however, estimates that it would take an average based upon the Commission staff’s these participants historically have been of 10 minutes per document to draft the experience and discussions with the unable to manage their Canadian requisite disclosure statement. fund industry. The estimates of average retirement account investments. Most The Commission understands that burden hours are made solely for the securities that are ‘‘qualified there are approximately 3,619 Canadian purposes of the Paperwork Reduction investments’’ for Canadian retirement issuers other than funds that may rely Act. These estimates are not derived accounts are not registered under the on rule 237 to make an initial public from a comprehensive or even a U.S. securities laws. Those securities, offering of their securities to Canadian- representative survey or study of the therefore, generally cannot be publicly U.S. Participants.4 The staff estimates costs of Commission rules. offered and sold in the United States that in any given year approximately 36 Compliance with the collection of without violating the registration (or 1 percent) of those issuers are likely information requirements of the rule is requirement of the Securities Act of to rely on rule 237 to make a public mandatory and is necessary to comply 1933 (‘‘Securities Act’’).1 As a result of offering of their securities to with the requirements of the rule in this registration requirement, Canadian- participants, and that each of those 36 general. An agency may not conduct or U.S. Participants previously were not issuers, on average, distributes 3 sponsor, and a person is not required to able to purchase or exchange securities different written offering documents respond to a collection of information for their Canadian retirement accounts concerning those securities, for a total of unless it displays a currently valid as needed to meet their changing 108 offering documents. control number. Consideration will be investment goals or income needs. The staff therefore estimates that given to comments and suggestions The Commission issued a rulemaking during each year that rule 237 is in 5 submitted in writing within 60 days of in 2000 that enabled Canadian-U.S. effect, approximately 36 respondents this publication. Participants to manage the assets in would be required to make 108 Please direct your written comments their Canadian retirement accounts by responses by adding the new disclosure to Pamela Dyson, Director/Chief providing relief from the U.S. statements to approximately 108 written Information Officer, Securities and registration requirements for offers of offering documents. Thus, the staff Exchange Commission, c/o Remi Pavlik- securities of foreign issuers to Canadian- estimates that the total annual burden Simon, 100 F Street NE., Washington, U.S. Participants and sales to Canadian associated with the rule 237 disclosure DC 20549; or send an email to: PRA_ retirement accounts.2 Rule 237 under requirement would be approximately 18 [email protected]. the Securities Act 3 permits securities of hours (108 offering documents × 10 foreign issuers, including securities of minutes per document). The total Dated: July 5, 2016. foreign funds, to be offered to Canadian- annual cost of burden hours is estimated Brent J. Fields, U.S. Participants and sold to their to be $6,840 (18 hours × $380 per hour Secretary. Canadian retirement accounts without of attorney time).6 [FR Doc. 2016–16193 Filed 7–7–16; 8:45 am] being registered under the Securities BILLING CODE 8011–01–P Act. 4 This estimate is based on the following Rule 237 requires written offering calculation: 3,520 equity issuers (as of April 2016) + 99 bond issuers (as of April 2016) = 3,619 total documents for securities offered and issuers (as of April 2016). See World Federation of SECURITIES AND EXCHANGE sold in reliance on the rule to disclose Exchanges, Monthly Reports, available at http:// COMMISSION prominently that the securities are not www.world-exchanges.org/home/index.php/ registered with the Commission and are statistics/monthly-reports (providing number of Sunshine Act Meeting equity issuers listed on Canada’s Toronto Stock Exchange). After 2009, the World Federation of Notice is hereby given, pursuant to 1 15 U.S.C. 77. In addition, the offering and Exchanges ceased reporting the number of fixed- selling of securities of investment companies income issuers on Canada’s Toronto Stock the provisions of the Government in the (‘‘funds’’) that are not registered pursuant to the Exchange. The number of fixed-income issuers as Sunshine Act, Public Law 94–409, that Investment Company Act of 1940 (‘‘Investment of April 2016 is based on the ratio of the number the Securities and Exchange Company Act’’) is generally prohibited by U.S. of fixed-income issuers listed on Canada’s Toronto Commission will hold an Open Meeting securities laws. 15 U.S.C. 80a. Stock Exchange in 2009 (111) relative to the number 2 See Offer and Sale of Securities to Canadian of bonds listed on that exchange in that year (178) on Tuesday, July 12, 2016, at 1:00 p.m., Tax-Deferred Retirement Savings Accounts, Release multiplied against the number of bonds listed on Nos. 33–7860, 34–42905, IC–24491 (June 7, 2000) that exchange as of April 2016 (159): (111/178) × for the securities industry compiled by the [65 FR 37672 (June 15, 2000)]. This rulemaking also 159 = 99. Securities Industry and Financial Markets included new rule 7d–2 under the Investment 5 This estimate of respondents only includes Association (‘‘SIFMA’’). The $380 per hour figure Company Act, permitting foreign funds to offer foreign issuers. The number of respondents would for an attorney is from SIFMA’s Management & securities to Canadian-U.S. Participants and sell be greater if foreign underwriters or broker-dealers Professional Earnings in the Securities Industry securities to Canadian retirement accounts without draft stickers or supplements to add the required 2013, modified by Commission staff to account for registering as investment companies under the disclosure to existing offering documents. an 1800-hour work-year and multiplied by 5.35 to Investment Company Act. 17 CFR 270.7d–2. 6 The Commission’s estimate concerning the wage account for bonuses, firm size, employee benefits, 3 17 CFR 230.237. rate for attorney time is based on salary information and overhead.
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in the Auditorium (L–002) at the provided for in Rule 17a–1 (17 CFR writing within 60 days of this Commission’s headquarters building, to 240.17a–1) under the Securities publication. hear oral argument in an appeal by the Exchange Act of 1934, as amended (the An agency may not conduct or Respondents John J. Aesoph, CPA and ‘‘Act’’) (15 U.S.C. 78a et seq.). The sponsor, and a person is not required to Darren M. Bennett, CPA, and a cross- Commission plans to submit this respond to, a collection of information appeal by the Division of Enforcement, existing collection of information to the under the PRA unless it displays a from an initial decision of an Office of Management and Budget currently valid OMB control number. administrative law judge. (‘‘OMB’’) for extension and approval. Please direct your written comments On June 27, 2014, the law judge found Rule 17a–1 requires that every to: Pamela Dyson, Director/Chief that Aesoph and Bennett engaged in national securities exchange, national Information Officer, Securities and ‘‘improper professional conduct’’ under securities association, registered Exchange Commission, c/o Remi Pavlik- Commission Rule of Practice 102(e) and clearing agency, and the Municipal Simon, 100 F Street NE., Washington, Section 4C of the Securities Exchange Securities Rulemaking Board keep on DC 20549, or send an email to: PRA_ Act of 1934, during their service as the file for a period of not less than five [email protected]. engagement partner and senior manager years, the first two years in an easily Dated: July 5, 2016. of KPMG, LLP’s audit of the 2008 accessible place, at least one copy of all Brent J. Fields, financial statements of TierOne documents, including all Secretary. Corporation, a holding company for correspondence, memoranda, papers, [FR Doc. 2016–16191 Filed 7–7–16; 8:45 am] TierOne Bank. The law judge suspended books, notices, accounts, and other such Aesoph from appearing or practicing records made or received by it in the BILLING CODE 8011–01–P before the Commission as an accountant course of its business as such and in the for one year, and suspended Bennett conduct of its self-regulatory activity, from appearing or practicing before the and that such documents be available DEPARTMENT OF TRANSPORTATION Commission as an accountant for six for examination by the Commission. Federal Highway Administration months. There are 29 entities required to Respondents appealed the law judge’s comply with the rule: 19 national Environmental Impact Statement: King findings of liability and the sanctions securities exchanges, 1 national County, Washington imposed; the Division cross-appealed securities association, 8 registered the sanctions imposed. The issues likely clearing agencies, and the Municipal AGENCY: Federal Highway to be considered at oral argument Securities Rulemaking Board. The Administration (FHWA), Department of include, among other things, whether Commission staff estimates that the Transportation (DOT). Respondents engaged in ‘‘improper average number of hours necessary for ACTION: Notice of intent to prepare an professional conduct’’ as alleged and, if compliance with the requirements of environmental impact statement. so, the extent to which they should be Rule 17a–1 is 52 hours per year. In sanctioned. Also likely to be considered addition, 4 national securities SUMMARY: The FHWA is issuing this at oral argument is whether these exchanges notice-registered pursuant to notice to advise the public that an administrative proceedings violate the Section 6(g) of the Act (15 U.S.C. 78f(g)) environmental impact statement (EIS) U.S. Constitution. are required to preserve records of will be prepared for a proposed project For further information, please determinations made under Rule 3a55– in King County, Washington. contact Brent J. Fields from the Office of 1 under the Act (17 CFR 240.3a55–1), FOR FURTHER INFORMATION CONTACT: the Secretary at (202) 551–5400. which the Commission staff estimates Lindsey Handel, Urban Area Engineer, Dated: July 5, 2016. will take 1 hour per exchange, for a total Federal Highway Administration, 711 Lynn M. Powalski, of 4 hours. Accordingly, the South Capitol Way, Suite 501, Deputy Secretary. Commission staff estimates that the total Olympia, WA 98501; telephone: (360) 753–9550; email: [FR Doc. 2016–16309 Filed 7–6–16; 11:15 am] number of hours necessary to comply with the requirements of Rule 17a–1 is [email protected]. BILLING CODE 8011–01–P 1,512 hours. The total internal cost of Jane Lewis, Project Coordinator, compliance for all respondents is Washington State Convention Center, SECURITIES AND EXCHANGE $98,280, based on an average cost per c/o Pine Street Group L.L.C., 1500 COMMISSION hour of $65. Fourth Ave., Suite 600, Seattle, WA Written comments are invited on (a) 98101; telephone: (206) 340–9897; Proposed Collection; Comment whether the proposed collection of email: [email protected]. Request information is necessary for the proper SUPPLEMENTARY INFORMATION: The performance of the functions of the FHWA, in cooperation with WSCC, will Upon Written Request, Copies Available Commission, including whether the prepare an EIS on the Washington State From: Securities and Exchange information shall have practical utility; Convention Center Addition Project to Commission, Office of FOIA Services, (b) the accuracy of the Commission’s construct an addition to the Washington 100 F Street NE., Washington, DC estimate of the burden of the proposed State Convention Center. The project 20549–2736. collection of information; (c) ways to requires FHWA approvals for closure of Extension: enhance the quality, utility, and clarity access to an Interstate ramp and use of Rule 17a–1; SEC File No. 270–244, OMB of the information collected; and (d) Interstate airspace (air and ground Control No. 3235–0208. ways to minimize the burden of the lease), and related breaks in access. Notice is hereby given that, pursuant collection of information on Preliminary alternatives under to the Paperwork Reduction Act of 1995 respondents, including through the use consideration include: (1) Taking no (44 U.S.C. 3501 et seq.), the Securities of automated collection techniques or action; (2) construct approximately 1.50 and Exchange Commission other forms of information technology. million square feet of gross floor area (‘‘Commission’’) is soliciting comments Consideration will be given to composed of approximately 1.26 million on the existing collection of information comments and suggestions submitted in square feet of addition to the convention
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center and 262,000 square feet of related DEPARTMENT OF TRANSPORTATION Docket: For access to the docket to ancillary development. read background documents or Federal Motor Carrier Safety The FHWA along with WSCC are comments received, go to http:// Administration holding a public scoping meeting on www.regulations.gov or to Room W12– 140, DOT Building, New Jersey Avenue July 20, 2016, from 5:30 p.m. to 7 p.m. [Docket No. FMCSA–2013–0147] SE., Washington, DC, between 9 a.m. at the Washington State Convention and 5 p.m., Monday through Friday, Center, 800 Convention Place, Room Driver Qualifications: Skill except Federal holidays. The FDMS is 206, Seattle, WA to solicit public Performance Evaluation; Virginia Department of Motor Vehicles; available 24 hours each day, 365 days comments regarding the scope of issues each year. If you want to be addressed in the NEPA EIS. The Exemption Renewal for Virginia Department of Motor Vehicles acknowledgement that we received your public will be notified by a flyer that comments, please include a self- will be mailed to interested agencies, AGENCY: Federal Motor Carrier Safety addressed, stamped envelope or organizations, and individuals affected Administration (FMCSA), DOT. postcard or print the acknowledgement by the project, as well as published in ACTION: Notice of renewal of exemption; page that appears after submitting The Seattle Times and the Daily Journal request for comments. comments on-line. of Commerce. In addition, notice of the Privacy Act: In accordance with 5 EIS Scoping meeting will be posted at SUMMARY: FMCSA announces its U.S.C. 553(c), DOT solicits comments locations on the project site. The decision to renew the Virginia from the public to better inform its meeting will include a brief Department of Motor Vehicles (DMV) rulemaking process. DOT posts these presentation followed by public exemption on behalf of truck and bus comments, without edit, including any comments. drivers who are licensed in the personal information the commenter Commonwealth of Virginia and need a Agencies, Tribes, and the public are provides, to www.regulations.gov, as Skill Performance Evaluation (SPE) described in the system of records encouraged to submit comments on the certificate from FMCSA to operate notice (DOT/ALL–14 FDMS) which can purpose and need and preliminary commercial motor vehicles (CMV) in be reviewed at www.dot.gov/privacy. range of alternatives during the scoping interstate commerce. The exemption FOR FURTHER INFORMATION CONTACT: Ms. period. Comments must be received by enables interstate CMV drivers who are July 26, 2016, to be included in the Eileen Nolan, Office of Carrier, Driver licensed in Virginia and are subject to and Vehicle Safety, Medical Programs formal scoping record. To ensure that the Federal SPE requirements under 49 Division, (202) 366–4001, the full range of issues related to this CFR 391.49 to continue to fulfill the [email protected], FMCSA, 1200 proposed action is addressed, and all Federal requirements with a State- New Jersey Avenue SE., Washington, the significant issues identified, issued SPE and to operate CMVs in DC 20590–0001. Office hours are 8:30 comments and suggestions are invited interstate commerce anywhere in the a.m. to 5 p.m., Monday through Friday, from interested parties during the United States. except Federal holidays. scoping period. Comments concerning DATES: This decision is effective July 9, SUPPLEMENTARY INFORMATION: this proposal will be accepted at the 2016, and will expire July 9, 2018, and public meeting or can be sent by mail may be renewed. Comments must be I. Background to: Lindsey Handel, Urban Area received on or before August 9, 2016. Under 49 U.S.C. 31136(e) and 31315, Engineer, Federal Highway ADDRESSES: You may submit comments FMCSA may grant an exemption from Administration, 711 South Capitol Way, bearing the Federal Docket Management certain parts of the Federal Motor Suite 501, Olympia, WA 98501; System (FDMS) number FMCSA–2013– Carrier Safety Regulations (FMCSRs) for telephone: (360) 753–9550; email: 0147 by any of the following methods: a 2-year period if it finds ‘‘such [email protected]. • Federal eRulemaking Portal: Go to exemption would likely achieve a level (Catalog of Federal Domestic Assistance http://www.regulations.gov. Follow the of safety that is equivalent to or greater Program Number 20.205, Highway Planning on-line instructions for submitting than the level that would be achieved comments. absent such exemption.’’ The statute and Construction. The regulations • implementing Executive Order 12372 Mail: Docket Management Facility, allows the Agency to renew exemptions regarding intergovernmental consultation on U.S. Department of Transportation, at the end of the 2-year period. Federal programs and activities apply to this Room W12–140, 1200 New Jersey On July 8, 2014, FMCSA granted program.) Avenue SE., Washington, DC 20590– Virginia a 2-year exemption that enables 0001. interstate CMV drivers licensed in Daniel Mathis, • Hand Delivery: Ground Floor, Room Virginia who are subject to the Federal Division Administrator, Washington Division, W12–140, DOT Building, 1200 New SPE requirements under 49 CFR 391.49 Federal Highway Administration. Jersey Avenue SE., Washington, DC, to fulfill the Federal requirements with [FR Doc. 2016–16204 Filed 7–7–16; 8:45 am] between 9 a.m. and 5 p.m. E.D.T., a State-issued SPE (79 FR 38659). The BILLING CODE 4910–22–P Monday through Friday, except Federal requirements of the exemption were holidays. outlined in this notice and will • Fax: 1–202–493–2251. therefore not be repeated. Virginia has Instructions: Each submission must established its own SPE program that is include the Agency name and docket essentially identical to the current number for this notice. Please note that FMCSA SPE program to include an all comments received will be posted application process modeled on the without change to http:// FMCSA process. In addition, State www.regulations.gov, including any personnel who have completed SPE personal information provided. Please training identical to that of FMCSA see the ‘‘Privacy Act’’ heading for personnel currently administer the SPE further information. program and conduct the skill
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evaluation according to the same the State and any drivers who receive a VI. Conclusion procedures and testing criteria used by State-issued SPE certificate: The Agency does not intend its • FMCSA. If the driver passes the skill Virginia must establish and decision to pressure other States to take evaluation, the State issues the SPE maintain its own SPE program that is action to implement State-run SPE certificate. Virginia maintains records of essentially identical to the current programs. Virginia is the first State to applications, testing, and certificates FMCSA program. submit an application on behalf of its issued, which are available, as required, • The State must maintain an drivers to provide an alternative to the for periodic review by FMCSA. On application process modeled on the Federal SPE process. Other States are behalf of CMV drivers licensed in the FMCSA process and submit information welcome to make similar applications if Commonwealth of Virginia, the State concerning the application process to they believe it is appropriate to do so requested renewal of the exemption FMCSA’s Medical Programs Division for and they have the resources to meet from 49 CFR 391.49 concerning review, as required. terms and conditions comparable to FMCSA’s SPE certificate process for • State personnel who conduct the those provided in this exemption. drivers who have experienced an skill test must complete SPE training Issued on: June 29, 2016. impairment or loss of a limb. identical to that of FMCSA personnel T.F. Scott Darling, III, II. Basis for Renewing Exemption currently administering the Federal SPE program. Acting Administrator. The Agency’s decision regarding this • The skill evaluation and scoring for [FR Doc. 2016–16197 Filed 7–7–16; 8:45 am] exemption is based on the fact that the SPE must be done using the same BILLING CODE 4910–EX–P Virginia’s SPE program is essentially procedures and testing criteria used by identical to the current FMCSA FMCSA. program. Virginia continues to adhere to • Virginia must maintain records of DEPARTMENT OF TRANSPORTATION the application process modeled on the applications, testing, and certificates FMCSA process. State personnel who Federal Motor Carrier Safety issued for periodic review by FMCSA. Administration conduct the skill evaluation complete • Virginia must submit a monthly the same training as FMCSA personnel report to FMCSA listing the names and [Docket No. FMCSA–2015–0180] conducting the test and follow the same license number of each driver tested by procedures and testing criteria used by the State and the result of the test (pass Agency Information Collection FMCSA. FMCSA has conducted ongoing or fail). Activities; New Information Collection Request: 391.41 CMV Driver monitoring and onsite SPE program • Each driver who receives a State- Medication Form reviews and Virginia continues to issued SPE must carry a copy of the maintain records of applications, certificate when driving for presentation AGENCY: Federal Motor Carrier Safety testing, and certificates issued for to authorized Federal, State, or local law Administration (FMCSA), DOT. periodic review by FMCSA. At the time enforcement officials. ACTION: Notice and request for Virginia DMV submitted its request for comments. exemption renewal to the Agency, it had IV. Preemption of State Laws and issued 13 new and 25 renewal SPE Regulations SUMMARY: In accordance with the certificates. Based upon FMCSA’s An exemption granted under the Paperwork Reduction Act of 1995, analyses of the applications and the authority of 49 U.S.C. 31315(b) FMCSA announces its plan to submit program as a whole, FMCSA has preempts State laws and regulations that the Information Collection Request (ICR) determined that no safety vulnerabilities conflict with or are inconsistent with described below to the Office of are associated with Virginia’s renewal the exemption. The decision to grant Management and Budget (OMB) for its request. The renewal of the exemption Virginia’s request amounts to automatic review and approval and invites public is granted. Federal ratification of the State issued comment on the approval of a new Consequently, FMCSA has concluded SPE certificate and therefore prohibits Information Collection (IC) titled, that renewing the exemption allows the other jurisdictions from requiring a 391.41 CMV Driver Medication Form. Virginia SPE program to achieve the separate FMCSA-issued SPE. The State- Comments received in response to this level of safety required by 49 U.S.C. issued certificate must be treated as if it notice are sent to the OMB Desk Officer 31315. had been issued by FMCSA. Virginia- to address. This IC is voluntary and may If a Virginia-licensed driver would licensed drivers who receive the State- be utilized by medical examiners (MEs) prefer not to opt for the streamlined SPE issued SPE are allowed to operate CMVs responsible for issuing Medical process, the driver may still apply for an in interstate commerce anywhere in the Examiner’s Certificates (MECs) to FMCSA-issued SPE. However, FMCSA United States. commercial motor vehicle (CMV) may still exercise its discretion and call drivers. MEs that choose to use this IC upon Virginia DMV to provide V. Request for Comments will do so in an effort to communicate assistance in conducting the road Interested parties possessing with treating healthcare professionals evaluation needed to complete an SPE information that would otherwise show who are responsible for prescribing application, depending on the volume that granting this exemption is not certain medications, so that the ME fully of applications. achieving the statutory level of safety understands the reasons the should immediately notify FMCSA. The medications have been prescribed. The III. Terms and Conditions Agency will evaluate any adverse information obtained by the ME when The FMCSA grants the renewal of the evidence summited, and if safety is utilizing this IC will assist the ME in exemption to allow the Virginia DMV to being compromised or if continuation of determining if the driver is medically conduct SPE’s on drivers who have exemption would not be consistent with certified according to the physical experienced an impairment or loss of a the goals and objectives of 49 U.S.C. qualifications standards outlined in 49 limb and are licensed in the 31136(e) and 31315, FMCSA will take CFR 391.41 and to ensure that there are Commonwealth of Virginia. The immediate steps to revoked the Virginia no disqualifying medical conditions or following terms and conditions apply to DMV exemption. underlying medical conditions and
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prescribed medications that could Information used to determine and regulation, and on U.S. Department of adversely affect their safe driving ability certify driver medical fitness must be Transportation drug and alcohol testing or cause incapacitation constituting a collected in order for our highways to be protocols. Subsequently, the committees risk to the public. safe. FMCSA is the Federal government engaged in a discussion on the issue as DATES: Please send your comments to agency authorized to require the it applies to CMV drivers. On September this notice by August 8, 2016. OMB collection of this information and the 11, 2013, the MRB discussed the issue must receive your comments by this authorizing regulations are located at 49 in greater detail as its task to present a date to act quickly on the ICR. CFR parts 390–399. FMCSA is required report to the Agency relating to CMV ADDRESSES: All comments should by statute to establish standards for the drivers and Schedule II medication use reference Federal Docket Management physical qualifications of drivers who and to develop a form for MEs on the System (FDMS) Docket Number operate CMVs in interstate commerce National Registry of Certified Medical FMCSA–2015–0180. Interested persons for non-excepted industries [49 U.S.C. Examiners (National Registry) to send to are invited to submit written comments 31136(a)(3) and 31502(b)]. The treating clinicians of CMV drivers to on the proposed IC to the Office of regulations discussing this collection expound on the use of these Information and Regulatory Affairs, are outlined in the Federal Motor medications by driver applicants. On Office of Management and Budget. Carrier Safety Regulations (FMCSRs) at October 22, 2013, the MRB submitted 49 CFR part 390–399. FMCSRs at 49 Comments should be addressed to the their recommendations to FMCSA. A CFR 391.41 set forth the physical attention of the Desk Officer, MEP convened to provide an updated qualification standards that interstate Department of Transportation/Federal opinion on Schedule II Opioids and CMV drivers who are subject to part 391 Motor Carrier Safety Administration, Stimulants & CMV Crash Risk and must meet, with the exception of and sent via electronic mail to oira_ Driver Performance. The FMCSA commercial driver’s license/commercial [email protected], faxed to (202) revised the task of the MRB instructing learner’s permit (CDL/CLP) drivers 395–6974, or mailed to the Office of them to review an updated evidence transporting migrant workers (who must Information and Regulatory Affairs, report and the MEP opinion that was meet the physical qualification Office of Management and Budget, furnished subsequent to its standards set forth in 49 CFR 398.3). deliberations on Schedule II Opioids Docket Library, Room 10102, 725 17th The FMCSRs covering driver physical Street NW., Washington, DC 20503. and Stimulants & CMV Crash Risk and qualification records are found at 49 Driver Performance: Evidence Report FOR FURTHER INFORMATION CONTACT: CFR 391.43, which specify that a and Systematic Review. FMCSA Christine A. Hydock, Chief, Medical medical examination be performed on directed the MRB to consider this Programs Division, (202) 366–4001, CMV drivers subject to part 391 who report’s findings and confer with the [email protected], U.S. Department operate in interstate commerce. The MCSAC on this topic during a joint of Transportation, Federal Motor Carrier results of the examination shall be meeting in October 2014. The MRB met Safety Administration, 1200 New Jersey recorded in accordance with the in public meetings on July 29–30, 2014, Avenue SE., Room W64–113, requirements set forth in that section. and developed Schedule II medication Washington, DC 20590–0001. 49 CFR 391.41(b)(12) states that a recommendations. The MRB presented SUPPLEMENTARY INFORMATION: person is physically qualified to drive a these recommendations to the MCSAC Title: 391.41 CMV Driver Medication CMV if that person does not use any in a joint public meeting on October 27, Form. drug or substance identified in 21 CFR 2014, where they were deliberated by OMB Control Number: 2126–00XX. 1308.11 Schedule I, an amphetamine, a both committees. As a result, FMCSA’s Type of Request: New collection. narcotic, or other habit-forming drug MRB and MCSAC provided joint Respondents: Prescribing healthcare and does not use any non-Schedule I recommendations related to the use of professionals. drug or substance that is identified in Schedule II medications by CMV Estimated Number of Respondents: the other Schedules in 21 CFR part 1308 drivers. Because there is moderate 1,082,200 (total number of prescribing except when the use is prescribed by a evidence to support the contention that healthcare providers in the U.S.). licensed medical practitioner, as the licit use of opioids increases the risk Estimated Time per Response: 8 defined in § 382.107, who is familiar of motor vehicle crashes and impacts minutes. with the driver’s medical history and indirect measures of driver performance Expiration Date: N/A. This is a new has advised the driver that the ICR. substance will not adversely affect the negatively, included was the Frequency of Response: Voluntary. driver’s ability to safely operate a CMV. recommendation that FMCSA develop a Estimated Total Annual Burden: In 2006, FMCSA’s Medical Review standardized medication questionnaire 144,293 hours [1,082,200 responses × 8 Board (MRB) deliberated on the topic of to assist the certified ME when minutes to complete response/60 the use of Schedule II medications. The reviewing prescription medications that minutes = 144,293]. MRB considered information provided have been disclosed during the history Background: The primary mission of in a 2006 FMCSA sponsored Evidence and physical examination for CMV FMCSA is to reduce crashes, injuries, Report and a subsequent Medical Expert driver certification. The two advisory and fatalities involving large trucks and Panel (MEP) to examine the relationship groups recommended to FMCSA that buses. The Secretary of Transportation between the licit use of Schedule II the standardized CMV driver has delegated to FMCSA its medications and the risk for a motor medication questionnaire be voluntary responsibility under 49 U.S.C. 31136 vehicle crash. In 2013, FMCSA tasked and include the following information and 31502 to prescribe regulations that the MRB with updating the opinions and questions: ensure that CMVs are operated safely. and recommendations of the 2006 1. Questionnaire should be titled As part of this mission, the Agency’s Evidence Report and MEP. 391.41 CMV Driver Medication Medical Programs Division works to On September 10, 2013, the MRB and Questionnaire. ensure that CMV drivers engaged in Motor Carrier Safety Advisory 2. Questionnaire should request the interstate commerce operations are Committee (MCSAC) met jointly to hear following information: physically qualified and able to safely presentations on the licit use of a. Identifying name and date of birth perform their work. Schedule II medications and their of the CMV driver.
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b. Introductory paragraph stating drug or substance that is identified in Discussion of Comments Received purpose of the CMV Driver Medication the other Schedules in 21 CFR part 1308 A. Overview of Comments Report. except when the use is prescribed by a c. Statements of § 391.41(b)(12) licensed medical practitioner, as In response to the Federal Register (Physical Qualifications of Drivers defined in § 382.107, who is familiar notice published on November 25, 2015, relating to driver use of scheduled with the driver’s medical history and requesting public comment concerning substances) and The Driver’s Role, as has advised the driver that the the necessity of the proposed IC, the found in the Medical Examination substance will not adversely affect the accuracy of the estimated burden, how Report form found at the end of 49 CFR driver’s ability to safely operate a CMV. the quality of collected information 391.43 (Medical Examination; could be enhanced, and ways in which Certificate of Physical Examination). The use of this IC is at the discretion the burden could be minimized without d. Name, state of licensure, signature, of the ME to facilitate communication reducing the quality of the collected address and contact information of the with treating healthcare professionals information (80 FR 73871), FMCSA prescribing healthcare provider, as well who are responsible for prescribing received 14 comments. The commenters as the date the form was completed. certain medications so that the ME fully included certified MEs, CMV drivers, e. Name, signature, date, address and understands the reasons the training organizations, the American contact information of the certified ME. medications have been prescribed. This Trucking Associations (ATA), the 3. Report should include the information will assist the ME in Owner-Operator Independent Drivers following information: determining whether the underlying Association (OOIDA), and the American a. 1—List all medications and dosages medical condition and the prescribed College of Occupational and that you have prescribed to the above medication will impact the driver’s safe Environmental Medicine (ACOEM). named individual. operation of a CMV. Therefore, there is The first area of comments involved b. 2—List any other medications and no required collection frequency. the effectiveness of the 391.41 CMV dosages that you are aware have been Driver Medication Form. The second The 391.41 CMV Driver Medication prescribed to the above named area of comments discussed the burden Form will be available as a fillable PDF individual by another treating hours and costs. The final area of or may be downloaded from the FMCSA healthcare provider. comments were issues that were c. 3—What medical conditions are Web site. Prescribing healthcare considered outside the scope of this ICR being treated with these medications? providers will be able to fax or scan and and the optional use of the 391.41 CMV d. 4—It is my medical opinion that, email the report to the certified ME. Driver Medication Form. These considering the mental and physical Consistent with the OMB’s commitment comments will be briefly summarized requirements of operating a CMV and to minimizing respondents’ with an explanation as to why the issues with awareness of a CMV driver’s role recordkeeping and paperwork burdens raised are not within the scope of this (consistent with The Driver’s Role and the increased use of secure notice. statement on page 2 of the form), I electronic modes of communication, the Five commenters expressed support believe my patient: (a) Has no Agency anticipates that approximately for the ICR and two commenters medication side effects from 50 percent of the 391.41 CMV Driver explicitly opposed the ICR. The medication(s) that I prescribe that Medication Forms will be transmitted remaining seven neither supported nor would adversely affect the ability to electronically. opposed the ICR, but raised concerns or operate a CMV safely; and (2) has no The information collected from the provided suggestions for changes to the medical condition(s) that I am treating 391.41 CMV Driver Medication Form, optional form. with the above medication(s) that would will be used by the certified ME that The following sections provide details adversely affect the ability to operate a requested the completion of the form regarding specific issues raised by the CMV safely. and will become part of the CMV commenters. The public interest in, and right to driver’s medical record maintained by have, safe highways requires the B. Effectiveness of the 391.41 CMV the certified ME. Therefore, the assurance that drivers of CMVs can Driver Medication Form information will not be available to the safely perform the increased physical ACOEM acknowledged that the public. The FMCSRs covering driver and mental demands of their duties. current process used by MEs is clearly physical qualification records are found FMCSA’s medical standards provide inadequate but also feels that the form at 49 CFR 391.43, which specify that a this assurance by requiring drivers to be falls far short of being able to adequately examined and medically certified as medical examination be performed on assess whether a driver will be impaired physically and mentally qualified to CMV drivers subject to part 391 who by medications or an underlying drive. operate in interstate commerce. The medical condition. They also stated that The purpose for collecting this results of the examination shall be many healthcare providers do not fully information is to assist the ME in recorded in accordance with the understand the safety risks and determining if the driver is medically requirements set forth in that section. responsibilities of the CMV driver and qualified under 49 CFR 391.41 and to MEs are required to maintain records of would rely on the patient’s statement ensure that there are no disqualifying the CMV driver medical examinations that the medication does not impair the medical conditions that could adversely they conduct. Disclaimer language is driver’s ability to safely operate a CMV. affect their safe driving ability or cause displayed at the end of the medical form Therefore, they believe that the incapacitation constituting a risk to the to declare sensitive information on the prescribing healthcare provider public. 49 CFR 391.41(b)(12) states that form must be handled and maintained statements would not be reliable. a person is physically qualified to drive securely to prevent inadvertent ACOEM also believes that the form does a CMV if that person does not use any disclosure. The language also states the not go far enough to address the use of drug or substance identified in 21 CFR form is for official use only, by opioids by drivers and the rapid 1308.11 Schedule I, an amphetamine, a authorized persons, and the form should increase in adverse effects of opioid use narcotic, or other habit-forming drug be properly disposed of when no longer and suggests that FMCSA strive for a and does not use any non-Schedule I required. form that becomes the standard of
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practice that requires the treating adversely affect the driver’s safe driving determining whether a driver is provider and the ME to be aware of ability or cause incapacitation medically qualified, in certain cases, it medications and conditions, including constituting a risk to the public. The will not always be necessary. They opioid use. decision to certify a driver is a believe that in most situations, the ME Others commented that some discretionary decision that rests with should be able to verify the accuracy of physicians have no problem stating that the certifying ME. MEs may disqualify the information provided by the driver their patient is safe to drive a CMV a driver who takes any medications or and the need for the medication based while taking these medications leaving combination of medications and upon their training and experience in the ME that disagrees and is not willing substances that may impair or interfere performing medical examinations and a to issue the driver a MEC with a driver with safe driving practices. robust conversation with the driver. that is angry based on the differing C. Burden Hours and Costs They suggested that to avoid any opinions. OOIDA stated that the form unnecessary and costly delays to drivers would be a direct challenge to the Several commenters expressed and carriers alike, FMCSA should treating physician according to concern that prescribing healthcare emphasize to MEs that the form is § 391.41(b)(12)(ii) that states ‘‘A person providers would not respond in a timely strictly voluntary and not a de facto is physically qualified to drive a manner or at all, and that delays would standard when performing medical commercial motor vehicle if that person be costly to drivers and motor carriers. examinations. They also suggested that does not use any non-Schedule I drug or ATA stated that FMCSA should the form be consistent with the newly substance that is identified in the other consider the impact of potential delays revised MER Form, MCSA–5875 by Schedules in 21 CFR part 1308 except to driver recertification, because the limiting its inquiry into medications when the use is prescribed by a licensed form does not advise prescribing that the driver is currently prescribed medical practitioner, as defined in healthcare providers to complete and and that the prescribing healthcare § 392.107, who is familiar with the return the form to the requesting ME provider should only report those driver’s medical history and has advised within a specific timeframe, nor does it medications that they can confirm have the driver that the substance will not require MEs to certify a driver who is been prescribed. They stated that asking adversely affect the driver’s ability to medically qualified even in the absence for all prescribed medications imposes a safely operate a commercial vehicle.’’ of the completed form. They expressed burden on healthcare providers without They believe that this form challenges concern that the lack of such language any significant positive impact on safety the opinion of the driver’s treating could result in unnecessary and costly and suggested asking healthcare delays that would penalize qualified physician and puts it in the hands of a providers to list those medications that drivers due to circumstances that are stranger with no knowledge of the a driver is currently prescribed and out of their control. ATA recommended driver’s background and who is would negatively affect their ability to that if a prescribing healthcare provider unfamiliar with the driver’s medical safely operate a CMV will dramatically is unable to return the form to a ME in history. limit the collection burden without a timely manner, FMCSA should advise diminishing the quality of the FMCSA Response MEs to continue to use their own information being collected. FMCSA is providing the 391.43 CMV judgement and certify drivers in these Driver Medication Form at the request of circumstances if they find them to be OOIDA stated that there will be an MEs to be used at their discretion, and medically qualified. increase in the number of as a resource for assisting MEs in Others commented that MEs will find inconsistencies in the medical making medical certification the proposed form to be too restrictive certification process as MEs with no determinations of interstate CMV and excessive explaining that although personal relationship with the driver drivers. Use of the form is voluntary and a full list of medications seems to be a attempt to evaluate a great deal of long- MEs may do so in an effort to good idea, it could significantly increase term medication usage. They stated that communicate with treating healthcare the effort required by the prescribing the proposed use of the 391.41 CMV providers who are responsible for healthcare providers which is Driver Medication Form invites second prescribing certain medications, so that counterproductive to obtaining their guessing of a primary physician by MEs the ME fully understands the reasons assistance. Suggestions were made to who are empowered by an unreliable the medications have been prescribed. ask the prescribing healthcare provider medical form and that it invites the ME Information about the driver’s role was a single question such as is the driver to question every medication and specifically added to the form to assist taking any other medications that may dosage which has been previously those healthcare providers that do not be a risk to safe driving, to list only prescribed. They feel that this IC will fully understand the safety risks and those medications that would negatively only increase problems drivers have responsibilities of the CMV driver and affect the ability of the driver to safely already experienced with MDs, which in an effort to obtain reliable data. The operate a CMV, or to only ask about have resulted in higher costs and form was specifically designed to medications that are of concern that the lengthier delays for drivers. Ultimately, address any medications that a driver is patient reported. Dr. Michael Megehee they stated that the IC will lead to taking that may impair his/her ability to recommended including a statement higher costs and longer wait times for safety operate a CMV and was not that FMCSA guidelines require the ME drivers as they complete the intended to address only opioids. to ask the prescribing healthcare examination with a ME and that it is The information obtained by the ME provider for assistance in determining already a common occurrence for the when utilizing the optional 391.41 CMV whether the driver is safe to operate a ME to conduct excessive testing beyond Driver Medication Form will assist the CMV and they meet the FMCSRs and what is required under the current ME in determining if the driver is that although the ME considers the medical examination form. OOIDA medically qualified under 49 CFR opinions of treating physicians, the ME points out that the IC is not limited to 391.41 and to ensure that there are no is responsible for making the final Schedule II drugs and could include disqualifying medical conditions or medical qualification determination. items with no perceptible link to the underlying medical conditions and ATA stated that while this IC may be safe operation of a CMV and believes prescribed medications that could a useful tool to many MEs in that requesting an unlimited amount of
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information is not helpful to discretion of the ME as a resource for 1. Schedule II Medication Use determining a driver’s fitness to operate the ME to communicate with OOIDA disputed the fact that there is a CMV and that there is no need to prescribing healthcare providers, moderate evidence of increased risk due require a listing of any prescribed drugs enabling the ME to make a more to Schedule II drug use and stated that beyond those regulated by § 382.213: informed medical certification the paucity of data shows that few CMV Controlled substance use. determination. When used, this form drivers have had problems with licit FMCSA Response will supplement the MER Form, MCSA– Schedule II drug use, or even 5875 by asking for all medications that FMCSA does not believe that the form prescription medications. They also the prescribing healthcare provider has will add any time to the certification stated that studies do not show that a prescribed and any other medications decision nor is it necessary to advise the significant number of CMV operators are ME to make a certification decision at that they are aware have been crashing due to prescription medication any specified time after sending the prescribed by another treating use and that because insufficient data 391.41 CMV Driver Medication Form to healthcare provider, and was designed exists regarding the use of Schedule II the prescribing healthcare provider. In to address any prescription medications drugs by CMV drivers should be an addition, the Medical Examiner’s that a driver is taking that may impair indication to the MRB and FMCSA that Certification Integration final rule his/her ability to safety operate a CMV. there are very few CMV drivers who provides a determination pending The Agency does not feel that asking for have had problems with licit Schedule category that allows the driver to all medications prescribed on this II drug usage. continue to operate a CMV as long as optional form imposes a burden on Dr. Kurt T. Hegmann stated that this the driver has an unexpired MEC, for a healthcare providers without any form should not be adopted for opioids/ maximum of 45 days, if the ME needs significant positive impact on safety and Schedule II medications, because this additional information to make a that limiting the collection to only form is not evidence-based, not certification decision making additional medications that a driver is currently validated, there is no objective test to delays unlikely. prescribed that the prescribing figure out who is unsafe and will crash if using opioids/Schedule II As previously stated, the form was healthcare provider feels would medications, and the form will cause a specifically designed to address any negatively affect their ability to safely false sense of security that both prescription medications that a driver is operate a CMV would diminish the taking that may impair his/her ability to endorses narcotics-using truck drivers quality of the information being and a method to sign the form to safely operate a CMV. Therefore, the collected. Agency does not believe that the form approve them to drive under the is too restrictive or excessive nor will it Interstate CMV drivers are required to influence, and is likely to inadvertently significantly increase the effort required use a certified ME listed on the National further increase fatalities. He also stated by the prescribing healthcare providers. Registry for their medical examination that the form appears to evade the FDA- Instead, the Agency believes that the and certification. Therefore, in many supported advice on opioid prescription form will be a useful resource for MEs cases the driver is going to a ME that labels that uniformly warn against in making a medical certification they do not have a personal relationship vehicle operation and suggested we decision of drivers that are taking with. The use of the optional 391.41 adopt the 2006 MEP recommendation to prescribed medications. CMV Driver Medication Form does not eliminate the potential exception that a Because the prescribing healthcare change this fact nor does it have a prescriber who thought someone could provider is not trained regarding the negative impact. The 391.41 CMV Driver drive, would be allowed to drive on FMCSRs and may not be a certified ME, Medication Form is a tool to collect opioids. Dr. Hegamann believes that this FMCSA does not believe that asking the information that the MEs already collect form will not help the Agency meet its prescribing healthcare provider a single at their discretion when performing primary mission. Instead he states that question such as is the driver taking any driver examinations. This optional form individuals using opioids should not other medications that may be a risk to will serve as a resource for the ME to drive trucks and instead should be safe driving, to list only those use in communicating with prescribing tapered and/or de-toxed and then medications that would negatively affect healthcare providers, enabling the ME to resume driving off those medications. the ability of the driver to safely operate make a more informed medical On the other hand, ACOEM, stated a CMV, or to only ask about medications certification determination. The that the form does not go far enough to that are of concern that the patient decision to certify a driver is a address the use of opioids by drivers reported would provide reliable discretionary decision that continues to and the rapid increase in adverse effects of opioid use. They pointed out that the information to assist the ME in making rest with the certifying ME. As original proposed version of this form a medical certification decision. FMCSA previously stated, MEs may disqualify a goes back to the 2006 Schedule II is not requiring MEs to use the 391.41 driver who takes any medications or Medication Panel and had significantly CMV Driver Medication Form, use of the combination of medications and more content, which would have given form is completely voluntary. Therefore, substances that may impair or interfere it would not be appropriate to add a the treating provider and the ME a with safe driving practices. statement that FMCSA is requiring MEs clearer understanding of the impairment to ask the prescribing healthcare D. Issues Outside the Scope of This risks of the medications. They suggested provider for assistance in determining Notice any form incorporate some of the whether the driver is safe to operate a recommendations from the MRB and CMV and that they meet the FMCSRs. A number of respondents submitted MCSAC joint Task 14–3: Schedule II The fact that the ME is responsible for comments on topics that were outside Controlled Substances and CMV Drivers making the final medical certification the scope of what was proposed in this including the recommendation that a determination is stated on the form. notice. This notice specifically driver should not be medically qualified FMCSA continues to emphasize that requested comments related to the to operate a CMV while he/she is under the 391.41 CMV Driver Medication Form proposed IC and optional form to be treatment with narcotics or any narcotic is optional and may be used at the used as an IC tool. derivative without exception. They go
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on to explain that because the current FMCSA Response FOR FURTHER INFORMATION CONTACT: exception remains in the FMCSRs (40 FMCSA responded to the question of Christine A. Hydock, Chief, Medical CFR 391.41(b)(12)(ii)), they recommend who is qualified to be a ME in the Programs Division, (202) 366–4001, guidelines be provided to MEs regarding National Registry of Certified Medical [email protected], FMCSA, the use of narcotics. Examiners final rule (77 FR 24106, April Department of Transportation, 1200 New Jersey Avenue SE., Room W64– FMCSA Response 20, 2012), and is not considering a change to the regulation in 49 CFR 113, Washington, DC 20590–0001. Although optional use of the 391.41 390.103, Eligibility requirements for Office hours are 8:30 a.m. to 5 p.m., e.t., Monday through Friday, except Federal CMV Driver Medication Form was medical examiner certification in this holidays. If you have questions introduced as a result of the MRB and notice. Therefore, these comments are regarding viewing or submitting MCSAC recommendations related to the outside the scope of this notice. material to the docket, contact Docket use of Schedule II medications by CMV Public Comments Invited: FMCSA Services, telephone (202) 366–9826. drivers, the recommendation was for requests that you comment on any SUPPLEMENTARY INFORMATION: FMCSA to develop a standardized form aspect of this information collection, to assist the certified ME when including: (1) Whether the proposed I. Electronic Access collection is necessary for FMCSA to reviewing prescription medications that You may see all the comments online have been disclosed during the history perform its functions, (2) the accuracy of the estimated burden, (3) ways for the through the Federal Document and physical examination for CMV Management System (FDMS) at http:// driver certification. Therefore, the form FMCSA to enhance the quality, usefulness, and clarity of the collected www.regulations.gov. was not designed to specifically address Docket: For access to the docket to information, and (4) ways that the Schedule II medications. The form was read background documents or burden could be minimized without designed to address any prescription comments, go to http:// reducing the quality of the collected medications that a driver is taking that www.regulations.gov and/or Room information. Comments received in may impair his/her ability to safety W12–140 on the ground level of the response to this notice are sent to the operate a CMV. FMCSA is not West Building, 1200 New Jersey Avenue OMB Desk Officer to address. considering a change in the regulations SE., Washington, DC, between 9 a.m. or guidance that would prohibit or Issued under the authority delegated in 49 and 5 p.m., Monday through Friday, advise the ME regarding Schedule II CFR 1.87 on: June 30, 2016. except Federal holidays. medications at this time. Therefore, G. Kelly Regal, Privacy Act: In accordance with 5 these comments are outside of the scope Associate Administrator, Office of Research U.S.C. 553(c), DOT solicits comments of this notice. and Information Technology. from the public to better inform its [FR Doc. 2016–16199 Filed 7–7–16; 8:45 am] rulemaking process. DOT posts these 2. Qualifications of the ME BILLING CODE 4910–EX–P comments, without edit, including any personal information the commenter Several commenters stated that a ME provides, to www.regulations.gov, as might not be qualified to make a DEPARTMENT OF TRANSPORTATION described in the system of records medical qualification decision if the notice (DOT/ALL–14 FDMS), which can driver uses Schedule II medications, Federal Motor Carrier Safety be reviewed at www.dot.gov/privacy. because of a lack of training in Administration pharmacology. II. Background [Docket No. FMCSA–2015–0345] OOIDA stated that the personal On December 21, 2015, FMCSA physician is best equipped to review a Qualification of Drivers; Exemption published a notice of receipt of driver’s medical history and suggested Applications; Vision exemption applications from certain that a personal physician be the one to individuals, and requested comments AGENCY: review the driver’s medical history and Federal Motor Carrier Safety from the public (80 FR 79414). That make the decision whether a medication Administration (FMCSA), DOT. notice listed 19 applicants’ case will adversely affect the driver’s ability ACTION: Notice of final disposition. histories. The 19 individuals applied for exemptions from the vision requirement to safely operate a CMV. SUMMARY: FMCSA announces its in 49 CFR 391.41(b)(10), for drivers who Dr. Hegmann advocated for decision to exempt 19 individuals from operate CMVs in interstate commerce. implementation of the MRB’s the vision requirement in the Federal Under 49 U.S.C. 31136(e) and 31315, recommendation that ME eligibility be Motor Carrier Safety Regulations FMCSA may grant an exemption for a 2- limited to those medically trained (i.e., (FMCSRs). They are unable to meet the year period if it finds ‘‘such exemption MD, DO, PA and NPs). He stated that vision requirement in one eye for would likely achieve a level of safety the concept that these medically various reasons. The exemptions will that is equivalent to or greater than the untrained examiners can make an enable these individuals to operate level that would be achieved absent informed judgment about driver commercial motor vehicles (CMVs) in such exemption.’’ The statute also impairment from narcotics, assess how interstate commerce without meeting allows the Agency to renew exemptions opioids may interact with other the prescribed vision requirement in at the end of the 2-year period. medications, provide guidance to truck one eye. The Agency has concluded that Accordingly, FMCSA has evaluated the drivers, and judge fitness to drive is granting these exemptions will provide 19 applications on their merits and factually false. Dr. Hegmann feels that a level of safety that is equivalent to or made a determination to grant FMCSA does not rely on greater than the level of safety exemptions to each of them. recommendations of the MRB and will maintained without the exemptions for selectively use whichever source of these CMV drivers. III. Vision and Driving Experience of guidance is least restrictive which is DATES: The exemptions were granted the Applicants directly contrary to the central, stated January 21, 2016. The exemptions The vision requirement in the purpose of the Agency. expire on January 21, 2018. FMCSRs provides:
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A person is physically qualified to past three years, no drivers were deficiency and will continue to operate drive a commercial motor vehicle if that involved in crashes, and 2 drivers were safely. person has distant visual acuity of at convicted of moving violations in a The first major research correlating least 20/40 (Snellen) in each eye CMV. past and future performance was done without corrective lenses or visual The qualifications, experience, and in England by Greenwood and Yule in acuity separately corrected to 20/40 medical condition of each applicant 1920. Subsequent studies, building on (Snellen) or better with corrective were stated and discussed in detail in that model, concluded that crash rates lenses, distant binocular acuity of a least the December 21, 2015 notice (80 FR for the same individual exposed to 20/40 (Snellen) in both eyes with or 79414). certain risks for two different time without corrective lenses, field of vision periods vary only slightly (See Bates of at least 70° in the horizontal meridian IV. Basis for Exemption Determination and Neyman, University of California in each eye, and the ability to recognize Under 49 U.S.C. 31136(e) and 31315, Publications in Statistics, April 1952). the colors of traffic signals and devices FMCSA may grant an exemption from Other studies demonstrated theories of showing red, green, and amber (49 CFR the vision requirement in 49 CFR predicting crash proneness from crash 391.41(b)(10)). 391.41(b)(10) if the exemption is likely history coupled with other factors. FMCSA recognizes that some drivers to achieve an equivalent or greater level These factors—such as age, sex, do not meet the vision requirement but of safety than would be achieved geographic location, mileage driven and have adapted their driving to without the exemption. Without the conviction history—are used every day accommodate their vision limitation exemption, applicants will continue to by insurance companies and motor and demonstrated their ability to drive be restricted to intrastate driving. With vehicle bureaus to predict the safely. The 19 exemption applicants the exemption, applicants can drive in probability of an individual listed in this notice are in this category. interstate commerce. Thus, our analysis experiencing future crashes (See Weber, They are unable to meet the vision focuses on whether an equal or greater Donald C., ‘‘Accident Rate Potential: An requirement in one eye for various level of safety is likely to be achieved by Application of Multiple Regression reasons, including amblyopia, central permitting each of these drivers to drive Analysis of a Poisson Process,’’ Journal serous chorioretinopathy, central vision in interstate commerce as opposed to of American Statistical Association, loss, complete loss of vision, optic restricting him or her to driving in June 1971). A 1964 California Driver atrophy, optic neuropathy, partial optic intrastate commerce. Record Study prepared by the California atrophy, phthisis, prosthetic eye, To evaluate the effect of these Department of Motor Vehicles pseudophakia, refractive amblyopia, exemptions on safety, FMCSA concluded that the best overall crash predictor for both concurrent and and retinal detachment. In most cases, considered the medical reports about their eye conditions were not recently nonconcurrent events is the number of the applicants’ vision as well as their developed. Ten of the applicants were single convictions. This study used 3 driving records and experience with the either born with their vision consecutive years of data, comparing the vision deficiency. impairments or have had them since experiences of drivers in the first 2 years childhood. The 9 individuals that To qualify for an exemption from the with their experiences in the final year. sustained their vision conditions as vision requirement, FMCSA requires a Applying principles from these adults have had it for a range of 5 to 42 person to present verifiable evidence studies to the past 3-year record of the years. that he/she has driven a commercial 19 applicants, no drivers were involved Although each applicant has one eye vehicle safely with the vision deficiency in crashes, and 2 drivers were convicted which does not meet the vision for the past 3 years. Recent driving of moving violations in a CMV. All the requirement in 49 CFR 391.41(b)(10), performance is especially important in applicants achieved a record of safety each has at least 20/40 corrected vision evaluating future safety, according to while driving with their vision in the other eye, and in a doctor’s several research studies designed to impairment, demonstrating the opinion, has sufficient vision to perform correlate past and future driving likelihood that they have adapted their all the tasks necessary to operate a CMV. performance. Results of these studies driving skills to accommodate their Doctors’ opinions are supported by the support the principle that the best condition. As the applicants’ ample applicants’ possession of valid predictor of future performance by a driving histories with their vision commercial driver’s licenses (CDLs) or driver is his/her past record of crashes deficiencies are good predictors of non-CDLs to operate CMVs. Before and traffic violations. Copies of the future performance, FMCSA concludes issuing CDLs, States subject drivers to studies may be found at Docket Number their ability to drive safely can be knowledge and skills tests designed to FMCSA–1998–3637. projected into the future. evaluate their qualifications to operate a FMCSA believes it can properly apply We believe that the applicants’ CMV. the principle to monocular drivers, intrastate driving experience and history All of these applicants satisfied the because data from the Federal Highway provide an adequate basis for predicting testing requirements for their State of Administration’s (FHWA) former waiver their ability to drive safely in interstate residence. By meeting State licensing study program clearly demonstrate the commerce. Intrastate driving, like requirements, the applicants driving performance of experienced interstate operations, involves demonstrated their ability to operate a monocular drivers in the program is substantial driving on highways on the CMV, with their limited vision, to the better than that of all CMV drivers interstate system and on other roads satisfaction of the State. collectively (See 61 FR 13338, 13345, built to interstate standards. Moreover, While possessing a valid CDL or non- March 26, 1996). The fact that driving in congested urban areas CDL, these 19 drivers have been experienced monocular drivers exposes the driver to more pedestrian authorized to drive a CMV in intrastate demonstrated safe driving records in the and vehicular traffic than exists on commerce, even though their vision waiver program supports a conclusion interstate highways. Faster reaction to disqualified them from driving in that other monocular drivers, meeting traffic and traffic signals is generally interstate commerce. They have driven the same qualifying conditions as those required because distances between CMVs with their limited vision in required by the waiver program, are also them are more compact. These careers ranging for 3 to 38 years. In the likely to have adapted to their vision conditions tax visual capacity and
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driver response just as intensely as Raed A. Abdelrahim (NH), Control Point (CP) BATH, at Milepost interstate driving conditions. The Dominic A. Berube (MA), (MP) SP 172.29, on the NS Frankfort veteran drivers in this proceeding have Gary L. Best (MI), District, at Muncie, IN. Switch 1723 will operated CMVs safely under those Therron K. Billings (VA), be converted to a hand-operated switch. conditions for at least 3 years, most for Lucien A. Fregeau (CT), The existing 120RC signal at BATH will much longer. Their experience and Michael A. Gibbons (PA), be moved southeast so that the new driving records lead us to believe that Fred M. Hill, Jr. (LA), hand-operated switch will be outside each applicant is capable of operating in Freddie H. Johnson (ID), the CP limits. The switch is to be interstate commerce as safely as he/she Timothy C. Kohn (MO), converted to a hand-operated switch to has been performing in intrastate John D. Morgan (PA), improve operations at this location. commerce. Consequently, FMCSA finds Brian M. Olivas (TX), A copy of the petition, as well as any that exempting these applicants from Douglas Pitts (OH), written communications concerning the the vision requirement in 49 CFR Jesus R. Ponce (NY), petition, is available for review online at 391.41(b)(10) is likely to achieve a level Eddie R. Schaef (TX), www.regulations.gov and in person at of safety equal to that existing without Brian J. Stoltie (SC), the U.S. Department of Transportation’s the exemption. For this reason, the Terry A. Strong (CA), (DOT) Docket Operations Facility, 1200 Agency is granting the exemptions for Michael A. Terry (IN), New Jersey Avenue SE., W12–140, the 2-year period allowed by 49 U.S.C. Russell A. Wilkinson (FL), Washington, DC 20590. The Docket 31136(e) and 31315 to the 19 applicants Timothy W. Youngblood, Jr. (TX) Operations Facility is open from 9 a.m. listed in the notice of December 21, In accordance with 49 U.S.C. 31136(e) to 5 p.m., Monday through Friday, 2015 (80 FR 79414). and 31315, each exemption will be valid except Federal Holidays. We recognize that the vision of an for 2 years unless revoked earlier by Interested parties are invited to applicant may change and affect his/her FMCSA. The exemption will be revoked participate in these proceedings by ability to operate a CMV as safely as in if: (1) The person fails to comply with submitting written views, data, or the past. As a condition of the the terms and conditions of the comments. FRA does not anticipate exemption, therefore, FMCSA will exemption; (2) the exemption has scheduling a public hearing in impose requirements on the 19 resulted in a lower level of safety than connection with these proceedings since individuals consistent with the was maintained before it was granted; or the facts do not appear to warrant a grandfathering provisions applied to (3) continuation of the exemption would hearing. If any interested party desires drivers who participated in the not be consistent with the goals and an opportunity for oral comment, they Agency’s vision waiver program. objectives of 49 U.S.C. 31136 and 31315. should notify FRA, in writing, before Those requirements are found at 49 If the exemption is still effective at the the end of the comment period and CFR 391.64(b) and include the end of the 2-year period, the person may specify the basis for their request. following: (1) That each individual be apply to FMCSA for a renewal under All communications concerning these physically examined every year (a) by procedures in effect at that time. proceedings should identify the an ophthalmologist or optometrist who appropriate docket number and may be attests that the vision in the better eye Issued on: June 28, 2016. submitted by any of the following continues to meet the requirement in 49 Larry W. Minor, methods: CFR 391.41(b)(10) and (b) by a medical Associate Administrator for Policy. • Web site: http:// examiner who attests that the individual [FR Doc. 2016–16198 Filed 7–7–16; 8:45 am] www.regulations.gov. Follow the online is otherwise physically qualified under BILLING CODE 4910–EX–P instructions for submitting comments. 49 CFR 391.41; (2) that each individual • Fax: 202–493–2251. provide a copy of the ophthalmologist’s • Mail: Docket Operations Facility, or optometrist’s report to the medical DEPARTMENT OF TRANSPORTATION U.S. Department of Transportation, 1200 examiner at the time of the annual New Jersey Avenue SE., W12–140, medical examination; and (3) that each Federal Railroad Administration Washington, DC 20590. • individual provide a copy of the annual [Docket Number FRA–2016–0059] Hand Delivery: 1200 New Jersey medical certification to the employer for Avenue SE., Room W12–140, retention in the driver’s qualification Notice of Application for Approval of Washington, DC 20590, between 9 a.m. file, or keep a copy in his/her driver’s Discontinuance or Modification of a and 5 p.m., Monday through Friday, qualification file if he/she is self- Railroad Signal System except Federal Holidays. employed. The driver must have a copy Communications received by August of the certification when driving, for In accordance with part 235 of Title 22, 2016 will be considered by FRA presentation to a duly authorized 49 Code of Federal Regulations (CFR) before final action is taken. Comments Federal, State, or local enforcement and 49 U.S.C. 20502(a), this document received after that date will be official. provides the public notice that by a considered as far as practicable. document dated May 25, 2016, Norfolk Anyone is able to search the V. Discussion of Comments Southern Railway (NS) petitioned the electronic form of any written FMCSA received no comments in this Federal Railroad Administration (FRA) communications and comments proceeding. seeking approval for the discontinuance received into any of our dockets by the or modification of a signal system. FRA name of the individual submitting the VI. Conclusion assigned the petition Docket Number comment (or signing the document, if Based upon its evaluation of the 19 FRA–2016–0059. submitted on behalf of an association, exemption applications, FMCSA Applicant: Norfolk Southern Railway, business, labor union, etc.). In exempts the following drivers from the Mr. B. L. Sykes, Chief Engineer, C&S accordance with 5 U.S.C. 553(c), DOT vision requirement in 49 CFR Engineering, 1200 Peachtree Street NE., solicits comments from the public to 391.41(b)(10), subject to the Atlanta, GA 30309. better inform its processes. DOT posts requirements cited above (49 CFR NS seeks approval of the modification these comments, without edit, including 391.64(b)): of power-operated Switch 1723 at any personal information the
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commenter provides, to Transportation, Maritime ACTION: List of applications for special www.regulations.gov, as described in Administration, 1200 New Jersey permits. the system of records notice (DOT/ALL– Avenue SE., Room W23–453, 14 FDMS), which can be reviewed at Washington, DC 20590. Telephone 202– SUMMARY: In accordance with the www.dot.gov/privacy. See also http:// 366–9309, Email [email protected]. procedures governing the application www.regulations.gov/#!privacyNotice SUPPLEMENTARY INFORMATION: As for, and the processing of, special for the privacy notice of regulations.gov. described by the applicant the intended permits from the Department of Issued in Washington, DC. service of the vessel PINKY is: Transportation’s Hazardous Material Patrick T. Warren, INTENDED COMMERCIAL USE OF Regulations (49 CFR part 107, subpart VESSEL: Shuttle and Parasail Vessel. Deputy Associate Administrator for Safety B), notice is hereby given that the Office Compliance and Program Implementation. GEOGRAPHIC REGION: ‘‘New York’’. The complete application is given in of Hazardous Materials Safety has [FR Doc. 2016–16127 Filed 7–7–16; 8:45 am] DOT docket MARAD–2016–0069 at received the application described BILLING CODE 4910–06–P http://www.regulations.gov. Interested herein. Each mode of transportation for parties may comment on the effect this which a particular special permit is action may have on U.S. vessel builders requested is indicated by a number in DEPARTMENT OF TRANSPORTATION or businesses in the U.S. that use U.S.- the ‘‘Nature of Application’’ portion of Maritime Administration flag vessels. If MARAD determines, in the table below as follows: 1—Motor accordance with 46 U.S.C. 12121 and vehicle, 2—Rail freight, 3—Cargo vessel, [Docket No. MARAD–2016 0069] MARAD’s regulations at 46 CFR part 4—Cargo aircraft only, 5—Passenger- 388, that the issuance of the waiver will Requested Administrative Waiver of carrying aircraft. have an unduly adverse effect on a U.S.- the Coastwise Trade Laws: Vessel vessel builder or a business that uses DATES: Comments must be received on PINKY; Invitation for Public Comments U.S.-flag vessels in that business, a or before August 8, 2016. AGENCY: Maritime Administration, waiver will not be granted. Comments Address Comments To: Record Department of Transportation. should refer to the docket number of Center, Pipeline and Hazardous ACTION: Notice. this notice and the vessel name in order Materials Safety Administration U.S. for MARAD to properly consider the Department of Transportation SUMMARY: As authorized by 46 U.S.C. comments. Comments should also state Washington, DC 20590. 12121, the Secretary of Transportation, the commenter’s interest in the waiver as represented by the Maritime application, and address the waiver Comments should refer to the Administration (MARAD), is authorized criteria given in § 388.4 of MARAD’s application number and be submitted in to grant waivers of the U.S.-build regulations at 46 CFR part 388. triplicate. If confirmation of receipt of requirement of the coastwise laws under comments is desired, include a self- certain circumstances. A request for Privacy Act addressed stamped postcard showing such a waiver has been received by Anyone is able to search the the special permit number. MARAD. The vessel, and a brief electronic form of all comments FOR FURTHER INFORMATION CONTACT: description of the proposed service, is received into any of our dockets by the Ryan Paquet, Director, Office of listed below. name of the individual submitting the Hazardous Materials Approvals and DATES: Submit comments on or before comment (or signing the comment, if Permits Division, Pipeline and August 8, 2016. submitted on behalf of an association, Hazardous Materials Safety ADDRESSES: Comments should refer to business, labor union, etc.). You may Administration, U.S. Department of docket number MARAD–2016–0069. review DOT’s complete Privacy Act Transportation, East Building, PHH–30, Written comments may be submitted by Statement in the Federal Register hand or by mail to the Docket Clerk, published on April 11, 2000 (Volume 1200 New Jersey Avenue Southeast, U.S. Department of Transportation, 65, Number 70; Pages 19477–78). Washington, DC 20590–0001, (202) 366– Docket Operations, M–30, West By Order of the Maritime Administrator. 4535. Building Ground Floor, Room W12–140, Dated: June 30, 2016. SUPPLEMENTARY INFORMATION: Copies of 1200 New Jersey Avenue SE., Gabriel Chavez, the applications are available for Washington, DC 20590. You may also Secretary, Maritime Administration. inspection in the Records Center, East send comments electronically via the [FR Doc. 2016–16260 Filed 7–7–16; 8:45 am] Building, PHH–30, 1200 New Jersey Internet at http://www.regulations.gov. BILLING CODE 4910–81–P Avenue Southeast, Washington DC or at All comments will become part of this http://regulations.gov. docket and will be available for This notice of receipt of applications inspection and copying at the above DEPARTMENT OF TRANSPORTATION address between 10 a.m. and 5 p.m., for special permit is published in E.T., Monday through Friday, except Pipeline and Hazardous Materials accordance with Part 107 of the Federal federal holidays. An electronic version Safety Administration hazardous materials transportation law of this document and all documents (49 U.S.C. 5117(b); 49 CFR 1.53(b)). Hazardous Materials: Notice of entered into this docket is available on Issued in Washington, DC, on June 30, Applications for Special Permits the World Wide Web at http:// 2016. www.regulations.gov. AGENCY: Pipeline and Hazardous Ryan Paquet, FOR FURTHER INFORMATION CONTACT: Materials Safety Administration Director, Approvals and Permits. Bianca Carr, U.S. Department of (PHMSA), DOT.
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Application No. Docket No. Applicant Regulation(s) affected Nature of the special permits thereof
SPECIAL PERMITS DATA
20250–N ...... ELI LILLY AND COM- 173.196(a), 173.199(A), To authorize the transportation in commerce of PANY. 178,603, 178.609(D). certain infectious substances in specially de- signed packaging (freezers). (mode 1). 20251–N ...... SALCO PRODUCTS INC 172.203(a), 178.345–1, To authorize the manufacture, mark, sale and use 180.413. of manway assemblies constructed from sta- bilized polyethylene for installation on certain DOT specification cargo tank motor vehicles in transporting certain hazardous materials. (mode 1). 20252–N ...... LUXFER INC ...... 173.302(a), 180.205, To authorize the manufacture, marking, sale and 177.834(h). use of non-DOT specification fully wrapped car- bon fiber composite cylinder with a no-load sharing polymer liner for the transport of certain hazardous materials. (modes 1, 2, 3). 20254–N ...... P.J. HELICOPTERS, 173.315(j), 172.101(h)(i), To authorize the transportation in commerce in the INC. 172.301(c), 172.302(c). U.S. only of certain hazardous materials by 14 CFR Part 133 Rotorcraft External Load Oper- ations transporting hazardous materials at- tached to or suspended from an aircraft and 14 CFR Part 135 operations transporting haz- ardous materials on board an aircraft. (mode 4). 20257–N ...... VEOLIA ES TECHNICAL 173.21(b), 173.51(a), To authorize the one-time, one-way transportation SOLUTIONS LLC. 173.54(a), 173.56(b). of unapproved explosives by motor vehicle. (mode 1). 20258–N ...... WINCO FIREWORKS .... 173.62(c), 172.310(c) ..... To authorize the one-way transportation in com- merce of Division 1.4G consumer fireworks in non-DOT specification fiberboard non-bulk out packagings under the terms and conditions specified when transported by private, contract or common carrier. (mode 1). 20261–N ...... SAFT S.A ...... 173.185(a) ...... To authorize the transportation in commerce of prototype and low production lithium ion cells and batteries and lithium metal cells and bat- teries by cargo-only aircraft. (mode 4).
[FR Doc. 2016–16066 Filed 7–7–16; 8:45 am] of Hazardous Materials Safety has Hazardous Materials Approvals and BILLING CODE 4909–60–M received the application described Permits Division, Pipeline and herein. Each mode of transportation for Hazardous Materials Safety which a particular special permit is Administration, U.S. Department of DEPARTMENT OF TRANSPORTATION requested is indicated by a number in Transportation, East Building, PHH–30, the ‘‘Nature of Application’’ portion of 1200 New Jersey Avenue Southeast, Pipeline and Hazardous Materials the table below as follows: 1—Motor Washington, DC 20590–0001, (202) 366– Safety Administration vehicle, 2—Rail freight, 3—Cargo vessel, 4535. 4—Cargo aircraft only, 5—Passenger- SUPPLEMENTARY INFORMATION: Copies of Hazardous Materials: Notice of carrying aircraft. Applications for Special Permits the applications are available for DATES: Comments must be received on inspection in the Records Center, East AGENCY: Pipeline and Hazardous or before August 8, 2016. Building, PHH–30, 1200 New Jersey Materials Safety Administration Address Comments to: Record Center, Avenue Southeast, Washington DC or at (PHMSA), DOT. Pipeline and Hazardous Materials Safety http://regulations.gov. Administration, U.S. Department of ACTION: List of applications for This notice of receipt of applications modification of special permits. Transportation, Washington, DC 20590. Comments should refer to the for special permit is published in SUMMARY: In accordance with the application number and be submitted in accordance with part 107 of the Federal procedures governing the application triplicate. If confirmation of receipt of hazardous materials transportation law for, and the processing of, special comments is desired, include a self- (49 U.S.C. 5117(b); 49 CFR 1.53(b)). permits from the Department of addressed stamped postcard showing Issued in Washington, DC, on June 28, Transportation’s Hazardous Material the special permit number. 2016. Regulations (49 CFR part 107, subpart FOR FURTHER INFORMATION CONTACT: Ryan Paquet, B), notice is hereby given that the Office Ryan Paquet, Director, Office of Director, Approvals and Permits.
Application No. Docket No. Applicant Regulation(s) affected Nature of the special permits thereof
SPECIAL PERMITS DATA
12102–M ...... VEOLIA ES TECHNICAL 173.56(b) and 173.56(i) To modify the special permit to authorize an addi- SOLUTIONS LLC. tional Division 4.1 material to be transported using the special permit.
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Application No. Docket No. Applicant Regulation(s) affected Nature of the special permits thereof
15552–M ...... POLY-COAT SYSTEMS, 173.241, 173.242, To modify the special permit to authorize an alter- INC. 173.242, 173.243, nate test method for determining chemical com- 107.503(B), and patibility for FRP cylinders. 107.503(C). 15839–M ...... SENSORS, INC ...... 172.301(c) and To modify the special permit to authorize an addi- 177.834(h). tional cylinder carrying case.
[FR Doc. 2016–16063 Filed 7–7–16; 8:45 am] ACTION: Notice of Order to Show Cause DATES: The meeting will be held BILLING CODE 4909–60–M (Order 2016–7–2), Docket DOT–OST– Thursday, August 11, 2016. 2015–0259. FOR FURTHER INFORMATION CONTACT: Donna Powers at 1–888–912–1227 or SUMMARY: The Department of DEPARTMENT OF TRANSPORTATION (954) 423–7977. Transportation is directing all interested Office of the Secretary persons to show cause why it should SUPPLEMENTARY INFORMATION: Notice is not issue an order finding Tropic Ocean hereby given pursuant to section Application of LIMA NY Corp. for Airways, LLC, fit, willing, and able, and 10(a)(2) of the Federal Advisory Commuter Air Carrier Authority awarding it Commuter Air Carrier Committee Act, 5 U.S.C. App. (1988) Authorization. that an open meeting of the Taxpayer AGENCY: Department of Transportation. Advocacy Panel Tax Forms and ACTION: Notice of Order To Show Cause DATES: Persons wishing to file Publications Project Committee will be (Order 2016–7–1) Docket DOT–OST– objections should do so no later than held Thursday, August 11, 2016, at 1:00 2015–0014. July 15, 2016. p.m.. Eastern Time via teleconference. ADDRESSES: Objections and answers to The public is invited to make oral SUMMARY: The Department of objections should be filed in Docket comments or submit written statements Transportation is directing all interested DOT–OST–2015–0259 and addressed to for consideration. Due to limited persons to show cause why it should U.S. Department of Transportation, conference lines, notification of intent not issue an order finding LIMA NY Docket Operations, (M–30, Room W12– to participate must be made with Donna Corp. fit, willing, and able, and 140), 1200 New Jersey Avenue SE., West Powers. For more information please awarding it commuter air carrier Building Ground Floor, Washington, DC contact: Donna Powers at 1–888–912– authority to conduct scheduled 20590, and should be served upon the 1227 or (954) 423–7977 or write: TAP commuter service. parties listed in Attachment A to the Office, 1000 S. Pine Island Road, DATES: Persons wishing to file order. Plantation, FL 33324 or contact us at the objections should do so no later than FOR FURTHER INFORMATION CONTACT: Web site: http://www.improveirs.org. July 15, 2016. Damon D. Walker, Air Carrier Fitness The committee will be discussing ADDRESSES: Objections and answers to Division (X–56, Room W86–465), U.S. various issues related to Tax Forms and objections should be filed in Docket Department of Transportation, 1200 Publications and public input is DOT–OST–2015–0014 and addressed to New Jersey Avenue SE., Washington, welcomed. Docket Operations, (M–30, Room W12– DC 20590, (202) 366–7785. Dated: July 1, 2016. 140), U.S. Department of Dated: July 1, 2016. Otis Simpson, Transportation, 1200 New Jersey Jenny T. Rosenberg, Acting Director, Taxpayer Advocacy Panel. Avenue SE., Washington, DC 20590, and [FR Doc. 2016–16153 Filed 7–7–16; 8:45 am] should be served upon the parties listed Acting Assistant Secretary for Aviation and International Affairs. in Attachment A to the order. BILLING CODE 4830–01–P [FR Doc. 2016–16195 Filed 7–7–16; 8:45 am] FOR FURTHER INFORMATION CONTACT: BILLING CODE 4910–9X–P Barbara Snoden, Air Carrier Fitness DEPARTMENT OF THE TREASURY Division (X–56, Room W86–471), U.S. Department of Transportation, 1200 Internal Revenue Service DEPARTMENT OF THE TREASURY New Jersey Avenue SE., Washington, DC 20590, (202) 366–4834. Open Meeting of the Taxpayer Internal Revenue Service Advocacy Panel Taxpayer Assistance Dated: July 1, 2016. Open Meeting of the Taxpayer Center Improvements Project Jenny T. Rosenberg, Committee Acting Assistant Secretary for Aviation and Advocacy Panel Tax Forms and International Affairs. Publications Project Committee AGENCY: Internal Revenue Service (IRS), [FR Doc. 2016–16196 Filed 7–7–16; 8:45 am] AGENCY: Internal Revenue Service (IRS), Treasury. BILLING CODE 4910–9X–P Treasury. ACTION: Notice of meeting. ACTION: Notice of meeting. SUMMARY: The Taxpayer Advocacy DEPARTMENT OF TRANSPORTATION SUMMARY: An open meeting of the Panel Taxpayer Assistance Center Taxpayer Advocacy Panel Tax Forms Improvements Project Committee will Office of the Secretary, Washington, and Publications Project Committee will conduct an open meeting and will DC be conducted. The Taxpayer Advocacy solicit public comments, ideas, and Panel is soliciting public comments, suggestions on improving customer Application of Tropic Ocean Airways, service at the Internal Revenue Service. LLC for Commuter Authority ideas and suggestions on improving customer service at the Internal Revenue DATES: The meeting will be held AGENCY: Department of Transportation. Service. Wednesday, August 10, 2016.
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FOR FURTHER INFORMATION CONTACT: Otis p.m. Eastern Time via teleconference. contact us at the Web site: http:// Simpson at 1–888–912–1227 or 202– The public is invited to make oral www.improveirs.org. 317–3332. comments or submit written statements The committee will be discussing SUPPLEMENTARY INFORMATION: Notice is for consideration. Due to limited various issues related to Taxpayer hereby given pursuant to Section conference lines, notification of intent Communications and public input is to participate must be made with Linda 10(a)(2) of the Federal Advisory welcome. Committee Act, 5 U.S.C. App. (1988) Rivera. For more information please that a meeting of the Taxpayer contact: Ms. Rivera at 1–888–912–1227 Dated: July 1, 2016. Advocacy Panel Taxpayer Assistance or (202) 317–3337, or write TAP Office, Otis Simpson, Center Improvements Project Committee 1111 Constitution Avenue NW., Room Acting Director, Taxpayer Advocacy Panel. will be held Wednesday, August 10, 1509, National Office, Washington, DC [FR Doc. 2016–16156 Filed 7–7–16; 8:45 am] 20224, or contact us at the Web site: 2016, at 2:00 p.m. Eastern Time. The BILLING CODE 4830–01–P public is invited to make oral comments http://www.improveirs.org. or submit written statements for The committee will be discussing consideration. Due to limited Toll-free issues and public input is DEPARTMENT OF THE TREASURY conference lines, notification of intent welcomed. to participate must be made with Otis Dated: July 1, 2016. Internal Revenue Service Simpson. For more information please Otis Simpson, contact: Otis Simpson at 1–888–912– Acting Director, Taxpayer Advocacy Panel. Open Meeting of the Taxpayer 1227 or 202–317–3332, TAP Office, Advocacy Panel Joint Committee [FR Doc. 2016–16154 Filed 7–7–16; 8:45 am] 1111 Constitution Avenue NW., Room BILLING CODE 4830–01–P 1509, National Office, Washington, DC AGENCY: Internal Revenue Service (IRS), 20224, or contact us at the Web site: Treasury. http://www.improveirs.org. DEPARTMENT OF THE TREASURY ACTION: The committee will be discussing Notice of meeting. various issues related to the Taxpayer Internal Revenue Service Assistance Centers and public input is SUMMARY: An open meeting of the welcomed. Open Meeting of the Taxpayer Taxpayer Advocacy Panel Joint Committee will be conducted. The Dated: July 1, 2016. Advocacy Panel Taxpayer Communications Project Committee Taxpayer Advocacy Panel is soliciting Otis Simpson, public comments, ideas, and Acting Director, Taxpayer Advocacy Panel. AGENCY: Internal Revenue Service (IRS), suggestions on improving customer [FR Doc. 2016–16151 Filed 7–7–16; 8:45 am] Treasury. service at the Internal Revenue Service. BILLING CODE 4830–01–P ACTION: Notice of meeting. DATES: The meeting will be held SUMMARY: An open meeting of the Wednesday, August 31, 2016. DEPARTMENT OF THE TREASURY Taxpayer Advocacy Panel Taxpayer FOR FURTHER INFORMATION CONTACT: Kim Communications Project Committee will Internal Revenue Service be conducted. The Taxpayer Advocacy Vinci at 1–888–912–1227 or 916–974– Panel is soliciting public comments, 5086. Open Meeting of the Taxpayer ideas, and suggestions on improving SUPPLEMENTARY INFORMATION: Notice is Advocacy Panel Toll-Free Phone Line customer service at the Internal Revenue Project Committee hereby given pursuant to section Service. 10(a)(2) of the Federal Advisory AGENCY: Internal Revenue Service (IRS), DATES: The meeting will be held Committee Act, 5 U.S.C. App. (1988) Treasury. Thursday, August 18, 2016. that an open meeting of the Taxpayer ACTION: Notice of meeting. FOR FURTHER INFORMATION CONTACT: Advocacy Panel Joint Committee will be Antoinette Ross at 1–888–912–1227 or held Wednesday, August 31, 2016, at SUMMARY: An open meeting of the (202) 317–4110. 1:00 p.m. Eastern Time via Taxpayer Advocacy Panel Toll-Free SUPPLEMENTARY INFORMATION: Notice is Phone Line Project Committee will be teleconference. The public is invited to hereby given pursuant to section conducted. The Taxpayer Advocacy make oral comments or submit written 10(a)(2) of the Federal Advisory Panel is soliciting public comments, statements for consideration. For more Committee Act, 5 U.S.C. App. (1988) ideas, and suggestions on improving information please contact: Kim Vinci at that an open meeting of the Taxpayer customer service at the Internal Revenue 1–888–912–1227 or 916–974–5086, TAP Advocacy Panel Taxpayer Service. Office, 4330 Watt Ave., Sacramento, CA Communications Project Committee will DATES: The meeting will be held 95821, or contact us at the Web site: be held Thursday, August 18, 2016, at http://www.improveirs.org. Wednesday, August 17, 2016. 2:00 p.m. Eastern Time via FOR FURTHER INFORMATION CONTACT: teleconference. The public is invited to The agenda will include various Linda Rivera at 1–888–912–1227 or make oral comments or submit written committee issues for submission to the (202) 317–3337. statements for consideration. Due to IRS and other TAP related topics. Public SUPPLEMENTARY INFORMATION: Notice is limited conference lines, notification of input is welcomed. hereby given pursuant to section intent to participate must be made with Dated: July 1, 2016. 10(a)(2) of the Federal Advisory Antoinette Ross. For more information Otis Simpson, Committee Act, 5 U.S.C. App. (1988) please contact: Antoinette Ross at Acting Director, Taxpayer Advocacy Panel. that an open meeting of the Taxpayer 1–888–912–1227 or (202) 317–4110, or Advocacy Panel Toll-Free Phone Line write TAP Office, 1111 Constitution [FR Doc. 2016–16150 Filed 7–7–16; 8:45 am] Project Committee will be held Avenue NW., Room 1509, National BILLING CODE 4830–01–P Wednesday, August 17, 2016, at 2:30 Office, Washington, DC 20224, or
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DEPARTMENT OF THE TREASURY DATES: The meeting will be held intent to participate must be made with Wednesday, August 24, 2016. Theresa Singleton. For more Internal Revenue Service information please contact: Theresa FOR FURTHER INFORMATION CONTACT: Singleton at 1–888–912–1227 or 202– Theresa Singleton at 1–888–912–1227 or Open Meeting of the Taxpayer 317–3329, TAP Office, 1111 202–317–3329. Advocacy Panel Notices and Constitution Avenue NW., Room 1509– Correspondence Project Committee SUPPLEMENTARY INFORMATION: Notice is National Office, Washington, DC 20224, AGENCY: Internal Revenue Service (IRS), hereby given pursuant to section or contact us at the Web site: http:// Treasury. 10(a)(2) of the Federal Advisory www.improveirs.org. ACTION: Notice of meeting. Committee Act, 5 U.S.C. App. (1988) The agenda will include a discussion that a meeting of the Taxpayer on various letters, and other issues SUMMARY: An open meeting of the Advocacy Panel Notices and related to written communications from Taxpayer Advocacy Panel Notices and Correspondence Project Committee will the IRS. Correspondence Project Committee will be held Wednesday, August 24, 2016, at be conducted. The Taxpayer Advocacy 12:00 p.m. Eastern Time via Dated: July 1, 2016. Panel is soliciting public comments, teleconference. The public is invited to Otis Simpson, ideas, and suggestions on improving make oral comments or submit written Acting Director, Taxpayer Advocacy Panel. customer service at the Internal Revenue statements for consideration. Due to [FR Doc. 2016–16155 Filed 7–7–16; 8:45 am] Service. limited conference lines, notification of BILLING CODE 4830–01–P
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Part II
Department of the Treasury
Fiscal Service Companies Holding Certificates of Authority as Acceptable Sureties on Federal Bonds and as Acceptable Reinsuring Companies; Notices
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DEPARTMENT OF THE TREASURY Certified Companies 657–9671. UNDERWRITING LIMITATION b/: $5,644,000. SURETY Fiscal Service ACCREDITED SURETY AND CASUALTY COMPANY, INC. (NAIC LICENSES c,f/: AL, AK, AZ, AR, CA, [(Dept. Circular 570; 2016 Revision)] #26379) CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, Companies Holding Certificates of BUSINESS ADDRESS: P.O. Box 140855, MN, MS, MO, MT, NE, NV, NH, NJ, Authority as Acceptable Sureties on Orlando, FL 32814–0855. PHONE: NM, NY, NC, ND, OH, OK, OR, PA, Federal Bonds and as Acceptable (407) 629–2131. UNDERWRITING RI, SC, SD, TN, TX, UT, VT, VA, WA, Reinsuring Companies LIMITATION b/: $2,164,000. SURETY WV, WI, WY. INCORPORATED IN: LICENSES c,f/: AK, AZ, AR, CA, CO, Pennsylvania. Effective July 1, 2016 CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, This Circular is published annually KS, KY, LA, ME, MD, MA, MI, MN, ALL AMERICA INSURANCE for the information of Federal bond- MS, MO, MT, NE, NV, NH, NJ, NM, COMPANY (NAIC #20222) approving officers and persons required NY, NC, ND, OH, OK, OR, PA, RI, SC, BUSINESS ADDRESS: P.O. BOX 351, to give bonds to the United States SD, TN, TX, UT, VT, VA, WA, WV, VAN WERT, OH 45891–0351. consistent with 31 CFR 223.16. (Interim WI, WY. INCORPORATED IN: PHONE: (419) 238–1010. changes are published in the Federal Florida. UNDERWRITING LIMITATION b/: Register and on the internet as they $14,597,000. SURETY LICENSES occur). Other information pertinent to ACE American Insurance Company (NAIC #22667) c,f/: AZ, CA, CT, GA, IL, IN, IA, KY, Federal sureties may be obtained from MD, MA, MI, NV, NJ, NY, NC, OH, the U.S. Department of the Treasury, BUSINESS ADDRESS: 436 Walnut OK, TN, TX, VA. INCORPORATED Bureau of the Fiscal Service, Surety Street, P.O. Box 1000, Philadelphia, IN: Ohio. Bond Section, 3700 East-West Highway, PA 19106. PHONE: (215) 640–1000. Room 6D22, Hyattsville, MD 20782, UNDERWRITING LIMITATION b/: Allegheny Casualty Company (NAIC 1 Telephone (202) 874–6850 or Fax (202) $257,882,000. SURETY LICENSES #13285) 874–9978. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, BUSINESS ADDRESS: One Newark The most current list of Treasury DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, Center, 20th Floor, Newark, NJ 07102. authorized companies is always LA, ME, MD, MA, MI, MN, MS, MO, PHONE: (800) 333–4167. available through the Internet at MT, NE, NV, NH, NJ, NM, NY, NC, UNDERWRITING LIMITATION b/: www.fiscal.treasury.gov/fsreports/ref/ ND, OH, OK, OR, PA, PR, RI, SC, SD, $2,260,000. SURETY LICENSES c,f/: suretyBnd/c570.htm. In addition, TN, TX, UT, VT, VA, VI, WA, WV, AL, AK, AZ, AR, CA, CO, CT, DE, DC, applicable laws, regulations, and WI, WY. INCORPORATED IN: FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, application information are also Pennsylvania. ME, MD, MA, MI, MN, MS, MO, MT, available at the same site. NE, NV, NH, NJ, NM, NY, NC, ND, Please note that the underwriting ACE Property and Casualty Insurance Company (NAIC #20699) OH, OK, OR, PA, PR, RI, SC, SD, TN, limitation published herein is on a per TX, UT, VT, VA, WA, WV, WI, WY. bond basis but this does not limit the BUSINESS ADDRESS: 436 WALNUT INCORPORATED IN: New Jersey. amount of a bond that a company can STREET, P.O. Box 1000, Philadelphia, write. Companies are allowed to write PA 19106. PHONE: (215) 640–1000. ALLEGHENY SURETY COMPANY bonds with a penal sum over their UNDERWRITING LIMITATION b/: (NAIC #34541) underwriting limitation as long as they $199,590,000. SURETY LICENSES BUSINESS ADDRESS: 4217 protect the excess amount with c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Steubenville Pike, Pittsburgh, PA reinsurance, coinsurance or other DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, 15205. PHONE: (412) 921–3077. methods as specified at 31 CFR 223.10– LA, ME, MD, MA, MI, MN, MS, MO, UNDERWRITING LIMITATION b/: 11. Please refer to Note (b) at the end of MT, NE, NV, NH, NJ, NM, NY, NC, $194,000. SURETY LICENSES c,f/: this publication. ND, OH, OK, OR, PA, PR, RI, SC, SD, PA. INCORPORATED IN: The following companies have TN, TX, UT, VT, VA, WA, WV, WI, Pennsylvania. complied with the law and the WY. INCORPORATED IN: ALLIED Property and Casualty regulations of the U.S. Department of Pennsylvania. the Treasury. Those listed in the front Insurance Company (NAIC #42579) of this Circular are acceptable as ACSTAR INSURANCE COMPANY BUSINESS ADDRESS: ONE WEST sureties and reinsurers on Federal bonds (NAIC #22950) NATIONWIDE BLVD., 1–04–701, under Title 31 of the United States BUSINESS ADDRESS: 30 SOUTH COLUMBUS, OH 43215–2220. Code, Sections 9304 to 9308 [See Note ROAD, FARMINGTON, CT 06032. PHONE: (515) 508–4211. (a)]. Those listed in the back are PHONE: (860) 415–8400. UNDERWRITING LIMITATION b/: acceptable only as reinsurers on Federal UNDERWRITING LIMITATION b/: $5,890,000. SURETY LICENSES c,f/: bonds under 31 CFR 223.3(b) [See Note $2,634,000. SURETY LICENSES c,f/: AL, AZ, AR, CA, CO, CT, DE, DC, FL, (e)]. AL, AK, AZ, AR, CA, CO, CT, DE, DC, GA, ID, IL, IN, IA, KS, KY, ME, MD, If we can be of any assistance, please FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, MI, MN, MS, MO, MT, NE, NV, NH, feel free to contact the Surety Bond ME, MD, MA, MI, MN, MS, MO, MT, NM, NY, ND, OH, PA, RI, SC, SD, TN, Section at (202) 874–6850. NE, NV, NH, NJ, NM, NY, NC, ND, TX, UT, VT, VA, WA, WV, WI, WY. OH, OK, OR, PA, PR, RI, SC, SD, TN, INCORPORATED IN: Iowa. Patricia M. Greiner, TX, UT, VT, VA, WA, WV, WI, WY. Assistant Commissioner for Management Allied World Insurance Company INCORPORATED IN: Illinois. (CFO). (NAIC #22730) IMPORTANT INFORMATION IS Aegis Security Insurance Company BUSINESS ADDRESS: 199 Water Street, CONTAINED IN THE NOTES AT THE (NAIC #33898) New York, NY 10038. PHONE: (646) END OF THIS CIRCULAR. PLEASE BUSINESS ADDRESS: P.O. Box 3153, 794–0500. UNDERWRITING READ THE NOTES CAREFULLY. Harrisburg, PA 17105. PHONE: (717) LIMITATION b/: $67,664,000.
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SURETY LICENSES c,f/: AL, AK, AZ, ME, MD, MA, MI, MN, MS, MO, MP, WV, WI, WY. INCORPORATED IN: AR, CA, CO, CT, DE, DC, FL, GA, HI, MT, NE, NV, NH, NJ, NM, NY, NC, New Hampshire. ID, IL, IN, IA, KS, KY, LA, ME, MD, ND, OH, OK, OR, PA, PR, RI, SC, SD, American Guarantee and Liability MA, MI, MN, MS, MO, MT, NE, NV, TN, TX, UT, VT, VA, VI, WA, WV, Insurance Company (NAIC #26247) NH, NJ, NM, NY, NC, ND, OH, OK, WI, WY. INCORPORATED IN: OR, PA, PR, RI, SC, SD, TN, TX, UT, Missouri. BUSINESS ADDRESS: 1400 AMERICAN VT, VA, WA, WV, WI, WY. LANE, TOWER I, 18TH FLOOR, INCORPORATED IN: New AMERICAN BANKERS INSURANCE SCHAUMBURG, IL 60196–1056. Hampshire. COMPANY OF FLORIDA (NAIC PHONE: (847) 605–6000. #10111) UNDERWRITING LIMITATION b/: Allied World Specialty Insurance $18,029,000. SURETY LICENSES c,f/ Company (NAIC #16624) BUSINESS ADDRESS: 11222 QUAIL ROOST DRIVE, MIAMI, FL 33157– : AL, AK, AZ, AR, CA, CO, CT, DE, BUSINESS ADDRESS: 199 WATER 6596. PHONE: (305) 253–2244. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, STREET, NEW YORK, NY 10038. UNDERWRITING LIMITATION b/: LA, ME, MD, MA, MI, MN, MS, MO, PHONE: (646) 794–0500. $48,325,000. SURETY LICENSES c,f/ MT, NE, NV, NH, NJ, NM, NY, NC, UNDERWRITING LIMITATION b/: : AL, AK, AZ, AR, CA, CO, CT, DE, ND, OH, OK, OR, PA, RI, SC, SD, TN, $40,569,000. SURETY LICENSES DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, TX, UT, VT, VA, WA, WV, WI, WY. c,f/: AL, AK, AZ, AR, CA, CO, DE, DC, LA, ME, MD, MA, MI, MN, MS, MO, INCORPORATED IN: New York. FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, MT, NE, NV, NH, NJ, NM, NY, NC, ME, MD, MA, MI, MN, MS, MO, MT, American Home Assurance Company ND, OH, OK, OR, PA, PR, RI, SC, SD, (NAIC #19380) NE, NV, NH, NJ, NM, NY, NC, ND, TN, TX, UT, VT, VA, VI, WA, WV, OH, OK, OR, PA, PR, RI, SC, SD, TN, WI, WY. INCORPORATED IN: BUSINESS ADDRESS: 175 WATER TX, UT, VT, VA, WA, WV, WI, WY. Florida. STREET, 18TH FLOOR, NEW YORK, INCORPORATED IN: Delaware. NY 10038. PHONE: (212) 770–7000. American Casualty Company of Alterra Reinsurance USA Inc. (NAIC UNDERWRITING LIMITATION b/: Reading, Pennsylvania (NAIC #20427) #10829) 2 $664,080,000. SURETY LICENSES BUSINESS ADDRESS: 333 S. WABASH c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, AMCO Insurance Company (NAIC DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, #19100) AVE, CHICAGO, IL 60604. PHONE: (312) 822–5000. UNDERWRITING LA, ME, MD, MA, MI, MN, MS, MO, BUSINESS ADDRESS: ONE WEST LIMITATION b/: $15,080,000. MT, NE, NV, NH, NJ, NM, NY, NC, NATIONWIDE BLVD., 1–04–701, SURETY LICENSES c,f/: AL, AK, AZ, ND, OH, OK, OR, PA, RI, SC, SD, TN, COLUMBUS, OH 43215–2220. AR, CA, CO, CT, DE, DC, FL, GA, HI, TX, UT, VT, VA, WA, WV, WI, WY. PHONE: (515) 508–4211. ID, IL, IN, IA, KS, KY, LA, ME, MD, INCORPORATED IN: New York. UNDERWRITING LIMITATION b/: MA, MI, MN, MS, MO, MT, NE, NV, American Insurance Company (The) $20,626,000. SURETY LICENSES NH, NJ, NM, NY, NC, ND, OH, OK, (NAIC #21857) c,f/: AL, AZ, AR, CA, CO, CT, DE, DC, OR, PA, PR, RI, SC, SD, TN, TX, UT, FL, GA, ID, IL, IN, IA, KS, KY, ME, BUSINESS ADDRESS: 225 W. VT, VA, WA, WV, WI, WY. WASHINGTON STREET, SUITE 1800, MD, MI, MN, MS, MO, MT, NE, NV, INCORPORATED IN: Pennsylvania. NM, NY, NC, ND, OH, OR, PA, RI, SC, CHICAGO, IL 60606–3484. PHONE: SD, TN, TX, UT, VT, VA, WA, WV, AMERICAN CONTRACTORS (888) 466–7883. UNDERWRITING WI, WY. INCORPORATED IN: Iowa. INDEMNITY COMPANY (NAIC LIMITATION b/: $22,225,000. #10216) 3 SURETY LICENSES c,f/: AL, AK, AS, AMERICAN ALTERNATIVE AZ, AR, CA, CO, CT, DE, DC, GU, FL, INSURANCE CORPORATION (NAIC BUSINESS ADDRESS: 601 South GA, HI, ID, IL, IN, IA, KS, KY, LA, #19720) Figueroa Street, 16th Floor, Los ME, MD, MA, MI, MN, MS, MO, MP, BUSINESS ADDRESS: 555 COLLEGE Angeles, CA 90017. PHONE: (310) MT, NE, NV, NH, NJ, NM, NY, NC, ROAD EAST, P.O. BOX 5241, 649–0990. UNDERWRITING ND, OH, OK, OR, PA, PR, RI, SC, SD, PRINCETON, NJ 08543. PHONE: (609) LIMITATION b/: $11,305,000. TN, TX, UT, VT, VA, VI, WA, WV, 243–4200. UNDERWRITING SURETY LICENSES c,f/: AL, AK, AZ, WI, WY. INCORPORATED IN: Ohio. LIMITATION b/: $19,946,000. AR, CA, CO, CT, DE, DC, FL, GA, GU, SURETY LICENSES c,f/: AL, AK, AZ, HI, ID, IL, IN, IA, KS, KY, LA, ME, AMERICAN ROAD INSURANCE AR, CA, CO, CT, DE, DC, FL, GA, HI, MD, MI, MN, MS, MO, MT, NE, NV, COMPANY (THE) (NAIC #19631) ID, IL, IN, IA, KS, KY, LA, ME, MD, NJ, NM, NY, ND, OH, OK, OR, PA, RI, BUSINESS ADDRESS: One American MA, MI, MN, MS, MO, MT, NE, NV, SC, SD, TN, TX, UT, VA, WA, WV, Road, MD 7600, Dearborn, MI 48126– NH, NJ, NM, NY, NC, ND, OH, OK, WI, WY. INCORPORATED IN: 2701. PHONE: (313) 337–1102. OR, PA, PR, RI, SC, SD, TN, TX, UT, California. UNDERWRITING LIMITATION b/: VT, VA, WA, WV, WI, WY. American Fire and Casualty Company $25,110,000. SURETY LICENSES INCORPORATED IN: Delaware. (NAIC #24066) c,f/: AL, AK, AZ, AR, CA, CO, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, American Automobile Insurance BUSINESS ADDRESS: 175 Berkeley ME, MD, MA, MI, MN, MS, MO, MT, Company (NAIC #21849) Street, Boston, MA 02116. PHONE: NE, NV, NH, NJ, NM, NY, NC, ND, BUSINESS ADDRESS: 225 W. (617) 357–9500. UNDERWRITING OH, OK, OR, PA, RI, SC, SD, TN, TX, WASHINGTON STREET, SUITE 1800, LIMITATION b/: $3,952,000. SURETY UT, VT, VA, WA, WV, WI, WY. CHICAGO, IL 60606–3484. PHONE: LICENSES c,f/: AL, AK, AZ, AR, CA, INCORPORATED IN: Michigan. (888) 466–7883. UNDERWRITING CO, CT, DE, DC, FL, GA, ID, IL, IN, LIMITATION b/: $17,460,000. IA, KS, KY, LA, ME, MD, MA, MI, American Safety Casualty Insurance SURETY LICENSES c,f/: AL, AK, AS, MN, MS, MO, MT, NE, NV, NH, NJ, Company (NAIC #39969) AZ, AR, CA, CO, CT, DE, DC, FL, GA, NM, NY, NC, ND, OH, OK, OR, PA, BUSINESS ADDRESS: 250 Commercial GU, HI, ID, IL, IN, IA, KS, KY, LA, RI, SC, SD, TN, TX, UT, VT, VA, WA, Street, Suite 5000, Manchester, NH
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03101. PHONE: (603) 656–2233. Amerisure Partners Insurance ASPEN AMERICAN INSURANCE UNDERWRITING LIMITATION b/: Company (NAIC #11050) COMPANY (NAIC #43460) $12,741,000. SURETY LICENSES BUSINESS ADDRESS: P. O. Box 2060, BUSINESS ADDRESS: 175 Capital c,f/: AL, AK, AS, AZ, AR, CA, CO, DE, Farmington Hills, MI 48331–3586. Boulevard, Suite300, Rocky Hill, CT DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, PHONE: (248) 615–9000. 06067. PHONE: (860) 258–3500. KY, LA, ME, MD, MI, MN, MS, MO, UNDERWRITING LIMITATION b/: UNDERWRITING LIMITATION b/: MP, MT, NE, NV, NH, NJ, NM, NY, $2,388,000. SURETY LICENSES c,f/: $26,855,000. SURETY LICENSES NC, ND, OH, OK, OR, PA, RI, SC, SD, AL, AK, AZ, AR, CO, DE, DC, FL, GA, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, TN, TX, UT, VT, VA, WA, WV, WI, HI, ID, IL, IN, IA, KS, KY, LA, MD, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, WY. INCORPORATED IN: Oklahoma. MA, MI, MN, MS, MO, MT, NE, NV, LA, ME, MD, MA, MI, MN, MS, MO, American Southern Insurance NM, NC, ND, OH, OK, OR, PA, RI, SC, MT, NE, NV, NH, NJ, NM, NY, NC, Company (NAIC #10235) SD, TN, TX, UT, VT, VA, WA, WV, ND, OH, OK, OR, PA, PR, RI, SC, SD, WI, WY. INCORPORATED IN: TN, TX, UT, VT, VA, VI, WA, WV, BUSINESS ADDRESS: P.O. Box 723030, Michigan. WI, WY. INCORPORATED IN: Texas. Atlanta, GA 31139–0030. PHONE: Antilles Insurance Company (NAIC Associated Indemnity Corporation (404) 266–9599. UNDERWRITING #10308) (NAIC #21865) LIMITATION b/: $3,831,000. SURETY LICENSES c,f/: AL, AZ, AR, CO, DE, BUSINESS ADDRESS: P.O. Box BUSINESS ADDRESS: 225 W. DC, FL, GA, IL, IN, KS, KY, MD, MI, 9023507, San Juan, PR 00902–3507. WASHINGTON STREET, SUITE 1800, MN, MS, MO, NE, NJ, NY, NC, OH, PHONE: (787) 474–4900. CHICAGO, IL 60606–3484. PHONE: PA, SC, TN, UT, VA, WA, WV, WI, UNDERWRITING LIMITATION b/: (888) 466–7883. UNDERWRITING WY. INCORPORATED IN: Kansas. $4,477,000. SURETY LICENSES c,f/: LIMITATION b/: $8,710,000. SURETY PR. INCORPORATED IN: Puerto Rico. LICENSES c,f/: AL, AK, AS, AZ, AR, American Surety Company (NAIC CA, CO, CT, DE, DC, GU, FL, GA, HI, Arch Insurance Company (NAIC #31380) ID, IL, IN, IA, KS, KY, LA, ME, MD, #11150) MA, MI, MN, MS, MO, MP, MT, NE, BUSINESS ADDRESS: 250 East 96th BUSINESS ADDRESS: 300 Plaza Three, NV, NH, NJ, NM, NY, NC, ND, OH, Street, Suite 202, Indianapolis, IN Jersey City, NJ 07311–1107. PHONE: OK, OR, PA, PR, RI, SC, SD, TN, TX, 46240. PHONE: (317) 875–8700. (201) 743–4000. UNDERWRITING UT, VT, VA, VI, WA, WV, WI, WY. UNDERWRITING LIMITATION b/: LIMITATION b/: $82,654,000. INCORPORATED IN: California. $1,026,000. SURETY LICENSES c,f/: SURETY LICENSES c,f/: AL, AK, AZ, AL, AK, AZ, AR, CA, CO, CT, DE, DC, AR, CA, CO, CT, DE, DC, FL, GA, GU, Atlantic Specialty Insurance Company FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, HI, ID, IL, IN, IA, KS, KY, LA, ME, (NAIC #27154) ME, MD, MA, MI, MN, MS, MO, MT, MD, MA, MI, MN, MS, MO, MP, MT, BUSINESS ADDRESS: 605 Highway 169 NE, NV, NH, NJ, NM, NY, NC, ND, NE, NV, NH, NJ, NM, NY, NC, ND, North, Suite 800, Plymouth, MN OH, OK, OR, PA, RI, SC, SD, TN, TX, OH, OK, OR, PA, PR, RI, SC, SD, TN, 55441. PHONE: (952) 852–2431. UT, VT, VA, WA, WV, WY. TX, UT, VT, VA, VI, WA, WV, WI, UNDERWRITING LIMITATION b/: INCORPORATED IN: Indiana. WY. INCORPORATED IN: Missouri. $62,234,000. SURETY LICENSES c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Arch Reinsurance Company (NAIC Amerisure Insurance Company (NAIC DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, #10348) #19488) KY, LA, ME, MD, MA, MI, MN, MS, BUSINESS ADDRESS: 445 South Street, BUSINESS ADDRESS: P.O. Box 2060, MO, MT, NE, NV, NH, NJ, NM, NY, Suite 220, P.O. Box 1988, Morristown, Farmington Hills, MI 48331–3586. NC, ND, OH, OK, OR, PA, PR, RI, SC, NJ 07962–1988. PHONE: (973) 898– PHONE: (248) 615–9000. SD, TN, TX, UT, VT, VA, VI, WA, 9575. UNDERWRITING LIMITATION UNDERWRITING LIMITATION b/: WV, WI, WY. INCORPORATED IN: b/: $37,489,000. SURETY LICENSES $23,868,000. SURETY LICENSES New York. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, c,f/: AL, AK, AZ, AR, CO, DE, DC, FL, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, Auto-Owners Insurance Company GA, HI, ID, IL, IN, IA, KS, KY, LA, LA, MD, MA, MI, MN, MS, MO, MT, (NAIC #18988) MD, MA, MI, MN, MS, MO, MT, NE, NE, NV, NH, NJ, NM, NY, NC, ND, BUSINESS ADDRESS: P.O. BOX 30660, NV, NH, NJ, NM, NY, NC, ND, OH, OH, OK, OR, PA, RI, SC, SD, TN, TX, LANSING, MI 48909–8160. PHONE: OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VT, VA, WA, WV. (517) 323–1200. UNDERWRITING UT, VT, VA, WA, WV, WI, WY. INCORPORATED IN: Delaware. LIMITATION b/: $877,795,000. INCORPORATED IN: Michigan. SURETY LICENSES c,f/: AL, AZ, AR, Argonaut Insurance Company (NAIC CO, FL, GA, ID, IL, IN, IA, KS, KY, Amerisure Mutual Insurance Company #19801) (NAIC #23396) MI, MN, MS, MO, NE, NV, NM, NC, BUSINESS ADDRESS: P.O. BOX ND, OH, OR, PA, SC, SD, TN, UT, VA, BUSINESS ADDRESS: P.O. Box 2060, 469011, SAN ANTONIO, TX 78246. WA, WI. INCORPORATED IN: Farmington Hills, MI 48331–3586. PHONE: (800) 470–7958. Michigan. PHONE: (248) 615–9000. UNDERWRITING LIMITATION b/: UNDERWRITING LIMITATION b/: $75,285,000. SURETY LICENSES0 AXIS Insurance Company (NAIC $61,661,000. SURETY LICENSES c,f/ c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, #37273) : AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, BUSINESS ADDRESS: 11680 Great Oaks DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, KY, LA, ME, MD, MA, MI, MN, MS, Way, Ste. 500, Alpharetta, GA 30022. LA, ME, MD, MA, MI, MN, MS, MO, MO, MT, NE, NV, NH, NJ, NM, NY, PHONE: (678) 746–9400. MT, NE, NV, NH, NJ, NM, NY, NC, NC, ND, OH, OK, OR, PA, PR, RI, SC, UNDERWRITING LIMITATION b/: ND, OH, OK, OR, PA, PR, RI, SC, SD, SD, TN, TX, UT, VT, VA, VI, WA, $56,508,000. SURETY LICENSES TN, TX, UT, VT, VA, WA, WV, WI, WV, WI, WY. INCORPORATED IN: c,f/: AL, AK, AS, AZ, AR, CA, CO, CT, WY. INCORPORATED IN: Michigan. Illinois. DE, FL, GA, HI, ID, IL, IN, IA, KS, KY,
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LA, ME, MD, MA, MI, MN, MS, MO, Berkley Insurance Company (NAIC DC, FL, GA, ID, IL, IN, IA, KS, KY, MT, NE, NV, NH, NJ, NM, NY, NC, #32603) LA, ME, MD, MA, MI, MN, MS, MO, ND, OH, OK, OR, PA, RI, SC, SD, TN, BUSINESS ADDRESS: 475 MT, NE, NV, NJ, NM, NY, NC, ND, TX, UT, VT, VA, WA, WV, WI, WY. STEAMBOAT ROAD, GREENWICH, OH, OK, OR, PA, RI, SC, SD, TN, TX, INCORPORATED IN: Illinois. CT 06830. PHONE: (203) 542–3800. UT, VT, VA, WA, WV, WI, WY. UNDERWRITING LIMITATION b/: INCORPORATED IN: Illinois. AXIS Reinsurance Company (NAIC $440,222,000. SURETY LICENSES #20370) BOND SAFEGUARD INSURANCE c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, COMPANY (NAIC #27081) BUSINESS ADDRESS: 11680 Great Oaks DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, BUSINESS ADDRESS: 10002 Way, Suite 500, Alpharetta, GA Shelbyville Road, Suite 100, 30022. PHONE: (678) 746–9400. MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, PR, RI, SC, Louisville, KY 40223–2979. PHONE: UNDERWRITING LIMITATION b/: (615) 553–9500. UNDERWRITING $86,086,000. SURETY LICENSES SD, TN, TX, UT, VT, VA, WA, WV, WI, WY. INCORPORATED IN: LIMITATION b/: $3,606,000. SURETY c,f/: AL, AK, AS, AZ, AR, CA, CO, CT, Delaware. LICENSES c,f/: AL, AK, AZ, AR, CA, DE, FL, GA, HI, ID, IL, IN, IA, KS, KY, CO, CT, DE, DC, FL, GA, GU, HI, ID, LA, ME, MD, MA, MI, MN, MS, MO, Berkley Regional Insurance Company IL, IN, KS, KY, LA, ME, MD, MA, MN, MT, NE, NV, NH, NJ, NM, NY, NC, (NAIC #29580) MS, MO, MP, MT, NV, NH, NJ, NM, ND, OH, OK, OR, PA, PR, RI, SC, SD, BUSINESS ADDRESS: 11201 Douglas NC, ND, OH, OK, PR, RI, SC, SD, TN, TN, TX, UT, VT, VA, WA, WV, WI, Avenue, Urbandale, IA 50322. TX, UT, VT, VA, WA, WV, WI, WY. WY. INCORPORATED IN: New York. PHONE: (515) 473–3174. INCORPORATED IN: South Dakota. UNDERWRITING LIMITATION b/: Bankers Insurance Company (NAIC Bondex Insurance Company (NAIC $67,992,000. SURETY LICENSES #12965) #33162) c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, BUSINESS ADDRESS: P.O. Box 6, BUSINESS ADDRESS: P.O. BOX 15707, Florham Park, NJ 07932. PHONE: ST. PETERSBURG, FL 33733. PHONE: LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, (973) 377–7000. UNDERWRITING (727) 823–4000. UNDERWRITING ND, OH, OK, OR, PA, RI, SC, SD, TN, LIMITATION b/: $338,000. SURETY LIMITATION b/: $7,668,000. SURETY TX, UT, VT, VA, WA, WV, WI, WY. LICENSES c,f/: DE, NJ, NY, PA. LICENSES c,f/: AL, AK, AZ, AR, CA, INCORPORATED IN: Delaware. INCORPORATED IN: New Jersey. CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, Berkshire Hathaway Homestate Boston Indemnity Company, Inc. (NAIC MN, MS, MO, MT, NE, NV, NH, NJ, Insurance Company (NAIC #20044) #30279) NM, NY, NC, ND, OH, OK, OR, PA, BUSINESS ADDRESS: 1314 Douglas BUSINESS ADDRESS: 4 High Street, SC, SD, TN, TX, UT, VT, VA, WA, Street, Omaha, NE 68102—1944. Suite 206, North Andover, MA 01845. WV, WI, WY. INCORPORATED IN: PHONE: (402) 393–7255. PHONE: (973) 377–7000. Florida. UNDERWRITING LIMITATION b/: UNDERWRITING LIMITATION b/: $116,770,000. SURETY LICENSES $503,000. SURETY LICENSES Bankers Standard Insurance Company c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, c,f/: AL, AZ, AR, CT, DE, DC, FL, GA, (NAIC #18279) DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, ID, IN, KS, KY, LA, ME, MA, MN, MS, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NC, ND, OK, PA, SD, BUSINESS ADDRESS: 436 WALNUT MT, NE, NV, NH, NJ, NM, NY, NC, TN, WV. INCORPORATED IN: South STREET, P.O. Box 1000, Philadelphia, ND, OH, OK, OR, PA, RI, SC, SD, TN, Dakota. PA 19106. PHONE: (215) 640–1000. TX, UT, VT, VA, WA, WV, WI, WY. Brierfield Insurance Company (NAIC UNDERWRITING LIMITATION b/: INCORPORATED IN: Nebraska. $15,330,000. SURETY LICENSES #10993) c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Berkshire Hathaway Specialty BUSINESS ADDRESS: 6300 University DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, Insurance Company (NAIC #22276) Parkway, Sarasota, FL 34240–8424. LA, ME, MD, MA, MI, MN, MS, MO, BUSINESS ADDRESS: 1314 Douglas PHONE: (800) 226–3224 x–2726. MT, NE, NV, NH, NJ, NM, NY, NC, Street, Suite 1400, Omaha, NE 68102– UNDERWRITING LIMITATION b/: ND, OH, OK, OR, PA, RI, SC, SD, TN, 1944. PHONE: (402) 916–3000. $868,000. SURETY LICENSES c,f/: TX, UT, VT, VA, WA, WV, WI, WY. UNDERWRITING LIMITATION b/: AL, AR, GA, MS, TN. INCORPORATED IN: Pennsylvania. $304,411,000. SURETY LICENSES INCORPORATED IN: Mississippi. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Beazley Insurance Company, Inc. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, BRITISH AMERICAN INSURANCE (NAIC #37540) LA, ME, MD, MA, MI, MN, MS, MO, COMPANY (NAIC #32875) BUSINESS ADDRESS: P.O. Box 1590, BUSINESS ADDRESS: 30 Batterson Park MT, NE, NV, NH, NJ, NY, NC, ND, OH, OK, OR, PA, RI, SC, SD, TN, TX, Dallas, TX 75221–1590. PHONE: (214) Road, Farmington, CT 06032. PHONE: UT, VT, VA, WA, WV, WI, WY. 443–5500. UNDERWRITING (860) 677–3700. UNDERWRITING INCORPORATED IN: Nebraska. LIMITATION b/: $3,421,000. SURETY LIMITATION b/: $11,915,000. LICENSES c,f/: TX. INCORPORATED SURETY LICENSES c,f/: AL, AK, AZ, BITCO GENERAL INSURANCE IN: Texas. AR, CA, CO, CT, DE, DC, FL, GA, HI, CORPORATION (NAIC #20095) ID, IL, IN, IA, KS, KY, LA, ME, MD, BUSINESS ADDRESS: 320 18TH Capitol Indemnity Corporation (NAIC MA, MI, MN, MS, MO, MT, NE, NV, STREET, ROCK ISLAND, IL 61201– #10472) NH, NJ, NM, NY, NC, ND, OH, OK, 8744. PHONE: (309) 786–5401. BUSINESS ADDRESS: P.O. Box 5900, OR, PA, RI, SC, SD, TN, TX, UT, VT, UNDERWRITING LIMITATION b/: Madison, WI 53705–0900. PHONE: VA, WA, WV, WI, WY. $27,515,000. SURETY LICENSES (608) 829–4200. UNDERWRITING INCORPORATED IN: Connecticut. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, LIMITATION b/: $18,331,000.
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SURETY LICENSES c,f/: AL, AK, AZ, PHONE: (860) 277–0111. TN, TX, UT, VT, VA, WA, WV, WI, AR, CA, CO, CT, DE, DC, FL, GA, HI, UNDERWRITING LIMITATION b/: WY. INCORPORATED IN: Ohio. ID, IL, IN, IA, KS, KY, LA, ME, MD, $25,565,000. SURETY LICENSES MA, MI, MN, MS, MO, MT, NE, NV, c,f/: AL, AK, AZ, AR, CO, CT, DE, DC, CITIZENS INSURANCE COMPANY OF NH, NJ, NM, NY, NC, ND, OH, OK, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, AMERICA (NAIC #31534) OR, PA, RI, SC, SD, TN, TX, UT, VA, ME, MD, MA, MI, MN, MS, MO, MT, BUSINESS ADDRESS: 808 NORTH WA, WV, WI, WY. INCORPORATED NE, NV, NH, NJ, NM, NY, NC, ND, HIGHLANDER WAY, HOWELL, MI IN: Wisconsin. OH, OK, OR, PA, PR, RI, SC, SD, TN, 48843–1070. PHONE: (517) 546–2160. TX, UT, VT, VA, WA, WV, WI, WY. Capitol Preferred Insurance Company, UNDERWRITING LIMITATION b/: INCORPORATED IN: Connecticut. Inc. (NAIC #10908) $66,036,000. SURETY LICENSES BUSINESS ADDRESS: 2255 Killearn Cherokee Insurance Company (NAIC c,f/: AL, AK, AZ, AR, CO, CT, DE, DC, Center Boulevard, Tallahassee, FL #10642) GA, HI, IL, IN, IA, KS, ME, MD, MA, 32309. PHONE: (850) 521–0742. BUSINESS ADDRESS: 34200 Mound MI, MN, MS, MO, MT, NE, NH, NJ, UNDERWRITING LIMITATION b/: Road, Sterling Heights, MI 48310. NM, NY, NC, ND, OH, OK, PA, RI, SC, $2,606,000. SURETY LICENSES c,f/: PHONE: (800) 201–0450 x-3400. SD, TN, TX, UT, VT, VA, WA, WV, FL, GA, SC. INCORPORATED IN: UNDERWRITING LIMITATION b/: WI. INCORPORATED IN: Michigan. Florida. $15,278,000. SURETY LICENSES COLONIAL AMERICAN CASUALTY Carolina Casualty Insurance Company c,f/: AL, AZ, AR, CA, CO, CT, DE, FL, AND SURETY COMPANY (NAIC (NAIC #10510) GA, ID, IL, IN, IA, KS, KY, LA, ME, #34347) MD, MA, MI, MN, MS, MO, MT, NE, BUSINESS ADDRESS: 11201 Douglas NV, NJ, NM, NY, NC, ND, OH, OK, BUSINESS ADDRESS: 1400 AMERICAN Avenue, Urbandale, IA 50322. OR, PA, RI, SC, SD, TN, TX, UT, VT, LANE, TOWER I, 18TH FLOOR, PHONE: (515) 473–3000. VA, WA, WV, WI, WY. SCHAUMBURG, IL 60196–1056. UNDERWRITING LIMITATION b/: INCORPORATED IN: Michigan. $9,911,000. SURETY LICENSES c,f/: PHONE: (847) 605–6000. AL, AK, AZ, AR, CA, CO, CT, DE, DC, CHUBB INDEMNITY INSURANCE UNDERWRITING LIMITATION b/: FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, COMPANY (NAIC #12777) $2,232,000. SURETY LICENSES c,f/: ME, MD, MA, MI, MN, MS, MO, MT, AL, AK, AZ, AR, CA, CO, CT, DE, DC, BUSINESS ADDRESS: 15 Mountain FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, NE, NV, NH, NJ, NM, NY, NC, ND, View Road, Warren, NJ 07059. OH, OK, OR, PA, RI, SC, SD, TN, TX, ME, MD, MA, MI, MN, MS, MO, MT, PHONE: (212) 612–4000. NE, NV, NJ, NM, NY, NC, ND, OH, UT, VT, VA, WA, WV, WI, WY. UNDERWRITING LIMITATION b/: OK, OR, PA, RI, SC, SD, TN, TX, UT, INCORPORATED IN: Iowa. $15,076,000. SURETY LICENSES VT, VA, WA, WV, WI, WY. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Centennial Casualty Company (NAIC INCORPORATED IN: Maryland. #34568) DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, BUSINESS ADDRESS: 2200 Woodcrest COLONIAL SURETY COMPANY (NAIC MT, NE, NV, NH, NJ, NM, NY, NC, Place, Suite 200, Birmingham, AL #10758) ND, OH, OK, OR, PA, RI, SC, SD, TN, 35209. PHONE: (205) 414–2600. TX, UT, VT, VA, WA, WV, WI, WY. BUSINESS ADDRESS: 123 Tice UNDERWRITING LIMITATION b/: INCORPORATED IN: New York. Boulevard, Suite 250, Woodcliff Lake, $6,628,000. SURETY LICENSES c,f/: NJ 07677. PHONE: (201) 573–8788. AL. INCORPORATED IN: Alabama. Cincinnati Casualty Company (The) UNDERWRITING LIMITATION b/: (NAIC #28665) CENTRAL MUTUAL INSURANCE $3,162,000. SURETY LICENSES c,f/: COMPANY (NAIC #20230) BUSINESS ADDRESS: P.O. Box 145496, AL, AK, AZ, AR, CA, CO, CT, DE, DC, BUSINESS ADDRESS: P.O. BOX 351, Cincinnati, OH 45250–5496. PHONE: FL, GA, GU, HI, ID, IL, IN, IA, KS, KY, VAN WERT, OH 45891–0351. (513) 870–2000. UNDERWRITING LA, ME, MD, MA, MI, MN, MS, MO, PHONE: (419) 238–1010. LIMITATION b/: $33,650,000. MP, MT, NE, NV, NH, NJ, NM, NY, UNDERWRITING LIMITATION b/: SURETY LICENSES c,f/: AL, AK, AZ, NC, ND, OH, OK, OR, PA, PR, RI, SC, $55,984,000. SURETY LICENSES AR, CA, CO, CT, DE, DC, FL, GA, HI, SD, TN, TX, UT, VT, VA, VI, WA, c,f/: AZ, CA, CO, CT, DE, GA, IL, IN, ID, IL, IN, IA, KS, KY, LA, ME, MD, WV, WI, WY. INCORPORATED IN: IA, KY, MD, MA, MI, NV, NH, NJ, MA, MI, MN, MS, MO, MT, NE, NV, Pennsylvania. NM, NY, NC, OH, OK, PA, TN, TX, NH, NJ, NM, NY, NC, ND, OH, OK, VA. INCORPORATED IN: Ohio. OR, PA, RI, SC, SD, TN, TX, UT, VT, Continental Casualty Company (NAIC VA, WA, WV, WI, WY. #20443) CENTURY SURETY COMPANY (NAIC INCORPORATED IN: Ohio. #36951) BUSINESS ADDRESS: 333 S. WABASH Cincinnati Insurance Company (The) AVE, CHICAGO, IL 60604. PHONE: BUSINESS ADDRESS: 550 Polaris (NAIC #10677) Parkway, Westerville, OH 43082. (312) 822–5000. UNDERWRITING PHONE: (614) 895–2000. BUSINESS ADDRESS: P.O. BOX LIMITATION b/: $765,476,000. UNDERWRITING LIMITATION b/: 145496, CINCINNATI, OH 45250– SURETY LICENSES c,f/: AL, AK, AZ, $13,024,000. SURETY LICENSES 5496. PHONE: (513) 870–2000. AR, CA, CO, CT, DE, DC, FL, GA, HI, c,f/: AZ, IN, OH, WV, WI. UNDERWRITING LIMITATION b/: ID, IL, IN, IA, KS, KY, LA, ME, MD, INCORPORATED IN: Ohio. $407,593,000. SURETY LICENSES MA, MI, MN, MS, MO, MT, NE, NV, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, NH, NJ, NM, NY, NC, ND, OH, OK, Charter Oak Fire Insurance Company DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, OR, PA, PR, RI, SC, SD, TN, TX, UT, (The) (NAIC #25615) LA, ME, MD, MA, MI, MN, MS, MO, VT, VA, VI, WA, WV, WI, WY. BUSINESS ADDRESS: ONE TOWER MT, NE, NV, NH, NJ, NM, NY, NC, INCORPORATED IN: Illinois. SQUARE, HARTFORD, CT 06183. ND, OH, OK, OR, PA, PR, RI, SC, SD,
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CONTINENTAL HERITAGE RI, SC, SD, TN, TX, UT, VT, VA, WA, SURETY LICENSES c,f/: AL, AK, AZ, INSURANCE COMPANY (NAIC WV, WI, WY. INCORPORATED IN: AR, CA, CO, CT, DE, DC, FL, GA, HI, #39551) Michigan. ID, IL, IN, IA, KS, KY, LA, ME, MD, BUSINESS ADDRESS: 6140 CUMIS INSURANCE SOCIETY, INC. MA, MI, MN, MS, MO, MT, NE, NV, PARKLAND BLVD, STE 321, (NAIC #10847) NH, NJ, NM, NY, NC, ND, OH, OK, MAYFIELD HEIGHTS, OH 44124. OR, PA, PR, RI, SC, SD, TN, TX, UT, PHONE: (440) 229–3420. BUSINESS ADDRESS: P.O. Box 1084, VT, VA, VI, WA, WV, WI, WY. UNDERWRITING LIMITATION b/: Madison, WI 53701. PHONE: (608) INCORPORATED IN: Wisconsin. $713,000. SURETY LICENSES c,f/: 238–5851. UNDERWRITING AZ, CA, CO, DC, FL, GA, ID, IL, IN, LIMITATION b/: $74,947,000. Employers Mutual Casualty Company IA, KY, LA, ME, MD, MN, MS, NE, SURETY LICENSES c,f/: AL, AK, AZ, (NAIC #21415) NV, NJ, ND, OH, PA, SC, SD, TN, TX, AR, CA, CO, CT, DE, DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, KY, LA, ME, BUSINESS ADDRESS: P. O. BOX 712, UT, VA, WA, WV. INCORPORATED DES MOINES, IA 50306–0712. IN: Florida. MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, PHONE: (515) 280–2511. Continental Insurance Company (The) OK, OR, PA, PR, RI, SC, SD, TN, TX, UNDERWRITING LIMITATION b/: (NAIC #35289) UT, VT, VA, VI, WA, WV, WI, WY. $127,629,000. SURETY LICENSES BUSINESS ADDRESS: 333 S. WABASH INCORPORATED IN: Iowa. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, AVE, CHICAGO, IL 60604. PHONE: CUMIS Specialty Insurance Company, (312) 822–5000. UNDERWRITING Inc. (NAIC #12758) LA, ME, MD, MA, MI, MN, MS, MO, LIMITATION b/: $146,927,000. MT, NE, NV, NH, NJ, NM, NY, NC, SURETY LICENSES c,f/: AL, AK, AZ, BUSINESS ADDRESS: Post Office Box OH, OK, OR, PA, RI, SC, SD, TN, TX, AR, CA, CO, CT, DE, DC, FL, GA, GU, 1084, Madison, WI 53701. PHONE: UT, VT, VA, WA, WV, WI, WY. HI, ID, IL, IN, IA, KS, KY, LA, ME, (608) 238–5851. UNDERWRITING INCORPORATED IN: Iowa. MD, MA, MI, MN, MS, MO, MP, MT, LIMITATION b/: $5,100,000. SURETY NE, NV, NH, NJ, NM, NY, NC, ND, LICENSES c,f/: AL, CA, CT, DC, FL, Endurance American Insurance OH, OK, OR, PA, PR, RI, SC, SD, TN, GA, HI, ID, IL, IN, IA, KS, KY, MD, Company (NAIC #10641) TX, UT, VT, VA, VI, WA, WV, WI, MA, MI, MN, MO, NE, NV, NJ, NY, BUSINESS ADDRESS: 4 WY. INCORPORATED IN: NC, OH, OK, OR, PA, SC, SD, TX, UT, Pennsylvania. VA, WA, WI, WY. INCORPORATED MANHATTANVILLE ROAD, IN: Iowa. PURCHASE, NY 10577. PHONE: (914) CONTRACTORS BONDING AND 468–8000. UNDERWRITING INSURANCE COMPANY (NAIC Developers Surety and Indemnity LIMITATION b/: $26,267,000. #37206) Company (NAIC #12718) SURETY LICENSES c,f/: AL, AK, AZ, BUSINESS ADDRESS: 9025 N. BUSINESS ADDRESS: P.O. BOX 19725, CO, DE, DC, GA, HI, ID, IL, IN, IA, KS, Lindbergh Drive, Peoria, IL 61615. IRVINE, CA 92623–9725. PHONE: KY, LA, MD, MA, MI, MS, MO, MT, PHONE: (309) 692–1000. (949) 263–3300. UNDERWRITING NE, NV, NH, NJ, NM, NY, ND, OH, UNDERWRITING LIMITATION b/: LIMITATION b/: $7,446,000. SURETY OK, OR, PA, RI, SC, SD, TN, TX, UT, $11,426,000. SURETY LICENSES LICENSES c,f/: AL, AK, AZ, AR, CA, VT, WA, WV, WI, WY. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, CO, CT, DE, DC, FL, GA, HI, ID, IL, INCORPORATED IN: Delaware. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, IN, IA, KS, KY, LA, ME, MD, MA, MI, LA, ME, MD, MA, MI, MN, MS, MO, MN, MS, MO, MT, NE, NV, NH, NJ, Endurance Reinsurance Corporation of MT, NE, NV, NH, NJ, NM, NY, NC, NM, NY, NC, ND, OH, OK, OR, PA, America (NAIC #11551) ND, OH, OK, OR, PA, RI, SC, SD, TN, RI, SC, SD, TN, TX, UT, VT, VA, VI, TX, UT, VT, VA, WA, WV, WI, WY. WA, WV, WI, WY. INCORPORATED BUSINESS ADDRESS: 4 INCORPORATED IN: Illinois. IN: Iowa. MANHATTANVILLE ROAD, PURCHASE, NY 10577. PHONE: (914) Cooperativa de Seguros Multiples de ELECTRIC INSURANCE COMPANY 468–8000. UNDERWRITING Puerto Rico (NAIC #18163) (NAIC #21261) LIMITATION b/: $47,665,000. BUSINESS ADDRESS: P.O. BOX BUSINESS ADDRESS: 75 Sam Fonzo SURETY LICENSES c,f/: AL, AK, AZ, 363846, SAN JUAN, PR 00936–3846. Drive, Beverly, MA 01915–1000. AR, CA, CO, CT, DE, DC, FL, GA, GU, PHONE: (787) 622–3575 x-2512. PHONE: (978) 921–2080. HI, ID, IL, IN, IA, KS, KY, LA, ME, UNDERWRITING LIMITATION b/: UNDERWRITING LIMITATION b/: MD, MA, MI, MN, MS, MO, MT, NE, $16,415,000. SURETY LICENSES $54,555,000. SURETY LICENSES NV, NJ, NM, NY, NC, ND, OH, OK, c,f/: PR. INCORPORATED IN: Puerto c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, OR, PA, PR, RI, SC, SD, TN, TX, UT, Rico. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, VT, VA, WA, WV, WY. LA, ME, MD, MA, MI, MN, MS, MO, CorePointe Insurance Company (NAIC INCORPORATED IN: Delaware. MT, NE, NV, NH, NJ, NM, NY, NC, #10499) ND, OH, OK, OR, PA, PR, RI, SC, SD, Erie Insurance Company (NAIC BUSINESS ADDRESS: 401 South Old TN, TX, UT, VT, VA, WA, WV, WI, #26263) Woodward Avenue, Suite 300, WY. INCORPORATED IN: Birmingham, MI 48009. PHONE: (800) Massachusetts. BUSINESS ADDRESS: 100 ERIE 782–9164. UNDERWRITING INSURANCE PLACE, ERIE, PA 16530. LIMITATION b/: $5,683,000. SURETY Employers Insurance Company of PHONE: (814) 870–2000. LICENSES c,f/: AL, AK, AZ, AR, CA, Wausau (NAIC #21458) UNDERWRITING LIMITATION b/: CO, CT, DE, DC, FL, GA, HI, ID, IL, BUSINESS ADDRESS: 175 Berkeley $33,462,000. SURETY LICENSES IN, IA, KS, KY, LA, ME, MD, MA, MI, Street, Boston, MA 02116. PHONE: c,f/: DC, IL, IN, KY, MD, MN, NY, NC, MN, MS, MO, MT, NE, NV, NH, NJ, (617) 357–9500. UNDERWRITING OH, PA, TN, VA, WV, WI. NM, NY, NC, ND, OH, OK, OR, PA, LIMITATION b/: $138,339,000. INCORPORATED IN: Pennsylvania.
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Everest Reinsurance Company (NAIC MT, NE, NV, NH, NJ, NM, NY, NC, SC, SD, TN, TX, UT, VT, VA, VI, WA, #26921) ND, OH, OK, OR, PA, RI, SC, SD, TN, WV, WI, WY. INCORPORATED IN: BUSINESS ADDRESS: P.O. Box 830, TX, UT, VT, VA, VI, WA, WV, WI, Indiana. WY. INCORPORATED IN: New York. Liberty Corner, NJ 07938–0830. FEDERATED MUTUAL INSURANCE PHONE: (908) 604–3000. Farmers Alliance Mutual Insurance COMPANY (NAIC #13935) UNDERWRITING LIMITATION b/: Company (NAIC #19194) $321,089,000. SURETY LICENSES BUSINESS ADDRESS: 121 EAST PARK BUSINESS ADDRESS: P.O. Box 1401, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, SQUARE, OWATONNA, MN 55060. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, McPherson, KS 67460. PHONE: (620) 241–2200. UNDERWRITING PHONE: (507) 455–5200. LA, ME, MD, MA, MI, MN, MS, MO, UNDERWRITING LIMITATION b/: MP, MT, NE, NV, NH, NJ, NM, NY, LIMITATION b/: $16,564,000. SURETY LICENSES c,f/: CO, ID, IA, $286,243,000. SURETY LICENSES NC, ND, OH, OK, OR, PA, RI, SC, SD, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, TN, TX, UT, VT, VA, WA, WV, WI, KS, MN, MO, MT, NE, NM, ND, OK, SD. INCORPORATED IN: Kansas. DC, FL, GA, ID, IL, IN, IA, KS, KY, WY. INCORPORATED IN: Delaware. LA, ME, MD, MA, MI, MN, MS, MO, Evergreen National Indemnity Farmington Casualty Company (NAIC MT, NE, NV, NH, NJ, NM, NY, NC, Company (NAIC #12750) #41483) ND, OH, OK, OR, PA, RI, SC, SD, TN, BUSINESS ADDRESS: 6140 BUSINESS ADDRESS: ONE TOWER TX, UT, VT, VA, WA, WV, WI, WY. PARKLAND BLVD, STE 321, SQUARE, HARTFORD, CT 06183. INCORPORATED IN: Minnesota. PHONE: (860) 277–0111. MAYFIELD HEIGHTS, OH 44124. Fidelity and Deposit Company of UNDERWRITING LIMITATION b/: PHONE: (440) 229–3420. Maryland (NAIC #39306) UNDERWRITING LIMITATION b/: $29,133,000. SURETY LICENSES $3,055,000. SURETY LICENSES c,f/: c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, BUSINESS ADDRESS: 1400 AMERICAN AL, AK, AZ, AR, CA, CO, CT, DE, DC, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LANE, TOWER I, 18TH FLOOR, FL, GA, ID, IL, IN, IA, KS, KY, LA, LA, ME, MD, MA, MI, MN, MS, MO, SCHAUMBURG, IL 60196–1056. ME, MD, MA, MI, MN, MS, MO, MT, MT, NE, NV, NH, NJ, NM, NY, NC, PHONE: (847) 605–6000. NE, NV, NH, NJ, NM, NY, ND, OH, ND, OH, OK, OR, PA, RI, SC, SD, TN, UNDERWRITING LIMITATION b/: OK, OR, PA, RI, SC, SD, TN, TX, UT, TX, UT, VT, VA, WA, WV, WI, WY. $14,738,000. SURETY LICENSES VT, VA, WA, WI, WY. INCORPORATED IN: Connecticut. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, INCORPORATED IN: Ohio. Farmland Mutual Insurance Company DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, Executive Risk Indemnity Inc. (NAIC (NAIC #13838) KY, LA, ME, MD, MA, MI, MN, MS, #35181) BUSINESS ADDRESS: ONE WEST MO, MP, MT, NE, NV, NH, NJ, NM, NATIONWIDE BLVD., 1–04–701, NY, NC, ND, OH, OK, OR, PA, PR, RI, BUSINESS ADDRESS: 15 Mountain SC, SD, TN, TX, UT, VT, VA, VI, WA, View Road, Warren, NJ 07059. COLUMBUS, OH 43215–2220. WV, WI, WY. INCORPORATED IN: PHONE: (908) 903–2000. PHONE: (515) 508–3300. Maryland. UNDERWRITING LIMITATION b/: UNDERWRITING LIMITATION b/: $126,714,000. SURETY LICENSES $17,059,000. SURETY LICENSES FIDELITY AND GUARANTY c,f/: AL, AK, AZ, AR, CA, CO, DE, DC, c,f/: AL, AZ, AR, CA, CO, DE, DC, FL, INSURANCE COMPANY (NAIC FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, GA, ID, IL, IN, IA, KS, KY, MD, MI, #35386) ME, MD, MA, MI, MN, MS, MO, MP, MN, MS, MO, MT, NE, NV, NC, ND, MT, NE, NV, NH, NJ, NM, NY, NC, OH, OK, OR, PA, SC, SD, TN, TX, UT, BUSINESS ADDRESS: One Tower ND, OH, OK, OR, PA, RI, SC, SD, TN, VA, WA, WV, WI, WY. Square, Hartford, CT 06183. PHONE: TX, UT, VT, VA, WA, WV, WI, WY. INCORPORATED IN: Iowa. (860) 277–0111. UNDERWRITING LIMITATION b/: $1,929,000. SURETY INCORPORATED IN: Delaware. FCCI Insurance Company (NAIC LICENSES c,f/: AL, AK, AZ, AR, CA, Explorer Insurance Company (NAIC #10178) CO, CT, DE, DC, FL, GA, HI, ID, IL, #40029) BUSINESS ADDRESS: 6300 University IN, IA, KS, KY, LA, ME, MD, MA, MI, BUSINESS ADDRESS: P.O. BOX 85563, Parkway, Sarasota, FL 34240–8424. MN, MS, MO, MT, NE, NV, NH, NJ, SAN DIEGO, CA 92186–5563. PHONE: (800) 226–3224. NM, NY, NC, ND, OH, OK, OR, PA, PHONE: (858) 350–2400 x–2550. UNDERWRITING LIMITATION b/: RI, SC, SD, TN, TX, UT, VT, VA, WA, UNDERWRITING LIMITATION b/: $53,562,000. SURETY LICENSES WV, WI, WY. INCORPORATED IN: $10,147,000. SURETY LICENSES c,f/: AL, AZ, AR, CO, FL, GA, IL, IN, Iowa. c,f/: AZ, CA, CO, CT, HI, ID, IL, IN, IA, KS, KY, LA, MD, MI, MS, MO, NE, IA, MD, MA, MI, MS, MT, NJ, NV, NC, OH, OK, PA, SC, TN, TX, VA. Fidelity and Guaranty Insurance NM, OR, PA, TN, TX, UT, VT, VA, INCORPORATED IN: Florida. Underwriters, Inc. (NAIC #25879) WA, WV. INCORPORATED IN: Federal Insurance Company (NAIC California. BUSINESS ADDRESS: One Tower #20281) Square, Hartford, CT 06183. PHONE: Fair American Insurance and BUSINESS ADDRESS: 15 Mountain (860) 277–0111. UNDERWRITING Reinsurance Company (NAIC #35157) View Road, Warren, NJ 07059. LIMITATION b/: $8,620,000. SURETY BUSINESS ADDRESS: One Liberty PHONE: (908) 903–2000. LICENSES c,f/: AL, AK, AZ, AR, CA, Plaza, 165 Broadway, New York, NY UNDERWRITING LIMITATION b/: CO, CT, DE, DC, FL, GA, HI, ID, IL, 10006. PHONE: (212) 365–2200. $1,186,080,000. SURETY LICENSES IN, IA, KS, KY, LA, ME, MD, MA, MI, UNDERWRITING LIMITATION b/: c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, MN, MS, MO, MT, NE, NV, NH, NJ, $24,182,000. SURETY LICENSES DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, NM, NY, NC, ND, OH, OK, OR, PA, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, KY, LA, ME, MD, MA, MI, MN, MS, RI, SC, SD, TN, TX, UT, VT, VA, WA, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, MO, MP, MT, NE, NV, NH, NJ, NM, WV, WI, WY. INCORPORATED IN: LA, ME, MD, MA, MI, MN, MS, MO, NY, NC, ND, OH, OK, OR, PA, PR, RI, Wisconsin.
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Financial Casualty & Surety, Inc. (NAIC MI, MN, MS, MO, MT, NE, NV, NH, 73134. PHONE: (405) 752–2600. #35009) NJ, NM, NY, NC, ND, OH, OK, OR, UNDERWRITING LIMITATION b/: BUSINESS ADDRESS: 3131 Eastside, PA, RI, SC, SD, TN, TX, UT, VT, VA, $2,004,000. SURETY LICENSES c,f/: Suite 600, Houston, TX 77098. VI, WA, WV, WI, WY. AL, AZ, AR, CO, FL, GA, ID, IL, IN, PHONE: (800) 392–1604. INCORPORATED IN: Illinois. IA, KS, KY, LA, MD, MI, MN, MS, UNDERWRITING LIMITATION b/: First Net Insurance Company (NAIC MO, MT, NE, NV, NM, NC, ND, OH, $1,506,000. SURETY LICENSES c,f/: #10972) OK, PA, SC, SD, TN, TX, UT, VA, AZ, CA, CT, DE, FL, GA, ID, IN, IA, WV, WI, WY. INCORPORATED IN: BUSINESS ADDRESS: 424 WEST KS, LA, MD, MI, MN, MS, MO, MT, Oklahoma. NV, NJ, NY, NC, ND, OH, PA, SC, SD, O’BRIEN DRIVE, STE 202, TN, TX, UT, VT, VA, WA, WV. HAGATNA, GU 96910. PHONE: (671) Granite State Insurance Company INCORPORATED IN: Texas. 477–8613. UNDERWRITING (NAIC #23809) LIMITATION b/: $1,150,000. SURETY Financial Pacific Insurance Company LICENSES c,f/: GU, MP. BUSINESS ADDRESS: 175 WATER (NAIC #31453) INCORPORATED IN: Guam. STREET, 18TH FLOOR, NEW YORK, BUSINESS ADDRESS: P.O. BOX 73909, NY 10038. PHONE: (212) 770–7000. General Casualty Company Of UNDERWRITING LIMITATION b/: CEDAR RAPIDS, IA 52407–3909. Wisconsin (NAIC #24414) PHONE: (319) 399–5700. $3,141,000. SURETY LICENSES c,f/: UNDERWRITING LIMITATION b/: BUSINESS ADDRESS: One General AL, AK, AZ, AR, CA, CO, DC, FL, GA, $10,205,000. SURETY LICENSES Drive, Sun Prairie, WI 53596. PHONE: HI, ID, IL, IN, IA, KS, KY, LA, ME, c,f/: AK, AZ, AR, CA, CO, FL, ID, IL, (608) 837–4440. UNDERWRITING MD, MA, MI, MN, MS, MO, MT, NE, IA, KS, MN, MO, MT, NE, NV, NM, LIMITATION b/: $24,603,000. NV, NH, NJ, NM, NY, NC, ND, OH, ND, OK, OR, SD, TX, UT, WA, WI. SURETY LICENSES c,f/: AL, AK, AZ, OK, OR, PA, RI, SC, SD, TN, TX, UT, INCORPORATED IN: California. AR, CA, CO, CT, DE, DC, GA, HI, ID, VT, VA, WA, WV, WI, WY. IL, IN, IA, KS, KY, LA, MD, MA, MI, INCORPORATED IN: Illinois. Fireman’s Fund Insurance Company MN, MS, MO, MT, NE, NV, NH, NJ, (NAIC #21873) NM, NY, NC, ND, OH, OK, OR, PA, GRAY CASUALTY & SURETY BUSINESS ADDRESS: 225 W. RI, SC, SD, TN, TX, UT, VT, VA, WA, COMPANY (THE) (NAIC #10671) WASHINGTON STREET, SUITE 1800, WV, WI, WY. INCORPORATED IN: CHICAGO, IL 60606–3484. PHONE: Wisconsin. BUSINESS ADDRESS: P.O. Box 6202, (888) 466–7883. UNDERWRITING Metairie, LA 70009–6202. PHONE: General Reinsurance Corporation (504) 888–7790. UNDERWRITING LIMITATION b/: $121,481,000. (NAIC #22039) SURETY LICENSES c,f/: AL, AK, AS, LIMITATION b/: $1,434,000. SURETY AZ, AR, CA, CO, CT, DE, DC, FL, GA, BUSINESS ADDRESS: 120 LONG LICENSES c,f/: AL, AZ, AR, CA, DC, GU, HI, ID, IL, IN, IA, KS, KY, LA, RIDGE ROAD, STAMFORD, CT GA, IL, KY, LA, MD, MS, MO, NV, ME, MD, MA, MI, MN, MS, MO, MP, 06902–1843. PHONE: (203) 328–5000. NM, NY, NC, OK, PA, SC, TN, TX. MT, NE, NV, NH, NJ, NM, NY, NC, UNDERWRITING LIMITATION b/: INCORPORATED IN: Louisiana. ND, OH, OK, OR, PA, PR, RI, SC, SD, $1,105,051,000. SURETY LICENSES GRAY INSURANCE COMPANY (THE) TN, TX, UT, VT, VA, VI, WA, WV, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, (NAIC #36307) WI, WY. INCORPORATED IN: DC, FL, GA, ID, IL, IN, IA, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, California. BUSINESS ADDRESS: P.O. BOX 6202, NE, NV, NH, NJ, NM, NY, NC, ND, METAIRIE, LA 70009–6202. PHONE: First Founders Assurance Company OH, OK, OR, PA, RI, SC, SD, TN, TX, (NAIC #12150) UT, VT, VA, WA, WV, WI, WY. (504) 888–7790. UNDERWRITING BUSINESS ADDRESS: 6 Mill Ridge INCORPORATED IN: Delaware. LIMITATION b/: $9,076,000. SURETY Lane, Chester, NJ 07930–2486. LICENSES c,f/: AL, AK, AZ, AR, CA, GRANGE INSURANCE COMPANY OF PHONE: (908) 879–0990. CO, CT, DE, DC, FL, GA, HI, ID, IL, MICHIGAN (NAIC #11136) UNDERWRITING LIMITATION b/: IN, IA, KS, KY, LA, ME, MD, MA, MI, $408,000. SURETY LICENSES c,f/: NJ, BUSINESS ADDRESS: 671 South High MN, MS, MO, MT, NE, NV, NH, NJ, NY. INCORPORATED IN: New Jersey. Street, P.O. Box 1218, Columbus, OH NM, NY, NC, ND, OH, OK, OR, PA, 43216–1218. PHONE: (614) 445–2900. RI, SC, SD, TN, TX, UT, VT, VA, WA, First Insurance Company of Hawaii, UNDERWRITING LIMITATION b/: WV, WI, WY. INCORPORATED IN: Ltd. (NAIC #41742) $3,991,000. SURETY LICENSES c,f/: Louisiana. BUSINESS ADDRESS: P.O. Box 2866, MI. INCORPORATED IN: Ohio. Honolulu, HI 96803. PHONE: (808) Great American Alliance Insurance 527–7777. UNDERWRITING GRANGE MUTUAL CASUALTY Company (NAIC #26832) LIMITATION b/: $27,495,000. COMPANY (NAIC #14060) BUSINESS ADDRESS: 301 E. Fourth SURETY LICENSES c,f/: GU, HI. BUSINESS ADDRESS: 671 South High Street, Cincinnati, OH 45202. PHONE: INCORPORATED IN: Hawaii. Street, Columbus, OH 43206–1014. PHONE: (614) 445–2900. (513) 369–5000. UNDERWRITING First Liberty Insurance Corporation UNDERWRITING LIMITATION b/: LIMITATION b/: $2,981,000. SURETY (The) (NAIC #33588) $102,818,000. SURETY LICENSES LICENSES c,f/: AL, AK, AZ, AR, CA, BUSINESS ADDRESS: 175 Berkeley c,f/: AL, GA, IL, IN, IA, KS, KY, MO, CO, CT, DE, DC, FL, GA, HI, ID, IL, Street, Boston, MA 02116. PHONE: OH, PA, SC, TN, VA, WI. IN, IA, KS, KY, LA, ME, MD, MA, MI, (617) 357–9500. UNDERWRITING INCORPORATED IN: Ohio. MN, MS, MO, MT, NE, NV, NH, NJ, LIMITATION b/: $2,237,000. SURETY NM, NY, NC, ND, OH, OK, OR, PA, LICENSES c,f/: AL, AK, AZ, AR, CA, GRANITE RE, INC. (NAIC #26310) RI, SC, SD, TN, TX, UT, VT, VA, WA, CO, CT, DE, DC, FL, GA, GU, HI, ID, BUSINESS ADDRESS: 14001 WV, WI, WY. INCORPORATED IN: IL, IN, IA, KS, KY, LA, ME, MD, MA, Quailbrook Drive, Oklahoma City, OK Ohio.
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Great American Insurance Company 0002. PHONE: (508) 853–7200. NC, ND, OH, OK, OR, PA, PR, RI, SC, (NAIC #16691) UNDERWRITING LIMITATION b/: SD, TN, TX, UT, VT, VA, WA, WV, BUSINESS ADDRESS: 301 E. Fourth $143,592,000. SURETY LICENSES WI, WY. INCORPORATED IN: Street, Cincinnati, OH 45202. PHONE: c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Connecticut. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, (513) 369–5000. UNDERWRITING Hartford Insurance Company of Illinois LA, ME, MD, MA, MI, MN, MS, MO, LIMITATION b/: $152,110,000. (NAIC #38288) SURETY LICENSES c,f/: AL, AK, AZ, MT, NE, NV, NH, NJ, NM, NY, NC, BUSINESS ADDRESS: One Hartford AR, CA, CO, CT, DE, DC, FL, GA, GU, ND, OH, OK, OR, PA, RI, SC, SD, TN, Plaza, Hartford, CT 06155–0001. HI, ID, IL, IN, IA, KS, KY, LA, ME, TX, UT, VT, VA, WA, WV, WI, WY. PHONE: (860) 547–5000. MD, MA, MI, MN, MS, MO, MT, NE, INCORPORATED IN: New UNDERWRITING LIMITATION b/: NV, NH, NJ, NM, NY, NC, ND, OH, Hampshire. $128,932,000. SURETY LICENSES OK, OR, PA, PR, RI, SC, SD, TN, TX, HARCO NATIONAL INSURANCE c,f/: CT, HI, IL, MI, NY, PA. UT, VT, VA, WA, WV, WI, WY. COMPANY (NAIC #26433) INCORPORATED IN: Illinois. INCORPORATED IN: Ohio. BUSINESS ADDRESS: 702 OBERLIN Hartford Insurance Company of the GREAT AMERICAN INSURANCE ROAD, RALEIGH, NC 27605–0800. Midwest (NAIC #37478) COMPANY OF NEW YORK (NAIC PHONE: (919) 833–1600. #22136) UNDERWRITING LIMITATION b/: BUSINESS ADDRESS: One Hartford Plaza, Hartford, CT 06155–0001. BUSINESS ADDRESS: 301 E. Fourth $16,466,000. SURETY LICENSES PHONE: (860) 547–5000. Street, Cincinnati, OH 45202. PHONE: c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, UNDERWRITING LIMITATION b/: (513) 369–5000. UNDERWRITING DC, FL, GA, ID, IL, IN, IA, KS, KY, $47,331,000. SURETY LICENSES LIMITATION b/: $4,827,000. SURETY LA, ME, MD, MA, MI, MN, MS, MO, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, LICENSES c,f/: AL, AK, AZ, AR, CA, MP, MT, NE, NV, NH, NJ, NM, NY, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, CO, CT, DE, DC, FL, GA, HI, ID, IL, NC, ND, OH, OK, OR, PA, RI, SC, SD, LA, ME, MD, MA, MI, MN, MS, MO, IN, IA, KS, KY, LA, ME, MD, MA, MI, TN, TX, UT, VT, VA, WA, WV, WI, MT, NE, NV, NH, NJ, NM, NY, NC, MN, MS, MO, MT, NE, NV, NH, NJ, WY. INCORPORATED IN: Illinois. ND, OH, OK, OR, PA, RI, SC, SD, TN, NM, NY, NC, ND, OH, OK, OR, PA, Hartford Accident and Indemnity TX, UT, VT, VA, WA, WV, WI, WY. RI, SC, SD, TN, TX, UT, VT, VA, WA, Company (NAIC #22357) INCORPORATED IN: Indiana. WV, WI, WY. INCORPORATED IN: BUSINESS ADDRESS: One Hartford New York. Plaza, Hartford, CT 06155–0001. Hartford Insurance Company of the Southeast (NAIC #38261) Great Northern Insurance Company PHONE: (860) 547–5000. (NAIC #20303) UNDERWRITING LIMITATION b/: BUSINESS ADDRESS: One Hartford $237,223,000. SURETY LICENSES Plaza, Hartford, CT 06155–0001. BUSINESS ADDRESS: 15 Mountain c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, PHONE: (860) 547–5000. View Road, Warren, NJ 07059. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, UNDERWRITING LIMITATION b/: PHONE: (908) 903–2000. LA, ME, MD, MA, MI, MN, MS, MO, $5,557,000. SURETY LICENSES c,f/: UNDERWRITING LIMITATION b/: MT, NE, NV, NH, NJ, NM, NY, NC, CT, FL, GA, KS, LA, MI, PA. $46,923,000. SURETY LICENSES ND, OH, OK, OR, PA, PR, RI, SC, SD, INCORPORATED IN: Connecticut. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, TN, TX, UT, VT, VA, WA, WV, WI, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, Hudson Insurance Company (NAIC WY. INCORPORATED IN: LA, ME, MD, MA, MI, MN, MS, MO, #25054) Connecticut. MT, NE, NV, NH, NJ, NM, NY, NC, BUSINESS ADDRESS: 100 William ND, OH, OK, OR, PA, RI, SC, SD, TN, Hartford Casualty Insurance Company Street, 5th Floor, New York, NY TX, UT, VT, VA, WA, WV, WI, WY. (NAIC #29424) 10038. PHONE: (212) 978–2800. INCORPORATED IN: Indiana. BUSINESS ADDRESS: One Hartford UNDERWRITING LIMITATION b/: Greenwich Insurance Company (NAIC Plaza, Hartford, CT 06155–0001. $45,787,000. SURETY LICENSES #22322) 4 PHONE: (860) 547–5000. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, UNDERWRITING LIMITATION b/: DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, Guarantee Company of North America $90,439,000. SURETY LICENSES LA, ME, MD, MA, MI, MN, MS, MO, USA (The) (NAIC #36650) c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, MT, NE, NV, NH, NJ, NM, NY, NC, BUSINESS ADDRESS: One Towne DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, ND, OH, OK, OR, PA, PR, RI, SC, SD, Square, Suite 1470, Southfield, MI LA, ME, MD, MA, MI, MN, MS, MO, TN, TX, UT, VT, VA, WA, WV, WI, 48076–3725. PHONE: (248) 281–0281 MT, NE, NV, NH, NJ, NM, NY, NC, WY. INCORPORATED IN: Delaware. x-66012. UNDERWRITING ND, OH, OK, OR, PA, RI, SC, SD, TN, LIMITATION b/: $16,955,000. TX, UT, VT, VA, WA, WV, WI, WY. IMT Insurance Company (NAIC SURETY LICENSES c,f/: AL, AK, AZ, INCORPORATED IN: Indiana. #14257) AR, CA, CO, CT, DE, DC, FL, GA, HI, BUSINESS ADDRESS: P.O. Box 1336, Hartford Fire Insurance Company ID, IL, IN, IA, KS, KY, LA, ME, MD, Des Moines, IA 50306–1336. PHONE: (NAIC #19682) MA, MI, MN, MS, MO, MT, NE, NV, (515) 327–2777. UNDERWRITING NH, NJ, NM, NY, NC, ND, OH, OK, BUSINESS ADDRESS: One Hartford LIMITATION b/: $13,814,000. OR, PA, PR, RI, SC, SD, TN, TX, UT, Plaza, Hartford, CT 06155–0001. SURETY LICENSES c,f/: AZ, IL, IA, VT, VA, VI, WA, WV, WI, WY. PHONE: (860) 547–5000. MN, MO, NE, ND, SD, WI. INCORPORATED IN: Michigan. UNDERWRITING LIMITATION b/: INCORPORATED IN: Iowa. $1,344,052,000. SURETY LICENSES Hanover Insurance Company (The) c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Indemnity Company of California (NAIC #22292) DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, (NAIC #25550) BUSINESS ADDRESS: 440 LINCOLN KY, LA, ME, MD, MA, MI, MN, MS, BUSINESS ADDRESS: P.O. BOX 19725, STREET, WORCESTER, MA 01653– MO, MT, NE, NV, NH, NJ, NM, NY, IRVINE, CA 92623–9725. PHONE:
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(949) 263–3300. UNDERWRITING KY, LA, ME, MD, MA, MI, MN, MS, PHONE: (973) 624–7200. LIMITATION b/: $1,554,000. SURETY MO, MP, MT, NE, NV, NH, NJ, NM, UNDERWRITING LIMITATION b/: LICENSES c,f/: AK, AZ, CA, CO, DC, NY, NC, ND, OH, OK, OR, PA, PR, RI, $6,228,000. SURETY LICENSES c,f/: GA, HI, ID, IN, KS, MD, MI, MS, MT, SC, SD, TN, TX, UT, VT, VA, WA, AL, AK, AZ, AR, CA, CO, CT, DE, DC, NE, NV, NM, NC, ND, OK, OR, SC, WV, WI, WY. INCORPORATED IN: FL, GA, GU, HI, ID, IL, IN, IA, KS, KY, UT, VT, VA, WA, WV, WY. Pennsylvania. LA, ME, MD, MA, MI, MN, MS, MO, INCORPORATED IN: California. MT, NE, NV, NH, NJ, NM, NY, NC, Insurance Company of the State of ND, OH, OK, OR, PA, PR, RI, SC, SD, Indemnity Insurance Company of North Pennsylvania (The) (NAIC #19429) TN, TX, UT, VT, VA, VI, WA, WV, America (NAIC #43575) BUSINESS ADDRESS: 175 WATER WI, WY. INCORPORATED IN: New BUSINESS ADDRESS: 436 WALNUT STREET, 18TH FLOOR, NEW YORK, Jersey. STREET, P.O. Box 1000, Philadelphia, NY 10038. PHONE: (212) 770–7000. PA 19106. PHONE: (215) 640–1000. UNDERWRITING LIMITATION b/: IRONSHORE INDEMNITY INC. (NAIC UNDERWRITING LIMITATION b/: $7,719,000. SURETY LICENSES c,f/: #23647) $12,072,000. SURETY LICENSES AL, AK, AZ, AR, CA, CO, CT, DE, DC, BUSINESS ADDRESS: P.O. BOX 3407, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, NEW YORK, NY 10008. PHONE: (646) DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, ME, MD, MA, MI, MN, MS, MO, MT, 826–6600. UNDERWRITING LA, ME, MD, MA, MI, MN, MS, MO, NE, NV, NH, NJ, NM, NY, NC, ND, LIMITATION b/: $15,397,000. MT, NE, NV, NH, NJ, NM, NY, NC, OH, OK, OR, PA, RI, SC, SD, TN, TX, SURETY LICENSES c,f/: AL, AK, AR, ND, OH, OK, OR, PA, PR, RI, SC, SD, UT, VT, VA, WA, WV, WI, WY. CA, CO, CT, DE, DC, FL, GA, GU, HI, TN, TX, UT, VT, VA, VI, WA, WV, INCORPORATED IN: Pennsylvania. ID, IL, IN, IA, KS, KY, LA, ME, MD, WI, WY. INCORPORATED IN: MA, MI, MN, MS, MO, MT, NE, NV, Insurance Company of the West (NAIC Pennsylvania. NH, NJ, NM, NY, NC, ND, OH, OK, #27847) OR, PA, PR, RI, SC, SD, TN, TX, UT, Indemnity National Insurance BUSINESS ADDRESS: P.O. BOX 85563, VT, VA, WA, WV, WI, WY. Company (NAIC #18468) SAN DIEGO, CA 92186–5563. INCORPORATED IN: Minnesota. BUSINESS ADDRESS: 4800 Old PHONE: (858) 350–2400 x–2550. Kingston Pike, Knoxville, TN 37919. UNDERWRITING LIMITATION b/: IRONSHORE SPECIALTY INSURANCE PHONE: (865) 934–4360. $60,544,000. SURETY LICENSES COMPANY (NAIC #25445) UNDERWRITING LIMITATION b/: c,f/: AL, AK, AZ, AR, CA, CO, DE, DC, BUSINESS ADDRESS: P.O. BOX 3407, $1,174,000. SURETY LICENSES c,f/: FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, New York, NY 10008. PHONE: (646) AL, AZ, AR, CO, GA, KY, LA, MS, ME, MD, MA, MI, MN, MS, MO, MT, 826–6600. UNDERWRITING NV, NM, OK, SC, TN, TX, UT. NE, NV, NH, NJ, NM, NY, NC, ND, LIMITATION b/: $33,395,000. INCORPORATED IN: Mississippi. OH, OK, OR, PA, RI, SC, SD, TN, TX, SURETY LICENSES c,f/: AZ. UT, VT, VA, WA, WV, WI, WY. INCORPORATED IN: Arizona. Indiana Lumbermens Mutual Insurance INCORPORATED IN: California. Company (NAIC #14265) ISLAND INSURANCE COMPANY, BUSINESS ADDRESS: 2005 Markert Insurors Indemnity Company (NAIC LIMITED (NAIC #22845) Street, Suite 1200, Philadelphia, PA #43273) BUSINESS ADDRESS: P.O. Box 1520, 19103. PHONE: (267) 825–9206. BUSINESS ADDRESS: P.O. Box 2683, Honolulu, HI 96806–1520. PHONE: UNDERWRITING LIMITATION b/: Waco, TX 76702–2683. PHONE: (254) (808) 564–8200. UNDERWRITING $1,512,000. SURETY LICENSES c,f/: 759–3703 x-3727. UNDERWRITING LIMITATION b/: $12,723,000. AL, AK, AZ, AR, CA, CO, CT, DE, DC, LIMITATION b/: $1,430,000. SURETY SURETY LICENSES c,f/: HI. FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, LICENSES c,f/: AR, NM, OK, TX. INCORPORATED IN: Hawaii. ME, MD, MA, MI, MN, MS, MO, MT, INCORPORATED IN: Texas. LEXINGTON NATIONAL INSURANCE NE, NV, NH, NJ, NM, NY, NC, ND, CORPORATION (NAIC #37940) OH, OK, OR, PA, RI, SC, SD, TN, TX, INTEGRAND ASSURANCE COMPANY UT, VT, VA, WA, WV, WI, WY. (NAIC #26778) BUSINESS ADDRESS: P.O. BOX 6098, INCORPORATED IN: Indiana. BUSINESS ADDRESS: P.O. Box 70128, LUTHERVILLE, MD 21094. PHONE: San Juan, PR 00936–8128. PHONE: (410) 625–0800. UNDERWRITING Inland Insurance Company (NAIC (787) 781–0707 x-200. LIMITATION b/: $1,691,000. SURETY #23264) UNDERWRITING LIMITATION b/: LICENSES c,f/: AL, AK, AZ, AR, CA, BUSINESS ADDRESS: P.O. Box 80468, $5,982,000. SURETY LICENSES c,f/: CO, CT, DE, DC, FL, GA, HI, ID, IL, Lincoln, NE 68501. PHONE: (402) PR, VI. INCORPORATED IN: Puerto IN, IA, KS, KY, LA, ME, MD, MA, MI, 435–4302. UNDERWRITING Rico. MN, MS, MO, MT, NE, NV, NH, NJ, LIMITATION b/: $18,285,000. NM, NY, NC, ND, OH, OK, OR, PA, SURETY LICENSES c,f/: AZ, CO, IA, Integrity Mutual Insurance Company RI, SC, SD, TN, TX, UT, VT, VA, WA, KS, MN, MO, MT, NE, ND, OK, SD, (NAIC #14303) WV, WY. INCORPORATED IN: WY. INCORPORATED IN: Nebraska. BUSINESS ADDRESS: P.O. Box 539, Florida. Appleton, WI 54912–0539. PHONE: Insurance Company Of North America Lexon Insurance Company (NAIC (920) 734–4511. UNDERWRITING (NAIC #22713) #13307) LIMITATION b/: $4,562,000. SURETY BUSINESS ADDRESS: 436 WALNUT LICENSES c,f/: IL, IA, MN, OH, WI. BUSINESS ADDRESS: 10002 STREET, P.O. Box 1000, Philadelphia, INCORPORATED IN: Wisconsin. Shelbyville Rd, Suite 100, Louisville, PA 19106. PHONE: (215) 640–1000. KY 40223. PHONE: (615) 553–9500. UNDERWRITING LIMITATION b/: International Fidelity Insurance UNDERWRITING LIMITATION b/: 5 $23,356,000. SURETY LICENSES Company (NAIC #11592) $5,257,000. SURETY LICENSES c,f/: c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, BUSINESS ADDRESS: One Newark AL, AK, AS, AZ, AR, CA, CO, CT, DE, DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, Center, Newark, NJ 07102–5207. DC, FL, GA, GU, HI, ID, IL, IN, IA, KS,
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KY, LA, ME, MD, MA, MI, MN, MS, Lyndon Property Insurance Company NE, NV, NH, NJ, NM, NY, NC, ND, MO, MP, MT, NE, NV, NJ, NM, NC, (NAIC #35769) OH, OK, OR, PA, RI, SC, SD, TN, TX, ND, OH, OK, OR, PA, PR, RI, SC, SD, BUSINESS ADDRESS: 14755 North UT, VT, VA, WA, WV, WI, WY. TN, TX, UT, VT, VA, VI, WA, WV, Outer Forty Rd., Suite 400, St. Louis, INCORPORATED IN: Iowa. WI, WY. INCORPORATED IN: Texas. MO 63017. PHONE: (636) 536–5600. Merchants National Bonding, Inc. UNDERWRITING LIMITATION b/: Liberty Insurance Corporation (NAIC (NAIC #11595) $15,498,000. SURETY LICENSES #42404) c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, BUSINESS ADDRESS: P.O. Box 14498, DES MOINES, IA 50306–3498. BUSINESS ADDRESS: 175 Berkeley DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, PHONE: (515) 243–8171. Street, Boston, MA 02116. PHONE: UNDERWRITING LIMITATION b/: (617) 357–9500. UNDERWRITING MT, NE, NV, NH, NJ, NM, NC, ND, OH, OK, OR, PA, PR, RI, SC, SD, TN, $1,229,000. SURETY LICENSES c,f/: LIMITATION b/: $23,966,000. AL, AK, AZ, AR, CO, CT, DE, DC, FL, SURETY LICENSES c,f/: AL, AK, AZ, TX, UT, VT, VA, WA, WV, WI, WY. INCORPORATED IN: Missouri. GA, HI, ID, IL, IN, IA, KS, KY, LA, AR, CA, CO, CT, DE, DC, FL, GA, GU, ME, MD, MA, MI, MN, MS, MO, MT, HI, ID, IL, IN, IA, KS, KY, LA, ME, Manufacturers Alliance Insurance NE, NV, NJ, NM, NY, NC, ND, OH, MD, MA, MI, MN, MS, MO, MP, MT, Company (NAIC #36897) OK, OR, PA, RI, SC, SD, TN, TX, UT, NE, NV, NH, NJ, NM, NY, NC, ND, BUSINESS ADDRESS: P.O. Box 3031, VT, VA, WA, WV, WI, WY. OH, OK, OR, PA, PR, RI, SC, SD, TN, Blue Bell, PA 19422–0754. PHONE: INCORPORATED IN: Iowa. TX, UT, VT, VA, WA, WV, WI, WY. (610) 397–5000. UNDERWRITING Michigan Millers Mutual Insurance INCORPORATED IN: Illinois. LIMITATION b/: $5,919,000. SURETY Company (NAIC #14508) LICENSES c,f/: AL, AK, AZ, AR, CO, Liberty Mutual Fire Insurance CT, DE, DC, ID, IN, KS, KY, LA, ME, BUSINESS ADDRESS: P.O. Box 30060, Company (NAIC #23035) MD, MI, MS, MO, MT, NE, NV, NH, Lansing, MI 48909–7560. PHONE: NJ, NM, NY, NC, OH, PA, RI, SC, SD, (517) 482–6211 x-7754. BUSINESS ADDRESS: 175 Berkeley UNDERWRITING LIMITATION b/: Street, Boston, MA 02116. PHONE: TN, UT, VT, VA, WA. INCORPORATED IN: Pennsylvania. $5,057,000. SURETY LICENSES c,f/: (617) 357–9500. UNDERWRITING AZ, AR, CA, CO, GA, ID, IL, IN, IA, LIMITATION b/: $130,075,000. MARKEL INSURANCE COMPANY KS, KY, MI, MN, MO, MT, NE, NY, SURETY LICENSES c,f/: AL, AK, AZ, (NAIC #38970) NC, ND, OH, OK, OR, PA, SD, TN, AR, CA, CO, CT, DE, DC, FL, GA, HI, BUSINESS ADDRESS: 4521 Highwoods VA, WA, WI, WY. INCORPORATED ID, IL, IN, IA, KS, KY, LA, ME, MD, Parkway, Glen Allen, VA 23060. IN: Michigan. MA, MI, MN, MS, MO, MT, NE, NV, PHONE: (804) 747–0136. Mid-Century Insurance Company NH, NJ, NM, NY, NC, ND, OH, OK, UNDERWRITING LIMITATION b/: (NAIC #21687) OR, PA, PR, RI, SC, SD, TN, TX, UT, $35,287,000. SURETY LICENSES VT, VA, WA, WV, WI, WY. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, BUSINESS ADDRESS: P.O. Box 4402, INCORPORATED IN: Wisconsin. DC, FL, GA, ID, IL, IN, IA, KS, KY, WOODLAND HILLS, CA 91365. LA, ME, MD, MA, MI, MN, MS, MO, PHONE: (323) 932–3200. Liberty Mutual Insurance Company MP, MT, NE, NV, NH, NJ, NM, NY, UNDERWRITING LIMITATION b/: (NAIC #23043) NC, ND, OH, OK, OR, PA, RI, SC, SD, $102,364,000. SURETY LICENSES TN, TX, UT, VT, VA, WA, WV, WI, c,f/: AL, AZ, AR, CA, CO, FL, GA, HI, BUSINESS ADDRESS: 175 Berkeley WY. INCORPORATED IN: Illinois. ID, IL, IN, IA, KS, MA, MI, MN, MS, Street, Boston, MA 02116. PHONE: MO, MT, NE, NV, NJ, NM, NY, NC, (617) 357–9500. UNDERWRITING Massachusetts Bay Insurance Company ND, OH, OK, OR, PA, SD, TN, TX, LIMITATION b/: $1,276,747,000. (NAIC #22306) UT, VT, VA, WA, WI, WY. SURETY LICENSES c,f/: AL, AK, AZ, BUSINESS ADDRESS: 440 LINCOLN INCORPORATED IN: California. AR, CA, CO, CT, DE, DC, FL, GA, HI, STREET, WORCESTER, MA 01653– ID, IL, IN, IA, KS, KY, LA, ME, MD, 0002. PHONE: (508) 853–7200 x- MID-CONTINENT CASUALTY MA, MI, MN, MS, MO, MT, NE, NV, 8554476. UNDERWRITING COMPANY (NAIC #23418) NH, NJ, NM, NY, NC, ND, OH, OK, LIMITATION b/: $6,422,000. SURETY BUSINESS ADDRESS: P.O. Box 1409, OR, PA, PR, RI, SC, SD, TN, TX, UT, LICENSES c,f/: AL, AK, AZ, AR, CA, Tulsa, OK 74101. PHONE: (918) 587– VT, VA, VI, WA, WV, WI, WY. CO, CT, DE, DC, FL, GA, HI, ID, IL, 7221. UNDERWRITING LIMITATION INCORPORATED IN: Massachusetts. IN, IA, KS, KY, LA, ME, MD, MA, MI, b/: $13,811,000. SURETY LICENSES MN, MS, MO, MT, NE, NV, NH, NJ, c,f/: AL, AZ, AR, CO, IL, IN, IA, KS, LM Insurance Corporation (NAIC NM, NY, NC, ND, OH, OK, OR, PA, KY, LA, MN, MS, MO, MT, NE, NM, #33600) RI, SC, SD, TN, TX, VT, VA, WA, WV, NC, OH, OK, SC, TN, TX, UT, VA, WA, WY. INCORPORATED IN: Ohio. BUSINESS ADDRESS: 175 Berkeley WI, WY. INCORPORATED IN: New Hampshire. Street, Boston, MA 02116. PHONE: Motorists Commercial Mutual (617) 357–9500. UNDERWRITING Merchants Bonding Company (Mutual) Insurance Company (NAIC #13331) LIMITATION b/: $11,521,000. (NAIC #14494) BUSINESS ADDRESS: 471 East Broad SURETY LICENSES c,f/: AL, AK, AZ, BUSINESS ADDRESS: P.O. Box 14498, Street, Columbus, OH 43215. PHONE: AR, CA, CO, CT, DE, DC, FL, GA, GU, DES MOINES, IA 50306–3498. (614) 225–8211. UNDERWRITING HI, ID, IL, IN, IA, KS, KY, LA, ME, PHONE: (515) 243–8171. LIMITATION b/: $15,009,000. MD, MA, MI, MN, MS, MO, MP, MT, UNDERWRITING LIMITATION b/: SURETY LICENSES c,f/: AZ, CA, CO, NE, NV, NH, NJ, NM, NY, NC, ND, $8,967,000. SURETY LICENSES c,f/: CT, DE, DC, GA, ID, IL, IN, IA, KS, OH, OK, OR, PA, RI, SC, SD, TN, TX, AL, AK, AZ, AR, CA, CO, CT, DE, DC, KY, ME, MD, MA, MI, MN, MO, NE, UT, VT, VA, VI, WA, WV, WI, WY. FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, NV, NH, NJ, NM, NY, NC, ND, OH, INCORPORATED IN: Illinois. ME, MD, MA, MI, MN, MS, MO, MT, OK, OR, PA, RI, SC, SD, TN, TX, UT,
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VT, VA, WA, WV, WI, WY. MT, NE, NV, NH, NJ, NM, NY, NC, NE, NH, NJ, NM, NY, ND, OH, OK, RI, INCORPORATED IN: Ohio. ND, OH, OK, OR, PA, RI, SC, SD, TN, SC, SD, TX, UT, VT, VA, WA, WY. TX, UT, VT, VA, WA, WV, WI, WY. INCORPORATED IN: Connecticut. Motorists Mutual Insurance Company INCORPORATED IN: Wisconsin. (NAIC #14621) National Surety Corporation (NAIC BUSINESS ADDRESS: 471 East Broad NATIONAL FARMERS UNION #21881) Street, Columbus, OH 43215. PHONE: PROPERTY AND CASUALTY BUSINESS ADDRESS: 225 W. (614) 225–8211. UNDERWRITING COMPANY (NAIC #16217) WASHINGTON STREET, SUITE 1800, LIMITATION b/: $55,386,000. BUSINESS ADDRESS: One General CHICAGO, IL 60606–3484. PHONE: SURETY LICENSES c,f/: IN, KY, MI, Drive, Sun Prairie, WI 53596. PHONE: (888) 466–7883. UNDERWRITING OH, PA, WV. INCORPORATED IN: (608) 837–4440. UNDERWRITING LIMITATION b/: $14,010,000. Ohio. LIMITATION b/: $4,327,000. SURETY SURETY LICENSES c,f/: AL, AK, AS, LICENSES c,f/: AL, AK, AZ, AR, CA, AZ, AR, CA, CO, CT, DE, DC, FL, GA, Motors Insurance Corporation (NAIC CO, DE, DC, GA, HI, ID, IL, IN, IA, KS, GU, HI, ID, IL, IN, IA, KS, KY, LA, #22012) KY, LA, ME, MD, MA, MI, MN, MS, ME, MD, MA, MI, MN, MS, MP, MO, BUSINESS ADDRESS: 300 GALLERIA MO, MT, NE, NV, NH, NJ, NM, NY, MT, NE, NV, NH, NJ, NM, NY, NC, OFFICENTRE, SOUTHFIELD, MI NC, ND, OH, OK, OR, PA, RI, SC, SD, ND, OH, OK, OR, PA, PR, RI, SC, SD, 48034. PHONE: (248) 263–6900. TN, TX, UT, VT, VA, WA, WV, WI, TN, TX, UT, VT, VA, VI, WA, WV, UNDERWRITING LIMITATION b/: WY. INCORPORATED IN: Wisconsin. WY. INCORPORATED IN: Illinois. $74,681,000. SURETY LICENSES c,f/ : AL, AK, AZ, AR, CA, CO, CT, DE, National Fire & Marine Insurance NATIONAL TRUST INSURANCE DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, Company (NAIC #20079) COMPANY (NAIC #20141) LA, ME, MD, MA, MI, MN, MS, MO, BUSINESS ADDRESS: 1314 Douglas BUSINESS ADDRESS: 6300 University MT, NE, NV, NH, NJ, NM, NY, NC, Street, Suite 1400, Omaha, NE 68102– Parkway, Sarasota, FL 34240–8424. ND, OH, OK, OR, PA, RI, SC, SD, TN, 1944. PHONE: (402) 916–3000. PHONE: (800) 226–3224. TX, UT, VT, VA, WA, WV, WI, WY. UNDERWRITING LIMITATION b/: UNDERWRITING LIMITATION b/: INCORPORATED IN: Michigan. $569,586,000. SURETY LICENSES $3,684,000. SURETY LICENSES c,f/: c,f/: NE. INCORPORATED IN: AZ, FL, GA, IL, IN, IA, KY, LA, MD, Munich Reinsurance America, Inc. Nebraska. MI, MS, MO, NE, NC, OK, SC, TN, (NAIC #10227) TX. INCORPORATED IN: Indiana. BUSINESS ADDRESS: 555 COLLEGE National Fire Insurance Company of ROAD EAST, P.O. Box 5241, Hartford (NAIC #20478) National Union Fire Insurance Princeton, NJ 08543. PHONE: (609) BUSINESS ADDRESS: 333 S. WABASH Company of Pittsburgh, PA (NAIC 243–4200. UNDERWRITING AVE, CHICAGO, IL 60604. PHONE: #19445) LIMITATION b/: $486,489,000. (312) 822–5000. UNDERWRITING BUSINESS ADDRESS: 175 WATER SURETY LICENSES c,f/: AL, AK, AZ, LIMITATION b/: $12,510,000. STREET, 18TH FLOOR, NEW YORK, AR, CA, CO, CT, DE, DC, FL, GA, HI, SURETY LICENSES c,f/: AL, AK, AZ, NY 10038. PHONE: (212) 770–7000. ID, IL, IN, IA, KS, KY, LA, ME, MD, AR, CA, CO, CT, DE, DC, FL, GA, HI, UNDERWRITING LIMITATION b/: MA, MI, MN, MS, MO, MT, NE, NV, ID, IL, IN, IA, KS, KY, LA, ME, MD, $668,283,000. SURETY LICENSES NH, NJ, NM, NY, NC, ND, OH, OK, MA, MI, MN, MS, MO, MT, NE, NV, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, OR, PA, PR, RI, SC, SD, TN, TX, UT, NH, NJ, NM, NY, NC, ND, OH, OK, DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, VT, VA, WA, WV, WI, WY. OR, PA, PR, RI, SC, SD, TN, TX, UT, KY, LA, ME, MD, MA, MI, MN, MS, INCORPORATED IN: Delaware. VT, VA, WA, WV, WI, WY. MO, MP, MT, NE, NV, NH, NJ, NM, INCORPORATED IN: Illinois. NY, NC, ND, OH, OK, OR, PA, PR, RI, National American Insurance Company SC, SD, TN, TX, UT, VT, VA, WA, (NAIC #23663) National Indemnity Company (NAIC WV, WI, WY. INCORPORATED IN: #20087) BUSINESS ADDRESS: P.O. Box 9, Pennsylvania. Chandler, OK 74834. PHONE: (405) BUSINESS ADDRESS: 1314 Douglas 258–0804. UNDERWRITING Street, Suite 1400, Omaha, NE 68102– Nationwide Agribusiness Insurance LIMITATION b/: $6,554,000. SURETY 1944. PHONE: (402) 916–3000. Company (NAIC #28223) LICENSES c,f/: AL, AK, AZ, AR, CA, UNDERWRITING LIMITATION b/: BUSINESS ADDRESS: ONE WEST CO, CT, DC, FL, GA, HI, ID, IL, IN, IA, $8,561,681,000. SURETY LICENSES NATIONWIDE BLVD., 1–04–701, KS, KY, LA, MD, MI, MN, MS, MO, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, COLUMBUS, OH 43215–2220. MT, NE, NV, NM, NY, NC, ND, OH, DC, FL, GA, ID, IL, IN, IA, KS, KY, PHONE: (515) 508–3300. OK, OR, PA, RI, SC, SD, TN, TX, UT, LA, ME, MD, MI, MN, MS, MO, MT, UNDERWRITING LIMITATION b/: VA, WA, WV, WI, WY. NE, NV, NH, NM, NC, ND, OH, OK, $7,163,000. SURETY LICENSES c,f/: INCORPORATED IN: Oklahoma. OR, PA, RI, SC, SD, TN, TX, UT, VT, AL, AZ, AR, CA, CO, CT, DE, DC, FL, VA, WA, WV, WI, WY. GA, ID, IL, IN, IA, KS, KY, LA, ME, National Casualty Company (NAIC INCORPORATED IN: Nebraska. MD, MA, MI, MN, MS, MO, MT, NE, #11991) NV, NH, NJ, NM, NY, NC, ND, OH, National Liability & Fire Insurance BUSINESS ADDRESS: ONE WEST OK, OR, PA, RI, SC, SD, TN, TX, UT, Company (NAIC #20052) NATIONWIDE BLVD., 1–04–701, VT, VA, WA, WV, WI, WY. COLUMBUS, OH 43215–2220. BUSINESS ADDRESS: 1314 Douglas INCORPORATED IN: Iowa. PHONE: (480) 365–4000. Street, Suite 1400, Omaha, NE 68102– UNDERWRITING LIMITATION b/: 1944: (402) 916–3000. Nationwide Mutual Insurance $13,408,000. SURETY LICENSES UNDERWRITING LIMITATION b/: Company (NAIC #23787) c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, $95,708,000. SURETY LICENSES BUSINESS ADDRESS: ONE WEST DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, c,f/: AL, AK, CA, CT, DE, DC, HI, ID, NATIONWIDE BLVD., 1–04–701, LA, ME, MD, MA, MI, MN, MS, MO, IL, IA, KS, KY, MD, MA, MI, MS, MO, COLUMBUS, OH 43215–2220.
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PHONE: (614) 249–7111. TN, TX, UT, VT, VA, WA, WV, WI, LIMITATION b/: $1,547,000. SURETY UNDERWRITING LIMITATION b/: WY. INCORPORATED IN: New LICENSES c,f/: AL, AK, AZ, AR, CA, $1,167,441,000. SURETY LICENSES Hampshire. CO, CT, DE, DC, FL, GA, ID, IL, IN, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, IA, KS, KY, LA, ME, MD, MA, MI, NOVA Casualty Company (NAIC DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, MN, MS, MO, MT, NE, NV, NH, NJ, #42552) LA, ME, MD, MA, MI, MN, MS, MO, NM, NY, NC, ND, OH, OK, OR, PA, MT, NE, NV, NH, NJ, NM, NY, NC, BUSINESS ADDRESS: 5 WATERSIDE RI, SC, SD, TN, TX, UT, VT, VA, WA, ND, OH, OK, OR, PA, RI, SC, SD, TN, CROSSING, SUITE 201, WINDSOR, WV, WI, WY. INCORPORATED IN: TX, UT, VT, VA, VI, WA, WV, WI, CT 06095. PHONE: (860) 683–4250. New Hampshire. WY. INCORPORATED IN: Ohio. UNDERWRITING LIMITATION b/: $9,176,000. SURETY LICENSES c,f/: Oklahoma Surety Company (NAIC NAVIGATORS INSURANCE AL, AK, AZ, AR, CA, CO, CT, DE, DC, #23426) COMPANY (NAIC #42307) FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, BUSINESS ADDRESS: P.O. Box 1409, BUSINESS ADDRESS: 400 Atlantic ME, MD, MA, MI, MN, MS, MO, MT, Tulsa, OK 74101. PHONE: (918) 587– Street, 8th Floor, Stamford, CT 06901. NE, NV, NH, NJ, NM, NY, NC, ND, 7221. UNDERWRITING LIMITATION PHONE: (203) 905–6090. OH, OK, OR, PA, RI, SC, SD, TN, TX, b/: $1,550,000. SURETY LICENSES UNDERWRITING LIMITATION b/: UT, VT, VA, WA, WI, WY. c,f/: AR, KS, OH, OK, TX. $95,027,000. SURETY LICENSES INCORPORATED IN: New York. INCORPORATED IN: Ohio. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Ohio Casualty Insurance Company OLD DOMINION INSURANCE DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, (The) (NAIC #24074) COMPANY (NAIC #40231) LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, BUSINESS ADDRESS: 175 Berkeley BUSINESS ADDRESS: 55 WEST ND, OH, OK, OR, PA, RI, SC, SD, TN, Street, Boston, MA 02116. PHONE: STREET, KEENE, NH 03431. PHONE: TX, UT, VT, VA, WA, WV, WI, WY. (617) 357–9500. UNDERWRITING (904) 380–7282. UNDERWRITING INCORPORATED IN: New York. LIMITATION b/: $153,699,000. LIMITATION b/: $3,460,000. SURETY SURETY LICENSES c,f/: AL, AK, AZ, LICENSES c,f/: CT, DE, FL, GA, ME, New Hampshire Insurance Company AR, CA, CO, CT, DE, DC, FL, GA, HI, MD, MA, NH, NY, NC, PA, RI, SC, (NAIC #23841) ID, IL, IN, IA, KS, KY, LA, ME, MD, TN, VT, VA. INCORPORATED IN: BUSINESS ADDRESS: 175 WATER MA, MI, MN, MS, MO, MT, NE, NV, Florida. STREET, 18TH FLOOR, NEW YORK, NH, NJ, NM, NY, NC, ND, OH, OK, Old Republic General Insurance NY 10038. PHONE: (212) 770–7000. OR, PA, RI, SC, SD, TN, TX, UT, VT, Corporation (NAIC #24139) UNDERWRITING LIMITATION b/: VA, WA, WV, WI, WY. $7,959,000. SURETY LICENSES c,f/: INCORPORATED IN: New BUSINESS ADDRESS: 307 NORTH AL, AK, AZ, AR, CA, CO, CT, DE, DC, Hampshire. MICHIGAN AVENUE, CHICAGO, IL FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, 60601. PHONE: (312) 346–8100. ME, MD, MA, MI, MN, MS, MO, MT, Ohio Farmers Insurance Company UNDERWRITING LIMITATION b/: NE, NV, NH, NJ, NM, NY, NC, ND, (NAIC #24104) $50,017,000. SURETY LICENSES OH, OR, PA, PR, RI, SC, SD, TN, TX, BUSINESS ADDRESS: P.O. Box 5001, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, UT, VT, VA, WA, WV, WI, WY. Westfield Center, OH 44251–5001. DC, FL, GA, ID, IL, IN, IA, KS, KY, INCORPORATED IN: Illinois. PHONE: (330) 887–0101. LA, ME, MD, MA, MI, MN, MS, MO, UNDERWRITING LIMITATION b/: MT, NE, NV, NH, NJ, NM, NY, NC, NGM Insurance Company (NAIC $199,714,000. SURETY LICENSES ND, OH, OK, OR, PA, RI, SC, SD, TN, #14788) c,f/: AL, AZ, AR, CO, DE, FL, GA, IL, TX, UT, VT, VA, WA, WV, WI, WY. BUSINESS ADDRESS: 55 WEST IN, IA, KY, LA, MD, MA, MI, MN, INCORPORATED IN: Illinois. STREET, KEENE, NH 03431. PHONE: MS, MO, MT, NE, NV, NJ, NM, NY, Old Republic Insurance Company (904) 380–7282. UNDERWRITING NC, ND, OH, OK, PA, RI, SC, SD, TN, (NAIC #24147) LIMITATION b/: $98,604,000. TX, UT, VA, WA, WV, WI, WY. SURETY LICENSES c,f/: AL, AZ, AR, INCORPORATED IN: Ohio. BUSINESS ADDRESS: P.O. Box 789, CO, CT, DE, DC, FL, GA, ID, IL, IN, Greensburg, PA 15601–0789. PHONE: IA, KS, KY, LA, ME, MD, MA, MI, Ohio Indemnity Company (NAIC (724) 834–5000. UNDERWRITING MS, MO, MT, NE, NV, NH, NJ, NM, #26565) LIMITATION b/: $103,399,000. NY, NC, ND, OH, OK, OR, PA, RI, SC, BUSINESS ADDRESS: 250 East Broad SURETY LICENSES c,f/: AL, AK, AZ, SD, TN, TX, UT, VT, VA, WA, WV, Street, 7th Floor, Columbus, OH AR, CA, CO, CT, DE, DC, FL, GA, GU, WI, WY. INCORPORATED IN: 43215–0000. PHONE: (614) 228–2800. HI, ID, IL, IN, IA, KS, KY, LA, ME, Florida. UNDERWRITING LIMITATION b/: MD, MA, MI, MN, MS, MO, MT, NE, $4,549,000. SURETY LICENSES c,f/: NV, NH, NJ, NM, NY, NC, ND, OH, NORTH AMERICAN SPECIALTY AL, AK, AZ, AR, CA, CO, CT, DE, DC, OK, OR, PA, PR, RI, SC, SD, TN, TX, INSURANCE COMPANY (NAIC FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, UT, VT, VA, VI, WA, WV, WI, WY. #29874) ME, MD, MI, MN, MS, MO, MT, NE, INCORPORATED IN: Pennsylvania. BUSINESS ADDRESS: 650 ELM NV, NH, NJ, NM, NY, NC, ND, OH, Old Republic Surety Company (NAIC STREET, MANCHESTER, NH 03101. OK, OR, PA, RI, SC, SD, TN, TX, UT, #40444) PHONE: (603) 644–6600. VT, VA, WA, WV, WI, WY. UNDERWRITING LIMITATION b/: INCORPORATED IN: Ohio. BUSINESS ADDRESS: P.O. BOX 1635, $31,838,000. SURETY LICENSES MILWAUKEE, WI 53201–1635. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Ohio Security Insurance Company PHONE: (262) 797–2640. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, (NAIC #24082) UNDERWRITING LIMITATION b/: LA, ME, MD, MA, MI, MN, MS, MO, BUSINESS ADDRESS: 175 Berkeley $5,835,000. SURETY LICENSES c,f/: MT, NE, NV, NH, NJ, NM, NY, NC, Street, Boston, MA 02116. PHONE: AL, AZ, AR, CA, CO, DC, FL, GA, ID, ND, OH, OK, OR, PA, PR, RI, SC, SD, (617) 357–9500. UNDERWRITING IL, IN, IA, KS, MD, MN, MS, MO, MT,
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NE, NV, NM, NC, ND, OH, OK, OR, LIMITATION b/: $6,949,000. SURETY Plaza Insurance Company (NAIC PA, SC, SD, TN, TX, UT, VA, WA, LICENSES c,f/: AL, AK, AZ, AR, CO, #30945) WV, WI, WY. INCORPORATED IN: CT, DE, DC, ID, IN, KS, KY, LA, ME, BUSINESS ADDRESS: 518 East Broad Wisconsin. MD, MI, MS, MO, MT, NE, NV, NH, Street, Columbus, OH 43215. PHONE: NJ, NM, NY, NC, OH, PA, RI, SC, SD, Pacific Indemnity Company (NAIC (614) 464–5000. UNDERWRITING TN, UT, VT, VA, WA. #20346) LIMITATION b/: $2,679,000. SURETY INCORPORATED IN: Pennsylvania. LICENSES c,f/: AL, AK, AZ, AR, CA, BUSINESS ADDRESS: 15 Mountain Pennsylvania Manufacturers’ CO, CT, DE, DC, FL, GA, HI, ID, IL, View Road, Warren, NJ 07059. IN, IA, KS, KY, LA, ME, MD, MA, MI, PHONE: (908) 903–2000. Association Insurance Company (NAIC #12262) MN, MS, MO, MT, NE, NV, NJ, NM, UNDERWRITING LIMITATION b/: NY, NC, ND, OH, OK, OR, PA, RI, SC, $293,025,000. SURETY LICENSES BUSINESS ADDRESS: P.O. Box 3031, SD, TN, TX, UT, VT, VA, WA, WV, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Blue Bell, PA 19422–0754. PHONE: WI, WY. INCORPORATED IN: Iowa. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, (610) 397–5000. UNDERWRITING LA, ME, MD, MA, MI, MN, MS, MO, ProCentury Insurance Company (NAIC LIMITATION b/: $25,173,000. #21903) MT, NE, NV, NH, NJ, NM, NY, NC, SURETY LICENSES c,f/: AL, AK, AR, ND, OH, OK, OR, PA, RI, SC, SD, TN, CA, CO, CT, DE, DC, FL, GA, HI, ID, BUSINESS ADDRESS: 550 Polaris TX, UT, VT, VA, WA, WV, WI, WY. IL, IA, KS, KY, LA, ME, MD, MA, MI, Parkway, Westerville, OH 43082. INCORPORATED IN: Wisconsin. MS, MO, MT, NE, NV, NH, NJ, NM, PHONE: (614) 895–2000. PACIFIC INDEMNITY INSURANCE NY, NC, OH, OK, PA, RI, SC, SD, TN, UNDERWRITING LIMITATION b/: COMPANY (NAIC #18380) TX, UT, VT, WA, WV. $4,326,000. SURETY LICENSES c,f/: INCORPORATED IN: Pennsylvania. AK, AZ, AR, CA, DE, DC, GA, IL, IN, BUSINESS ADDRESS: 348 WEST IA, KS, LA, MD, MA, MI, MN, MS, O’BRIEN DRIVE, HAGATNA, GU Pennsylvania National Mutual Casualty MO, MT, NE, NV, NJ, NM, NY, ND, 96910. PHONE: (671) 477–1663. Insurance Company (NAIC #14990) OK, OR, PA, SC, SD, TX, UT, WV, WI, UNDERWRITING LIMITATION b/: WY. INCORPORATED IN: Michigan. $1,985,000. SURETY LICENSES c,f/: BUSINESS ADDRESS: P.O. Box 2361, GU, MP. INCORPORATED IN: Guam. Harrisburg, PA 17105–2361. PHONE: Progressive Casualty Insurance (717) 234–4941. UNDERWRITING Company (NAIC #24260) PARTNER REINSURANCE COMPANY LIMITATION b/: $57,141,000. BUSINESS ADDRESS: P.O. BOX 89490, OF THE U.S. (NAIC #38636) SURETY LICENSES c,f/: AL, AK, AZ, CLEVELAND, OH 44101–6490. BUSINESS ADDRESS: ONE AR, CO, DE, DC, FL, GA, ID, IL, IN, PHONE: (440) 461–5000. GREENWICH PLAZA, GREENWICH, IA, KS, KY, LA, ME, MD, MA, MI, UNDERWRITING LIMITATION b/: CT 06830–6352. PHONE: (203) 485– MN, MS, MO, MT, NE, NJ, NM, NY, $161,009,000. SURETY LICENSES 4200. UNDERWRITING LIMITATION NC, OH, OK, OR, PA, RI, SC, SD, TN, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, b/: $129,571,000. SURETY LICENSES TX, UT, VT, VA, WA, WV, WI. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, c,f/: AL, AZ, CA, CO, DC, IL, KS, MI, INCORPORATED IN: Pennsylvania. LA, ME, MD, MA, MI, MN, MS, MO, MS, NE, NY, TX, UT, WA. MT, NE, NV, NH, NJ, NM, NY, NC, INCORPORATED IN: New York. PHILADELPHIA INDEMNITY ND, OH, OK, OR, PA, PR, RI, SC, SD, INSURANCE COMPANY (NAIC TN, TX, UT, VT, VA, WA, WV, WI, PARTNERRE INSURANCE COMPANY #18058) WY. INCORPORATED IN: Ohio. OF NEW YORK (NAIC #10006) BUSINESS ADDRESS: One Bala Plaza, BUSINESS ADDRESS: One Greenwich Progressive Northwestern Insurance Suite 100, Bala Cynwyd, PA 19004– Company (NAIC #42919) Plaza, Greenwich, CT 06830–6352. 1403. PHONE: (610) 617–7900. BUSINESS ADDRESS: P.O. BOX 89490, PHONE: (203) 485–4200. UNDERWRITING LIMITATION b/: CLEVELAND, OH 44101–6490. UNDERWRITING LIMITATION b/: $204,752,000. SURETY LICENSES PHONE: (440) 461–5000. $10,937,000. SURETY LICENSES c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, UNDERWRITING LIMITATION b/: c,f/: AL, AZ, CA, CO, DE, DC, ID, IL, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, $39,618,000. SURETY LICENSES IN, IA, KS, KY, MD, MI, MN, MS, MT, LA, ME, MD, MA, MI, MN, MS, MO, c,f/: AK, AZ, AR, CA, CO, CT, DE, DC, NE, NJ, NM, NY, ND, OH, OK, OR, MT, NE, NV, NH, NJ, NM, NY, NC, GA, HI, ID, IN, IA, KS, KY, LA, ME, PA, RI, SC, SD, TX, UT, VT, VA, WA, ND, OH, OK, OR, PA, RI, SC, SD, TN, MD, MN, MS, MO, MT, NE, NV, NJ, WV, WI. INCORPORATED IN: New TX, UT, VT, VA, WA, WV, WI, WY. NM, NY, NC, ND, OH, OK, OR, RI, SC, York. INCORPORATED IN: Pennsylvania. SD, TN, TX, UT, VA, WA, WV, WI. Pekin Insurance Company (NAIC PLATTE RIVER INSURANCE INCORPORATED IN: Ohio. #24228) COMPANY (NAIC #18619) Protective Insurance Company (NAIC BUSINESS ADDRESS: 2505 COURT #12416) STREET, PEKIN, IL 61558. PHONE: BUSINESS ADDRESS: P.O. Box 5900, (309) 346–1161. UNDERWRITING Madison, WI 53705–0900. PHONE: BUSINESS ADDRESS: 111 LIMITATION b/: $12,566,000. (608) 829–4200. UNDERWRITING Congressional Blvd., Suite 500, SURETY LICENSES c,f/: AZ, IL, IN, LIMITATION b/: $4,222,000. SURETY Carmel, IN 46032. PHONE: (317) 636– IA, MI, OH, WI. INCORPORATED IN: LICENSES c,f/: AL, AK, AZ, AR, CA, 9800 x–2632. UNDERWRITING Illinois. CO, CT, DE, DC, FL, GA, HI, ID, IL, LIMITATION b/: $20,488,000. IN, IA, KS, KY, LA, ME, MD, MA, MI, SURETY LICENSES c,f/: AL, AK, AZ, Pennsylvania Manufacturers Indemnity MN, MS, MO, MT, NE, NV, NH, NJ, AR, CA, CO, CT, DE, DC, FL, GA, HI, Company (NAIC #41424) NM, NY, NC, ND, OH, OK, OR, PA, ID, IL, IN, IA, KS, KY, LA, ME, MD, BUSINESS ADDRESS: P.O. Box 3031, RI, SC, SD, TN, TX, UT, VT, VA, WA, MA, MI, MN, MS, MO, MT, NE, NV, Blue Bell, PA 19422–0754. PHONE: WV, WI, WY. INCORPORATED IN: NH, NJ, NM, NY, NC, ND, OH, OK, (610) 397–5000. UNDERWRITING Nebraska. OR, PA, PR, RI, SC, SD, TN, TX, UT,
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VT, VA, WA, WV, WI, WY. TX, UT, VA, WV. INCORPORATED c,f/: AL, AK, AZ, CT, DE, DC, GA, IL, INCORPORATED IN: Indiana. IN: Pennsylvania. IN, IA, KS, KY, MD, MA, MI, MN, MS, Regent Insurance Company (NAIC SAFECO Insurance Company of MO, MT, NE, NJ, NY, NC, ND, OH, #24449) America (NAIC #24740) OR, PA, RI, SC, SD, TN, TX, VA, WA, WV, WI, WY. INCORPORATED IN: BUSINESS ADDRESS: One General BUSINESS ADDRESS: 175 Berkeley New Jersey. Drive, Sun Prairie, WI 53596. PHONE: Street, Boston, MA 02116. PHONE: (608) 837–4440. UNDERWRITING (617) 357–9500. UNDERWRITING Seneca Insurance Company, Inc. (NAIC LIMITATION b/: $2,858,000. SURETY LIMITATION b/: $139,336,000. #10936) LICENSES c,f/: AL, AK, AZ, AR, CA, SURETY LICENSES c,f/: AL, AK, AZ, CO, DE, DC, FL, GA, HI, ID, IL, IN, IA, AR, CA, CO, CT, DE, DC, FL, GA, GU, BUSINESS ADDRESS: 160 Water Street, KS, KY, LA, MD, MA, MI, MN, MS, HI, ID, IL, IN, IA, KS, KY, LA, ME, New York, NY 10038–4922. PHONE: MO, MT, NE, NV, NH, NJ, NY, NC, MD, MA, MI, MN, MS, MO, MT, NE, (212) 344–3000. UNDERWRITING ND, OH, OK, OR, PA, RI, SC, SD, TN, NV, NH, NJ, NM, NY, NC, ND, OH, LIMITATION b/: $13,837,000. TX, UT, VT, VA, WA, WV, WI, WY. OK, OR, PA, RI, SC, SD, TN, TX, UT, SURETY LICENSES c,f/: AL, AK, AZ, INCORPORATED IN: Wisconsin. VT, VA, WA, WV, WI, WY. AR, CA, CO, CT, DE, DC, FL, GA, HI, Republic—Franklin Insurance INCORPORATED IN: New ID, IL, IN, IA, KS, KY, LA, ME, MD, Company (NAIC #12475) Hampshire. MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, Safety National Casualty Corporation BUSINESS ADDRESS: P.O. Box 530, OR, PA, PR, RI, SC, SD, TN, TX, UT, Utica, NY 13503–0530. PHONE: (315) (NAIC #15105) VT, VA, WA, WV, WI, WY. 734–2000. UNDERWRITING BUSINESS ADDRESS: 1832 Schuetz INCORPORATED IN: New York. LIMITATION b/: $5,045,000. SURETY Road, St. Louis, MO 63146–3540. LICENSES c,f/: CT, DE, DC, GA, IL, PHONE: (314) 995–5300. Sentry Insurance A Mutual Company IN, KS, MD, MA, MI, NH, NJ, NY, NC, UNDERWRITING LIMITATION b/: (NAIC #24988) OH, PA, RI, TN, TX, VA, WI. $152,697,000. SURETY LICENSES INCORPORATED IN: Ohio. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, BUSINESS ADDRESS: 1800 NORTH POINT DRIVE, STEVENS POINT, WI RLI Indemnity Company (NAIC DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, 54481–8020. PHONE: (715) 346–6000. #28860) 6 KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, UNDERWRITING LIMITATION b/: RLI Insurance Company (NAIC #13056) NC, ND, OH, OK, OR, PA, PR, RI, SC, $417,232,000. SURETY LICENSES BUSINESS ADDRESS: 9025 N. SD, TN, TX, UT, VT, VA, VI, WA, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Lindbergh Drive, Peoria, IL 61615. WV, WI, WY. INCORPORATED IN: DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, PHONE: (309) 692–1000. Missouri. LA, ME, MD, MA, MI, MN, MS, MO, UNDERWRITING LIMITATION b/: MT, NE, NV, NH, NJ, NM, NY, NC, Sagamore Insurance Company (NAIC $75,101,000. SURETY LICENSES ND, OH, OK, OR, PA, RI, SC, SD, TN, #40460) c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, TX, UT, VT, VA, WA, WV, WI, WY. DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, BUSINESS ADDRESS: 111 INCORPORATED IN: Wisconsin. KY, LA, ME, MD, MA, MI, MN, MS, Congressional Blvd., Suite 500, MO, MT, NE, NV, NH, NJ, NM, NY, Carmel, IN 46032. PHONE: (317) 636– Sentry Select Insurance Company NC, ND, OH, OK, OR, PA, PR, RI, SC, 9800 x-7433. UNDERWRITING (NAIC #21180) SD, TN, TX, UT, VT, VA, VI, WA, LIMITATION b/: $12,507,000. BUSINESS ADDRESS: 1800 NORTH WV, WI, WY. INCORPORATED IN: SURETY LICENSES c,f/: AL, AK, AZ, POINT DRIVE, STEVENS POINT, WI Illinois. CO, CT, DE, DC, GA, HI, ID, IL, IN, IA, KS, KY, ME, MD, MA, MI, MN, MS, 54481–8020. PHONE: (715) 346–6000. Roche Surety and Casualty Company, MO, MT, NE, NJ, NM, NY, NC, OH, UNDERWRITING LIMITATION b/: Inc. (NAIC #42706) OR, PA, RI, SC, SD, TN, TX, UT, VT, $23,196,000. SURETY LICENSES BUSINESS ADDRESS: 4107 N. HIMES WA, WV, WI, WY. INCORPORATED c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, AVE 2ND FLOOR, TAMPA, FL 33607. IN: Indiana. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, PHONE: (813) 623–5042. LA, ME, MD, MA, MI, MN, MS, MO, UNDERWRITING LIMITATION b/: SECURA INSURANCE, A Mutual MT, NE, NV, NH, NJ, NM, NY, NC, Company (NAIC #22543) $940,000. SURETY LICENSES c,f/: ND, OH, OK, OR, PA, RI, SC, SD, TN, AK, AZ, AR, CT, DE, FL, GA, HI, ID, BUSINESS ADDRESS: P.O. Box 819, TX, UT, VT, VA, WA, WV, WI, WY. IN, IA, KS, LA, MD, MI, MN, MS, MO, Appleton, WI 54912–0819. PHONE: INCORPORATED IN: Wisconsin. MT, NE, NV, NH, NJ, NM, NY, NC, (920) 739–3161. UNDERWRITING ND, OH, OK, OR, PA, SC, SD, TN, TX, LIMITATION b/: $35,307,000. SERVICE INSURANCE COMPANY UT, VT, VA, WA. INCORPORATED SURETY LICENSES c,f/: AZ, AR, CO, (NAIC #36560) IN: Florida. ID, IL, IN, IA, KS, KY, MI, MN, MO, BUSINESS ADDRESS: 702 OBERLIN MT, NE, NV, NM, ND, OH, OK, OR, Rockwood Casualty Insurance PA, SD, TN, UT, WA, WI, WY. ROAD, RALEIGH, NC 27605–0800. Company (NAIC #35505) INCORPORATED IN: Wisconsin. PHONE: (919) 833–1600. BUSINESS ADDRESS: 654 Main Street, UNDERWRITING LIMITATION b/: Rockwood, PA 15557. PHONE: (814) Selective Insurance Company of $3,732,000. SURETY LICENSES c,f/: 926–4661. UNDERWRITING America (NAIC #12572) AL, AK, AZ, AR, CA, CO, DE, DC, FL, LIMITATION b/: $7,155,000. SURETY BUSINESS ADDRESS: 40 WANTAGE GA, HI, ID, IL, IN, IA, KS, KY, LA, LICENSES c,f/: AL, AK, AZ, AR, CO, AVENUE, BRANCHVILLE, NJ 07890. ME, MI, MS, MO, MT, NE, NV, NM, DC, GA, ID, IL, IN, IA, KS, KY, LA, PHONE: (973) 948–3000. NC, ND, OK, OR, PA, RI, SC, SD, TN, MD, MI, MN, MS, MO, MT, NV, NM, UNDERWRITING LIMITATION b/: TX, UT, VA, WA, WV, WI, WY. NY, NC, ND, OH, OK, OR, PA, SC, SD, $52,078,000. SURETY LICENSES INCORPORATED IN: Florida.
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SERVICE INSURANCE COMPANY INC. WI, WY. INCORPORATED IN: UNDERWRITING LIMITATION b/: (THE) (NAIC #28240) Connecticut. $184,757,000. SURETY LICENSES c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, BUSINESS ADDRESS: 80 Main Street, St. Paul Mercury Insurance Company DC, FL, GA, HI, ID, IL, IN, IA, KY, LA, West Orange, NJ 07052. PHONE: (973) (NAIC #24791) 731–7650. UNDERWRITING ME, MD, MA, MI, MN, MS, MO, MT, LIMITATION b/: $701,000. SURETY BUSINESS ADDRESS: One Tower NE, NV, NH, NJ, NM, NY, NC, ND, LICENSES c,f/: CT, DE, MD, MA, NH, Square, Hartford, CT 06183. PHONE: OH, OK, OR, PA, PR, RI, SC, SD, TN, NJ, NY, PA, RI, VA. INCORPORATED (860) 277–0111. UNDERWRITING TX, UT, VT, VA, WA, WV, WI, WY. IN: New Jersey. LIMITATION b/: $12,495,000. INCORPORATED IN: Texas. SURETY LICENSES c,f/: AL, AK, AZ, SIRIUS AMERICA INSURANCE AR, CA, CO, CT, DE, DC, FL, GA, HI, State Auto Property and Casualty COMPANY (NAIC #38776) ID, IL, IN, IA, KS, KY, LA, ME, MD, Insurance Company (NAIC #25127) BUSINESS ADDRESS: 140 MA, MI, MN, MS, MO, MT, NE, NV, BUSINESS ADDRESS: 518 EAST BROADWAY, 32ND FLOOR, NEW NH, NJ, NM, NY, NC, ND, OH, OK, BROAD STREET, COLUMBUS, OH YORK, NY 10005–1108. PHONE: OR, PA, RI, SC, SD, TN, TX, UT, VT, 43215. PHONE: (614) 464–5000. (212) 312–2500. UNDERWRITING VA, WA, WV, WI, WY. UNDERWRITING LIMITATION b/: LIMITATION b/: $51,758,000. INCORPORATED IN: Connecticut. $65,535,000. SURETY LICENSES c,f/: AL, AK, AZ, AR, CO, CT, DE, DC, SURETY LICENSES c,f/: AL, AK, AZ, Standard Fire Insurance Company FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, AR, CO, CT, DC, GA, ID, IL, IN, IA, (The) (NAIC #19070) KS, KY, LA, MD, MA, MI, MS, MT, ME, MD, MA, MI, MN, MS, MO, MT, NE, NJ, NM, NY, NC, ND, OH, OK, BUSINESS ADDRESS: ONE TOWER NE, NV, NJ, NY, NC, ND, OH, OK, OR, OR, PA, SC, SD, TX, UT, VA, WA, SQUARE, HARTFORD, CT 06183. PA, RI, SC, SD, TN, TX, UT, VT, VA, WV, WI. INCORPORATED IN: New PHONE: (860) 277–0111. WV, WI, WY. INCORPORATED IN: York. UNDERWRITING LIMITATION b/: Iowa. $118,554,000. SURETY LICENSES SOUTHWEST MARINE AND c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, State Automobile Mutual Insurance GENERAL INSURANCE COMPANY DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, Company (NAIC #25135) (NAIC #12294) LA, ME, MD, MA, MI, MN, MS, MO, BUSINESS ADDRESS: 518 EAST BUSINESS ADDRESS: 412 Mt. Kemble MT, NE, NV, NH, NJ, NM, NY, NC, BROAD STREET, COLUMBUS, OH Ave, Suite 300C, Morristown, NJ ND, OH, OK, OR, PA, PR, RI, SC, SD, 43215. PHONE: (614) 464–5000. 07960. PHONE: (800) 774–2755. TN, TX, UT, VT, VA, VI, WA, WV, UNDERWRITING LIMITATION b/: UNDERWRITING LIMITATION b/: WI, WY. INCORPORATED IN: $43,994,000. SURETY LICENSES $6,177,000. SURETY LICENSES c,f/: Connecticut. c,f/: AL, AK, AZ, AR, CO, CT, DE, DC, AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, Star Insurance Company (NAIC GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, #18023) ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, NE, NV, NH, NJ, NC, ND, OH, OK, BUSINESS ADDRESS: 26255 American OH, OK, OR, PA, RI, SC, SD, TN, TX, OR, PA, RI, SC, SD, TN, TX, UT, VT, Drive, Southfield, MI 48034. PHONE: UT, VT, VA, WA, WV, WI, WY. VA, WA, WV, WI, WY. (248) 358–1100. UNDERWRITING INCORPORATED IN: Ohio. INCORPORATED IN: Arizona. LIMITATION b/: $31,411,000. SURETY LICENSES c,f/: AL, AK, AZ, State Farm Fire and Casualty Company St. Paul Fire and Marine Insurance AR, CA, CO, CT, DE, DC, FL, GA, HI, (NAIC #25143) Company (NAIC #24767) ID, IL, IN, IA, KS, KY, LA, ME, MD, BUSINESS ADDRESS: ONE STATE BUSINESS ADDRESS: ONE TOWER MA, MI, MN, MS, MO, MT, NE, NV, FARM PLAZA, BLOOMINGTON, IL SQUARE, HARTFORD, CT 06183. NH, NJ, NM, NY, NC, ND, OH, OK, 61710. PHONE: (309) 766–2311. PHONE: (860) 277–0111. OR, PA, RI, SC, SD, TN, TX, UT, VT, UNDERWRITING LIMITATION b/: UNDERWRITING LIMITATION b/: VA, WA, WV, WI, WY. $1,419,677,000. SURETY LICENSES $386,393,000. SURETY LICENSES INCORPORATED IN: Michigan. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, StarNet Insurance Company (NAIC LA, ME, MD, MA, MI, MN, MS, MO, KY, LA, ME, MD, MA, MI, MN, MS, #40045) MT, NE, NV, NH, NJ, NM, NY, NC, MO, MT, NE, NV, NH, NJ, NM, NY, BUSINESS ADDRESS: 11201 Douglas ND, OH, OK, OR, PA, RI, SC, SD, TN, NC, ND, OH, OK, OR, PA, PR, RI, SC, Avenue, Urbandale, IA 50322. TX, UT, VT, VA, WA, WV, WI, WY. SD, TN, TX, UT, VT, VA, VI, WA, PHONE: (515) 473–3000. INCORPORATED IN: Illinois. WV, WI, WY. INCORPORATED IN: UNDERWRITING LIMITATION b/: Stillwater Property and Casualty Connecticut. $11,430,000. SURETY LICENSES Insurance Company (NAIC #16578) c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, ST. PAUL GUARDIAN INSURANCE DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, BUSINESS ADDRESS: P.O. Box 45126, COMPANY (NAIC #24775) LA, ME, MD, MA, MI, MN, MS, MO, Jacksonville, FL 32232–5126. PHONE: BUSINESS ADDRESS: One Tower MT, NE, NV, NH, NJ, NM, NY, NC, (800) 849–6140. UNDERWRITING Square, Hartford, CT 06183. PHONE: ND, OH, OK, OR, PA, RI, SC, SD, TN, LIMITATION b/: $11,020,000. (860) 277–0111. UNDERWRITING TX, UT, VT, VA, WA, WV, WI, WY. SURETY LICENSES c,f/: AL, AK, AZ, LIMITATION b/: $2,521,000. SURETY INCORPORATED IN: Delaware. AR, CO, CT, DC, FL, GA, HI, ID, IL, LICENSES c,f/: AL, AK, AZ, AR, CA, IN, IA, KS, KY, LA, ME, MD, MA, MI, CO, CT, DE, DC, FL, GA, HI, ID, IL, Starr Indemnity & Liability Company MN, MS, MO, MT, NE, NV, NH, NJ, IN, IA, KS, KY, LA, ME, MD, MA, MI, (NAIC #38318) NM, NY, NC, ND, OH, OK, OR, PA, MN, MS, MO, MT, NE, NV, NH, NM, BUSINESS ADDRESS: 399 Park Avenue, RI, SC, SD, TN, TX, UT, VT, VA, VI, NY, NC, ND, OH, OK, OR, PA, RI, SC, 8th Floor, New York, NY 10022. WA, WV, WI, WY. INCORPORATED SD, TN, TX, UT, VT, VA, WA, WV, PHONE: (646) 227–6400. IN: New York.
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SureTec Insurance Company (NAIC PHONE: (860) 277–0111. NV, NH, NJ, NM, NY, NC, ND, OH, #10916) UNDERWRITING LIMITATION b/: OK, OR, PA, RI, SD, TN, TX, UT, VT, BUSINESS ADDRESS: 1330 POST OAK $398,134,000. SURETY LICENSES VA, WA, WV, WI, WY. BLVD, SUITE 1100, HOUSTON, TX c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, INCORPORATED IN: Connecticut. DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, 77056. PHONE: (713) 812–0800. Travelers Indemnity Company of KY, LA, ME, MD, MA, MI, MN, MS, UNDERWRITING LIMITATION b/: Connecticut (The) (NAIC #25682) $8,656,000. SURETY LICENSES c,f/: MO, MT, NE, NV, NH, NJ, NM, NY, AL, AK, AZ, AR, CA, CO, CT, DE, DC, NC, ND, OH, OK, OR, PA, PR, RI, SC, BUSINESS ADDRESS: ONE TOWER FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, SD, TN, TX, UT, VT, VA, VI, WA, SQUARE, HARTFORD, CT 06183. ME, MD, MA, MI, MN, MS, MO, MT, WV, WI, WY. INCORPORATED IN: PHONE: (860) 277–0111. NE, NV, NH, NJ, NM, NY, NC, ND, Connecticut. UNDERWRITING LIMITATION b/: OH, OK, OR, PA, RI, SC, SD, TN, TX, $35,437,000. SURETY LICENSES Travelers Casualty and Surety c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, UT, VT, VA, WA, WV, WI, WY. Company of America (NAIC #31194) INCORPORATED IN: Texas. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, BUSINESS ADDRESS: ONE TOWER LA, ME, MD, MA, MI, MN, MS, MO, SURETY BONDING COMPANY OF SQUARE, HARTFORD, CT 06183. MT, NE, NV, NH, NJ, NM, NY, NC, AMERICA (NAIC #24047) PHONE: (860) 277–0111. ND, OH, OK, OR, PA, PR, RI, SC, SD, BUSINESS ADDRESS: 333 S. WABASH UNDERWRITING LIMITATION b/: TN, TX, UT, VT, VA, VI, WA, WV, AVE, CHICAGO, IL 60604. PHONE: $210,360,000. SURETY LICENSES WI, WY. INCORPORATED IN: (312) 822–5000. UNDERWRITING c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Connecticut. DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, LIMITATION b/: $830,000. SURETY Travelers Property Casualty Company KY, LA, ME, MD, MA, MI, MN, MS, LICENSES c,f/: AL, AZ, AR, CA, CO, of America (NAIC #25674) DE, DC, GA, ID, IL, IN, KS, MN, MO, MO, MT, NE, NV, NH, NJ, NM, NY, MT, NE, NV, NM, NY, ND, OK, OR, NC, ND, OH, OK, OR, PA, PR, RI, SC, BUSINESS ADDRESS: ONE TOWER SC, SD, TN, TX, UT, WV, WY. SD, TN, TX, UT, VT, VA, VI, WA, SQUARE, HARTFORD, CT 06183. INCORPORATED IN: South Dakota. WV, WI, WY. INCORPORATED IN: PHONE: (860) 277–0111. Connecticut. UNDERWRITING LIMITATION b/: Swiss Reinsurance America $44,386,000. SURETY LICENSES Corporation (NAIC #25364) Travelers Casualty Insurance Company c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, of America (NAIC #19046) BUSINESS ADDRESS: 175 KING DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, STREET, ARMONK, NY 10504–1606. BUSINESS ADDRESS: ONE TOWER LA, ME, MD, MA, MI, MN, MS, MO, PHONE: (914) 828–8000. SQUARE, HARTFORD, CT 06183. MT, NE, NV, NH, NJ, NM, NY, NC, UNDERWRITING LIMITATION b/: PHONE: (860) 277–0111. ND, OH, OK, OR, PA, RI, SD, TN, TX, $358,107,000. SURETY LICENSES UNDERWRITING LIMITATION b/: UT, VT, VA, WA, WV, WI, WY. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, $58,595,000. SURETY LICENSES INCORPORATED IN: Connecticut. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, U.S. Specialty Insurance Company LA, ME, MD, MA, MI, MN, MS, MO, (NAIC #29599) MT, NE, NV, NH, NJ, NM, NY, NC, LA, ME, MD, MA, MI, MN, MS, MO, ND, OH, OK, OR, PA, RI, SC, SD, TN, MT, NE, NV, NH, NJ, NM, NY, NC, BUSINESS ADDRESS: 13403 Northwest TX, UT, VT, VA, WA, WI. ND, OH, OK, OR, PA, RI, SC, SD, TN, Freeway, Houston, TX 77040. INCORPORATED IN: New York. TX, UT, VT, VA, WA, WV, WI, WY. PHONE: (713) 462–1000. INCORPORATED IN: Connecticut. UNDERWRITING LIMITATION b/: TEXAS PACIFIC INDEMNITY $52,572,000. SURETY LICENSES COMPANY (NAIC #20389) Travelers Indemnity Company (The) c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, (NAIC #25658) BUSINESS ADDRESS: 15 Mountain DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, View Road, Warren, NJ 07059. BUSINESS ADDRESS: ONE TOWER LA, ME, MD, MA, MI, MN, MS, MO, PHONE: (214) 754–0777. SQUARE, HARTFORD, CT 06183. MT, NE, NV, NH, NJ, NM, NY, NC, UNDERWRITING LIMITATION b/: PHONE: (860) 277–0111. ND, OH, OK, OR, PA, RI, SC, SD, TN, $739,000. SURETY LICENSES c,f/: UNDERWRITING LIMITATION b/: TX, UT, VT, VA, WA, WV, WI, WY. AR, OK, TX. INCORPORATED IN: $684,459,000. SURETY LICENSES INCORPORATED IN: Texas. Texas. c,f/: AL, AK, AZ, AR, CO, CT, DE, DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, KY, UNITED CASUALTY AND SURETY TRANSATLANTIC REINSURANCE LA, ME, MD, MA, MI, MN, MS, MO, INSURANCE COMPANY (NAIC COMPANY (NAIC #19453) MT, NE, NV, NH, NJ, NM, NY, NC, #36226) BUSINESS ADDRESS: One Liberty ND, OH, OK, OR, PA, PR, RI, SC, SD, BUSINESS ADDRESS: 1250 Hancock Plaza, 165 Broadway, NEW YORK, TN, TX, UT, VT, VA, WA, WV, WI, Street, Suite 803N, Quincy, MA NY 10006. PHONE: (212) 365–2200. WY. INCORPORATED IN: 02169. PHONE: (617) 471–1112 x– UNDERWRITING LIMITATION b/: Connecticut. 109. UNDERWRITING LIMITATION $457,511,000. SURETY LICENSES b/: $490,000. SURETY LICENSES TRAVELERS INDEMNITY COMPANY c,f/: AK, AZ, AR, CA, CO, DE, DC, c,f/: CT, FL, ME, MA, NH, NJ, NY, PA, OF AMERICA (THE) (NAIC #25666) GA, ID, IL, IN, IA, KS, KY, LA, MI, RI. INCORPORATED IN: MN, MS, NE, NV, NJ, NM, NY, OH, BUSINESS ADDRESS: ONE TOWER Massachusetts. SQUARE, HARTFORD, CT 06183. OK, PA, SD, UT, WA, WI. United Fire & Casualty Company (NAIC INCORPORATED IN: New York. PHONE: (860) 277–0111. UNDERWRITING LIMITATION b/: #13021) Travelers Casualty and Surety $19,073,000. SURETY LICENSES BUSINESS ADDRESS: P.O. BOX 73909, Company (NAIC #19038) c,f/: AL, AK, AZ, AR, CO, CT, DC, FL, CEDAR RAPIDS, IA 52407–3909. BUSINESS ADDRESS: ONE TOWER GA, HI, ID, IL, IN, IA, KS, KY, LA, PHONE: (319) 399–5700. SQUARE, HARTFORD, CT 06183. MD, MA, MI, MN, MS, MO, MT, NE, UNDERWRITING LIMITATION b/:
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$60,135,000. SURETY LICENSES LICENSES c,f/: PR. INCORPORATED WI, WY. INCORPORATED IN: New c,f/: AL, AK, AZ, AR, CA, CO, DC, FL, IN: Puerto Rico. York. GA, HI, ID, IL, IN, IA, KS, KY, LA, Universal Surety Company (NAIC Washington International Insurance ME, MD, MA, MI, MN, MS, MO, MT, #25933) Company (NAIC #32778) NE, NV, NJ, NM, NY, NC, ND, OH, OK, OR, PA, SC, SD, TN, TX, UT, VT, BUSINESS ADDRESS: P.O. Box 80468, BUSINESS ADDRESS: 475 NORTH VA, WA, WV, WI, WY. Lincoln, NE 68501. PHONE: (402) MARTINGALE ROAD, INCORPORATED IN: Iowa. 435–4302. UNDERWRITING SCHAUMBURG, IL 60173. PHONE: LIMITATION b/: $13,741,000. (603) 644–6600. UNDERWRITING UNITED FIRE & INDEMNITY SURETY LICENSES c,f/: AZ, AR, CO, LIMITATION b/: $7,697,000. SURETY COMPANY (NAIC #19496) ID, IL, IN, IA, KS, KY, MI, MN, MO, LICENSES c,f/: AL, AK, AZ, AR, CA, BUSINESS ADDRESS: P.O. BOX 73909, MT, NE, NM, ND, OH, OK, OR, SD, CO, CT, DE, DC, FL, GA, HI, ID, IL, CEDAR RAPIDS, IA 52407–3909. TX, UT, WA, WI, WY. IN, IA, KS, KY, LA, ME, MD, MA, MI, PHONE: (319) 399–5700. INCORPORATED IN: Nebraska. MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, UNDERWRITING LIMITATION b/: UNIVERSAL UNDERWRITERS PR, RI, SC, SD, TN, TX, UT, VT, VA, $1,901,000. SURETY LICENSES c,f/: INSURANCE COMPANY (NAIC WA, WV, WI, WY. INCORPORATED AL, CO, IN, KY, LA, MS, MO, NM, #41181) TX. INCORPORATED IN: Texas. IN: New Hampshire. BUSINESS ADDRESS: 1400 AMERICAN United States Fidelity and Guaranty LANE, TOWER I, 18TH FLOOR, West American Insurance Company Company (NAIC #25887) SCHAUMBURG, IL 60196–1056. (NAIC #44393) BUSINESS ADDRESS: ONE TOWER PHONE: (847) 605–6000. BUSINESS ADDRESS: 175 Berkeley SQUARE, HARTFORD, CT 06183. UNDERWRITING LIMITATION b/: Street, Boston, MA 02116. PHONE: PHONE: (860) 277–0111. $33,965,000. SURETY LICENSES (617) 357–9500. UNDERWRITING UNDERWRITING LIMITATION b/: c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, LIMITATION b/: $4,545,000. SURETY $140,892,000. SURETY LICENSES DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LICENSES c,f/: AL, AK, AZ, AR, CO, c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, LA, ME, MD, MA, MI, MN, MS, MO, CT, DE, DC, FL, GA, ID, IL, IN, IA, KS, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, MT, NE, NV, NH, NJ, NM, NY, NC, KY, LA, MD, MA, MI, MN, MS, MO, LA, ME, MD, MA, MI, MN, MS, MO, ND, OH, OK, OR, PA, RI, SC, SD, TN, MT, NE, NV, NH, NJ, NM, NY, NC, MT, NE, NV, NH, NJ, NM, NY, NC, TX, UT, VT, VA, WA, WV, WI, WY. ND, OH, OK, OR, PA, RI, SC, SD, TN, ND, OH, OK, OR, PA, PR, RI, SC, SD, INCORPORATED IN: Illinois. TX, UT, VA, WA, WV, WI, WY. INCORPORATED IN: Indiana. TN, TX, UT, VT, VA, VI, WA, WV, Utica Mutual Insurance Company WI, WY. INCORPORATED IN: (NAIC #25976) WEST BEND MUTUAL INSURANCE Connecticut. BUSINESS ADDRESS: POST OFFICE COMPANY (NAIC #15350) United States Fire Insurance Company BOX 530, UTICA, NY 13503–0530. BUSINESS ADDRESS: 1900 South 18th (NAIC #21113) PHONE: (315) 734–2000. Avenue, West Bend, WI 53095. UNDERWRITING LIMITATION b/: PHONE: (262) 334–5571. BUSINESS ADDRESS: 305 Madison $76,447,000. SURETY LICENSES UNDERWRITING LIMITATION b/: Avenue, Morristown, NJ 07962. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, $87,823,000. SURETY LICENSES PHONE: (973) 490–6600. DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, c,f/: IL, IN, IA, KS, KY, MI, MN, MO, UNDERWRITING LIMITATION b/: LA, ME, MD, MA, MI, MN, MS, MO, NE, OH, TN, WI. INCORPORATED IN: $117,795,000. SURETY LICENSES MT, NE, NV, NH, NJ, NM, NY, NC, Wisconsin. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, ND, OH, OK, OR, PA, PR, RI, SC, SD, Westchester Fire Insurance Company DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, TN, TX, UT, VT, VA, WA, WV, WI, (NAIC #10030) LA, ME, MD, MA, MI, MN, MS, MO, WY. INCORPORATED IN: New York. MT, NE, NV, NH, NJ, NM, NY, NC, BUSINESS ADDRESS: 436 Walnut ND, OH, OK, OR, PA, PR, RI, SC, SD, VerTerra Insurance Company (NAIC Street, P.O. Box 1000, Philadelphia, TN, TX, UT, VT, VA, VI, WA, WV, #10024) PA 19106. PHONE: (215) 640–1000. WI, WY. INCORPORATED IN: BUSINESS ADDRESS: P.O. BOX 85563, UNDERWRITING LIMITATION b/: Delaware. SAN DIEGO, CA 92186–5563. $73,138,000. SURETY LICENSES United States Surety Company (NAIC PHONE: (858) 350–2400. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, #10656) UNDERWRITING LIMITATION b/: DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, $4,641,000. SURETY LICENSES c,f/: KY, LA, ME, MD, MA, MI, MN, MS, BUSINESS ADDRESS: 20 W. Aylesbury NJ, TX. INCORPORATED IN: Texas. MO, MP, MT, NE, NV, NH, NJ, NM, Road, Timonium, MD 21093. PHONE: NY, NC, ND, OH, OK, OR, PA, PR, RI, Vigilant Insurance Company (NAIC (410) 453–9522. UNDERWRITING SC, SD, TN, TX, UT, VT, VA, VI, WA, #20397) LIMITATION b/: $4,251,000. SURETY WV, WI, WY. INCORPORATED IN: LICENSES c,f/: CT, DE, DC, FL, GA, BUSINESS ADDRESS: 15 Mountain Pennsylvania. ME, MD, MA, NH, NJ, NY, NC, OH, View Road, Warren, NJ 07059. PA, RI, SC, TN, VT, VA, WV. PHONE: (212) 612–4000. Western National Mutual Insurance INCORPORATED IN: Maryland. UNDERWRITING LIMITATION b/: Company (NAIC #15377) $30,623,000. SURETY LICENSES BUSINESS ADDRESS: P.O. Box 1463, UNITED SURETY AND INDEMNITY c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, Minneapolis, MN 55440. PHONE: COMPANY (NAIC #44423) DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, (952) 835–5350. UNDERWRITING BUSINESS ADDRESS: P.O. BOX 2111, LA, ME, MD, MA, MI, MN, MS, MO, LIMITATION b/: $39,056,000. SAN JUAN, PR 00922–2111. PHONE: MT, NE, NV, NH, NJ, NM, NY, NC, SURETY LICENSES c,f/: AK, AZ, AR, (787) 625–1105. UNDERWRITING ND, OH, OK, OR, PA, PR, RI, SC, SD, CA, CO, DE, ID, IL, IN, IA, KS, MD, LIMITATION b/: $5,408,000. SURETY TN, TX, UT, VT, VA, VI, WA, WV, MI, MN, MO, MT, NE, NV, NJ, NM,
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ND, OH, OK, OR, PA, RI, SD, TX, UT, SURETY LICENSES c,f/: AL, AK, AZ, Phoenix Insurance Company (The) WA, WI, WY. INCORPORATED IN: AR, CA, CO, CT, DE, DC, FL, GA, HI, (NAIC #25623) Minnesota. ID, IL, IN, IA, KS, KY, LA, MD, MA, BUSINESS ADDRESS: ONE TOWER Western Surety Company (NAIC MI, MN, MS, MO, MT, NE, NV, NH, SQUARE, HARTFORD, CT 06183. #13188) NJ, NM, NY, NC, ND, OH, OK, OR, PHONE: (860) 277–0111. PA, PR, RI, SC, SD, TN, TX, UT, VT, UNDERWRITING LIMITATION b/: BUSINESS ADDRESS: 333 S. WABASH VA, WA, WV, WI, WY. $130,218,000. SURETY LICENSES AVE, CHICAGO, IL 60604. PHONE: INCORPORATED IN: New York. c,f/:. (312) 822–5000. UNDERWRITING LIMITATION b/: $131,504,000. XL Specialty Insurance Company RENAISSANCE REINSURANCE U.S. SURETY LICENSES c,f/: AL, AK, AZ, (NAIC #37885) INC. (NAIC #10357) AR, CA, CO, CT, DE, DC, FL, GA, HI, BUSINESS ADDRESS: 140 Broadway, BUSINESS ADDRESS: SEAVIEW ID, IL, IN, IA, KS, KY, LA, ME, MD, Suite 4200, New York, NY 10005. HOUSE, 70 SEAVIEW AVENUE, MA, MI, MN, MS, MO, MT, NE, NV, PHONE: (212) 238–9600. NH, NJ, NM, NY, NC, ND, OH, OK, STAMFORD, CT 06902. PHONE: UNDERWRITING LIMITATION b/: OR, PA, PR, RI, SC, SD, TN, TX, UT, (203) 964–5200. UNDERWRITING $52,152,000. SURETY LICENSES VT, VA, WA, WV, WI, WY. LIMITATION b/: $13,271,000. c,f/:. INCORPORATED IN: South Dakota. SURETY LICENSES c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, GU, ST. PAUL PROTECTIVE INSURANCE Westfield Insurance Company (NAIC COMPANY (NAIC #19224) #24112) HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, MP, MT, BUSINESS ADDRESS: ONE TOWER BUSINESS ADDRESS: P.O. Box 5001, NE, NV, NH, NJ, NM, NY, NC, ND, SQUARE, HARTFORD, CT 06183. Westfield Center, OH 44251–5001. OH, OK, OR, PA, PR, RI, SC, SD, TN, PHONE: (860) 277–0111. PHONE: (330) 887–0101. TX, UT, VT, VA, VI, WA, WV, WI, UNDERWRITING LIMITATION b/: UNDERWRITING LIMITATION b/: WY. INCORPORATED IN: Delaware. $22,725,000. SURETY LICENSES $109,244,000. SURETY LICENSES c,f/:. c,f/: AL, AK, AZ, AR, CO, CT, DE, DC, Zurich American Insurance Company FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, (NAIC #16535) Footnotes ME, MD, MA, MI, MN, MS, MO, MT, 1 Allegheny Casualty Company (NAIC NE, NV, NH, NJ, NM, NY, NC, ND, BUSINESS ADDRESS: 1400 AMERICAN #13285) redomesticated from Pennsylvania to OH, OK, OR, PA, RI, SC, SD, TN, TX, LANE, TOWER I, 18TH FLOOR, New Jersey. The effective date of the UT, VT, VA, WA, WV, WI, WY. SCHAUMBURG, IL 60196–1056. redomestication is November 25, 2015. INCORPORATED IN: Ohio. PHONE: (847) 605–6000. 2 Alterra Reinsurance USA Inc. (NAIC UNDERWRITING LIMITATION b/: #10829) changed its name to Markel Global Westfield National Insurance Company $707,582,000. SURETY LICENSES Reinsurance Company. The effective date of (NAIC #24120) the name change is September 2, 2015. c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, 3 AMERICAN CONTRACTORS BUSINESS ADDRESS: P.O. Box 5001, DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, INDEMNITY COMPANY (NAIC #10216) is Westfield Center, OH 44251–5001. KY, LA, ME, MD, MA, MI, MN, MS, required by state law to conduct business in PHONE: (330) 887–0101. MO, MP, MT, NE, NV, NH, NJ, NM, the state of Texas as TEXAS BONDING UNDERWRITING LIMITATION b/: NY, NC, ND, OH, OK, OR, PA, PR, RI, COMPANY. However, business is conducted $27,276,000. SURETY LICENSES SC, SD, TN, TX, UT, VT, VA, VI, WA, in all other covered states as AMERICAN c,f/: AL, AZ, CA, CO, DE, FL, GA, IL, CONTRACTORS INDEMNITY COMPANY. WV, WI, WY. INCORPORATED IN: 4 Greenwich Insurance Company (NAIC IN, IA, KY, MD, MI, MN, NM, NC, New York. ND, OH, OK, PA, SC, SD, TN, TX, VA, #22322) voluntarily relinquished its Treasury Certificate of Authority, effective June 30, WV, WI. INCORPORATED IN: Ohio. Certified Reinsurer Companies 2016. 5 Westport Insurance Corporation (NAIC COMPANIES HOLDING CERTIFICATES International Fidelity Insurance #39845) Company’s (NAIC #11592) name is very OF AUTHORITY AS ACCEPTABLE similar to another company that is NOT BUSINESS ADDRESS: P.O. Box 2991, REINSURING COMPANIES UNDER certified by this Department. Please ensure OVERLAND PARK, KS 66202–1391. SECTION 223.3(b) OF TREASURY that the name of the Company and the state PHONE: (913) 676–5200. CIRCULAR NO. 297. [See Note (e)] of incorporation are exactly as they appear in UNDERWRITING LIMITATION b/: this Circular. Do not hesitate to contact the Markel Global Reinsurance Company $110,994,000. SURETY LICENSES Company to verify the authenticity of a bond. (NAIC #10829) 6 RLI Indemnity Company (NAIC #28860) c,f/: AL, AK, AZ, AR, CA, CO, CT, DE, is no longer an acceptable surety on Federal DC, FL, GA, GU, HI, ID, IL, IN, IA, KS, BUSINESS ADDRESS: Ten Parkway bonds. The Company’s Certificate of KY, LA, ME, MD, MA, MI, MN, MS, North, Deerfield, IL 60015. PHONE: Authority issued by the Treasury was MO, MP, MT, NE, NV, NH, NJ, NM, (908) 630–2700. UNDERWRITING terminated, effective June 14, 2016. With NY, NC, ND, OH, OK, OR, PA, RI, SC, LIMITATION b/: $72,713,000. respect to any bonds, including continuous bonds, currently in force with this Company, SD, TN, TX, UT, VT, VA, VI, WA, SURETY LICENSES c,f/:. WV, WI, WY. INCORPORATED IN: bond-approving officers should secure new Missouri. Odyssey Reinsurance Company (NAIC bonds with acceptable sureties in those #23680) instances where a significant amount of XL Reinsurance America Inc. (NAIC liability remains outstanding. In addition, in #20583) BUSINESS ADDRESS: 300 FIRST no event, should bonds that are continuous in nature be renewed. BUSINESS ADDRESS: SEAVIEW STAMFORD PLACE, STAMFORD, CT HOUSE, 70 SEAVIEW AVENUE, 06902. PHONE: (203) 977–8000. Notes STAMFORD, CT 06902. PHONE: UNDERWRITING LIMITATION b/: (a) All Certificates of Authority expire June (203) 964–5200. UNDERWRITING $287,498,000. SURETY LICENSES 30, and are renewable July 1, annually. LIMITATION b/: $188,891,000. c,f/:. Companies holding Certificates of Authority
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as acceptable sureties on Federal bonds are absolutely. For further assistance, contact the (d) FEDERAL PROCESS AGENTS: also acceptable as reinsuring companies. Surety Bond Section at (202) 874–6850. Treasury-approved surety companies are (b) The Underwriting Limitations (c) A surety company must be licensed in required to appoint Federal process agents in published herein are on a per bond basis. the State or other area in which it provides accord with 31 U.S.C. 9306 and 31 CFR 224. Treasury requirements do not limit the penal a bond, but need not be licensed in the State (e) Companies holding Certificates of sum (face amount) of bonds which surety or other area in which the principal resides companies may provide. However, when the or where the contract is to be performed [28 Authority as acceptable reinsuring penal sum exceeds a company’s Op. Atty. Gen. 127, Dec. 24, 1909; 31 CFR companies are acceptable only as reinsuring Underwriting Limitation, the excess must be Section 223.5 (b)]. The term ‘‘other area’’ companies on Federal bonds and may not protected by co-insurance, reinsurance, or includes the District of Columbia, American directly write Federal bonds. other methods in accordance with 31 CFR Samoa, Guam, Northern Mariana Islands, (f) Some companies may be Approved Section 223.10, Section 223.11. Treasury Puerto Rico, and the Virgin Islands. surplus lines carriers in various states. Such refers to a bond of this type as an Excess License information in this Circular is approval may indicate that the company is Risk. When Excess Risks on bonds in favor provided to the Treasury Department by the authorized to write surety in a particular of the United States are protected by companies themselves. For updated license state, even though the company is not reinsurance, such reinsurance is to be information, you may contact the company effected by use of a Federal reinsurance form directly or the applicable State Insurance licensed in the state. Questions related to this to be filed with the bond or within 45 days Department. Refer to the list of state may be directed to the appropriate State thereafter. In protecting such excess risks, the insurance departments at the end of this Insurance Department. Refer to the list of underwriting limitation in force on the day publication. For further assistance, contact state insurance departments at the end of this in which the bond was provided will govern the Surety Bond Section at (202) 874–6850. publication.
State insurance departments Telephone No.
Alabama, Montgomery 36104 ...... (334) 269–3550 Alaska, Anchorage 99501–3567 ...... (907) 269–7900 Arizona, Phoenix 85018–7256 ...... (602) 364–2499 Arkansas, Little Rock 72201–1904 ...... (501) 371–2600 California, Sacramento 95814 ...... (213) 897–8921 Colorado, Denver 80202 ...... (303) 894–7499 Connecticut, Hartford 06142–0816 ...... (860) 297–3800 Delaware, Dover 19904 ...... (302) 674–7300 District of Columbia, Washington 20002 ...... (202) 727–8000 Florida, Tallahassee 32399–6502 ...... (850) 413–3140 Georgia, Atlanta 30334 ...... (404) 656–2056 Hawaii, Honolulu 96813 ...... (808) 586–2790 Idaho, Boise 83720–0043 ...... (208) 334–4250 Illinois, Springfield 62767–0001 ...... (217) 782–4515 Indiana, Indianapolis 46204–2787 ...... (317) 232–2385 Iowa, Des Moines 50319–0065 ...... (515) 281–5705 Kansas, Topeka 66612–1678 ...... (785) 296–3071 Kentucky, Frankfort 40602–0517 ...... (502) 564–3630 Louisiana, Baton Rouge 70802 ...... (225) 342–1200 Maine, Augusta 04333–0034 ...... (207) 624–8475 Maryland, Baltimore 21202–2272 ...... (410) 468–2000 Massachusetts, Boston 02110 ...... (617) 521–7794 Michigan, Lansing 48933–1020 ...... (517) 284–8800 Minnesota, St. Paul 55101–2198 ...... (651) 539–1500 Mississippi, Jackson 39201 ...... (601) 359–3569 Missouri, Jefferson City 65102 ...... (573) 751–4126 Montana, Helena 59601 ...... (406) 444–2040 Nebraska, Lincoln 68508 ...... (402) 471–2201 Nevada, Carson City 89701–5753 ...... (775) 687–0700 New Hampshire, Concord 03301 ...... (603) 271–2261 New Jersey, Trenton 08625 ...... (609) 292–5360 New Mexico, Santa Fe 87504–1269 ...... (855) 427–5674 New York, New York 10004–2319 ...... (212) 480–6400 North Carolina, Raleigh 27611 ...... (919) 807–6750 North Dakota, Bismarck 58505–0320 ...... (701) 328–2440 Ohio, Columbus 43215 ...... (614) 644–2658 Oklahoma, Oklahoma City 73112 ...... (405) 521–2828 Oregon, Salem 97301–3883 ...... (503) 947–7980 Pennsylvania, Harrisburg 17120 ...... (877) 881–6388 Puerto Rico, Santurce 00968 ...... (787) 304–8686 Rhode Island, Providence 02903–4233 ...... (401) 462–9500 South Carolina, Columbia 29202–3105 ...... (803) 737–6160 South Dakota, Pierre 57501–3185 ...... (605) 773–4104 Tennessee, Nashville 37243–0565 ...... (615) 741–2218 Texas, Austin 78714 ...... (800) 252–3439 Utah, Salt Lake City 84114–1201 ...... (801) 538–3800 Vermont, Montpelier 05602 ...... (802) 828–3301 Virginia, Richmond 23218 ...... (804) 371–9741 Virgin Islands, St. Thomas 00802 ...... (340) 774–7166 Washington, Olympia 98504–0256 ...... (360) 725–7144 West Virginia, Charleston 25305–0540 ...... (304) 558–3386 Wisconsin, Madison 53707–7873 ...... (608) 266–3586
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State insurance departments Telephone No.
Wyoming, Cheyenne 82002–0440 ...... (307) 777–7401
[FR Doc. 2016–16054 Filed 7–7–16; 8:45 am] BILLING CODE 4810–35–P
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Part III
Department of Health and Human Services
42 CFR Part 8 Medication Assisted Treatment for Opioid Use Disorders; Final Rule
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DEPARTMENT OF HEALTH AND substances that have been approved by general provisions of the rule; current HUMAN SERVICES the Food and Drug Administration subparts A, B, and C would change to (FDA) for use in maintenance and subparts B, C, and D, respectively; the 42 CFR Part 8 detoxification treatment without titles of these subparts would be revised RIN 0930–AA22 registering as an opioid treatment to make it clear that they apply only to program (OTP). Buprenorphine is a OTPs; subpart E is reserved and subpart Medication Assisted Treatment for schedule III controlled substance under F contains the final rule. Subpart A, Opioid Use Disorders the CSA. To qualify to treat any patients § 8.1 details the scope of the rule and with buprenorphine, the practitioner explains that the proposed rules in the AGENCY: Substance Abuse and Mental must be a physician, possess a valid new subpart F pertain only to those Health Services Administration license to practice medicine, be a practitioners using a waiver under 21 (SAMHSA), HHS. registrant of the Drug Enforcement U.S.C. 823(g)(2) with a patient limit of ACTION: Final rule. Administration (DEA), have the capacity 101 to 275. Subpart A, § 8.2 provides the to refer patients for appropriate definitions that apply to the entirety of SUMMARY: This final rule increases counseling and other necessary part 8 and § 8.3 discusses opioid access to medication-assisted treatment ancillary services, and have completed treatment programs. Subpart F discusses (MAT) with buprenorphine and the required training. the authorization to increase the patient combination buprenorphine/naloxone The CSA also imposes a limit on the limit to 275 patients. Subpart F, § 8.610 (hereinafter referred to as number of patients a practitioner may describes which practitioners are buprenorphine) in the office-based treat with certain types of FDA- qualified for a patient limit of 275; setting as authorized under the United approved narcotic drugs, such as subpart F, § 8.615 describes a qualified States Code. Section 303(g)(2) of the buprenorphine, at any one time. practice setting; subpart F, § 8.620 Controlled Substances Act (CSA) allows Specifically, Section 303(g)(2)(B)(iii) of discusses the process to request a individual practitioners to dispense or the CSA allows qualified practitioners patient limit of 275; subpart F, § 8.625 prescribe Schedule III, IV, or V who file an initial notification of intent details how a request will be processed; controlled substances that have been (NOI) to treat a maximum of 30 patients subpart F, § 8.630 describes what a approved by the Food and Drug at a time. After 1 year, the practitioner practitioner must do to maintain the 275 Administration (FDA). Section may file a second NOI indicating his/her patient limit; subpart F, § 8.635 is 303(g)(2)(B)(iii) of the CSA allows intent to treat up to 100 patients at a reserved; subpart F, § 8.640 details the qualified practitioners who file an time. renewal process for practitioners who initial notification of intent (NOI) to Pursuant to 21 U.S.C. 823(g)(2)(B)(iii), desire to keep their 275 patient limit; treat a maximum of 30 patients at a the Secretary is authorized to change the subpart F, § 8.645 discusses the time. After 1 year, the practitioner may patient limit by regulation. responsibilities of practitioners whose file a second NOI indicating his/her renewal request for the 275 patient limit A. Regulatory History intent to treat up to 100 patients at a was denied or who did not request for time. This final rule will expand access On March 30, 2016, the Department of a renewal of the 275 patient limit; to MAT by allowing eligible Health and Human Services (HHS) subpart F, § 8.650 details the conditions practitioners to request approval to treat issued a Notice of Proposed Rulemaking under which SAMHSA can suspend or up to 275 patients under section (NPRM), entitled, ‘‘Medication Assisted revoke a patient limit increase approval; 303(g)(2) of the CSA. The final rule also Treatment for Opioid Use Disorders’’, in and subpart F, § 8.655 provides the rules includes requirements to ensure that the Federal Register, and invited applicable to patient limit increases in patients receive the full array of services comment on the proposed rule.1 The emergency situations. that comprise evidence-based MAT and comment period ended on May 31, HHS has made some changes to the minimize the risk that the medications 2016. In total, HHS received 498 proposed rule’s provisions, based on the provided for treatment are misused or comments on the proposed rule. comments we received. Among the diverted. Comments came from a wide variety of significant changes are the following. stakeholders, including, but not limited HHS has changed the highest patient DATES: Effective Date: This final rule is to: Individuals that currently prescribe limit from 200 to 275. effective on August 8, 2016. buprenorphine and other health care HHS also changed § 8.610 by revising FOR FURTHER INFORMATION CONTACT: professionals, such as nurse the language in this section. This change Jinhee Lee, Pharm.D., Public Health practitioners and pharmacists; health will allow additional addiction Advisor, Center for Substance Abuse care policymakers; national specialists to treat up to 275 patients by Treatment, 240–276–2700. organizations representing providers including all practitioners with SUPPLEMENTARY INFORMATION: and public health agencies; and additional credentialing as defined in individuals who self-identified as § 8.2. Electronic Access current buprenorphine patients. A HHS has decided to delay the This Federal Register document is significant number of comments came finalization of the proposed reporting also available from the Federal Register from individuals who were part of a requirements in § 8.635 and is online database through Federal Digital mass mail campaign organized by a publishing elsewhere in this issue of the System (FDsys), a service of the U.S. national organization representing Federal Register a Supplemental Notice Government Printing Office. This substance use disorder treatment of Proposed Rulemaking to solicit database can be accessed via the specialists. additional comments on the proposed Internet at http://www.gpo.gov/fdsys. reporting requirements prior to B. Overview of Final Rule finalizing them. We expect to finalize I. Background The final rule adopts the same basic the reporting requirements Section 303(g)(2) of the CSA (21 structure and framework as the expeditiously. U.S.C. 823(g)(2)) allows individual proposed rule: Subpart A sets forth the HHS has responded to the comments practitioners to dispense or prescribe received on the proposed rule, and Schedule III, IV, or V controlled 1 81 FR 17639 (Mar. 30, 2016). provided an explanation of each of the
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changes made to the proposed rule in Opioid Initiative. Given the Secretary’s how these patients will be counted the preamble. authority to increase the patient limit on toward the patient limit, will be based treatment under 21 U.S.C. 823(g)(2) by on the following principles: (a) The II. Provisions of the Proposed Rule and rulemaking, the rule is an essential relative risk of diversion associated with Analysis and Responses to Public element of a comprehensive approach to medications that become covered under Comments increasing access to MAT. 21 U.S.C. 823(g)(2)(C) after the effective A. General Comments HHS also received a wide variety of date of the proposed rule; and (b) the comments related to the issue of MAT HHS received a number of comments time required to monitor patient safety, that did not specifically relate to a that expressed general support and assure medication compliance and section of the proposed rule, but advocacy for the proposed rule. Many of effectiveness, and deliver or coordinate generally fell into five main categories. these comments pointed to the lives that behavioral health services. The categories and comments are as will be saved and the long waitlists for HHS did not receive any comments follows. MAT that will be shortened. that provided specific criteria to be used Commenters also noted that the rule Other Practitioners to count new formulations differently provides parity with other conditions/ under the patient limit. One commenter Many commenters wrote about the suggested that abuse-deterrent labeling medications and that the rule will help eligibility and role of nurse practitioners provide a research-based understanding should not be a requirement. HHS did and/or physician assistants in receive a small number of comments of addiction. prescribing buprenorphine. The vast about new formulations which There were also some comments that majority of these commenters suggested recommended that patients being expressed disagreement with the that nurse practitioners and physician treated with these new formulations not proposed rule. These commenters said assistants should be allowed to be counted against a patient limit. One that MAT was not as effective as prescribe buprenorphine under the new commenter stated that HHS should traditional models and that regulation. Two major associations establish a process for counting the buprenorphine is a drug of diversion wrote in support of registered nurses patients differently if there is a risk to and misuse, and could result in poor with addiction specialty training to be public health. Another commenter outcomes. Some commenters cited a able to prescribe. Numerous comments recommended the establishment of a need for more providers rather than stated that HHS needed to include other process for evaluating new formulations higher prescribing limits. Several practitioners especially in order to reach that would be triggered by a petition commenters suggested that the rural and medically underserved from a product manufacturer, trade application and renewal procedure and regions. the recordkeeping and reporting HHS also received several comments association, practitioner, State or local requirements will dissuade physicians opposed to allowing nurse practitioners agency, or representatives of opioid use from applying for the higher patient and physician assistants to prescribe disorder patients or their families. limit. buprenorphine. HHS received a number of comments A comment also suggested that very Questions related to expanding recommending a cautious approach, few additional patients will receive eligible prescribers are outside the scope including one suggestion to not count addiction treatment with buprenorphine of this rulemaking; the statute limits patients as fractions and another to as a result of the proposed rule, due to who is eligible to prescribe consider the potential impact of a the small number of subspecialists buprenorphine for MAT. 21 U.S.C. formulation-based counting eligible to treat an additional 100 823(g)(2) limits the practitioners eligible methodology on practitioners and patients each, unclear criteria for what for waiver in this context to physicians, patient-driven recovery. One commenter constitutes a qualified practice setting, and, therefore, HHS is not authorized to expressed concern that new and continued poor reimbursement. include other types of providers in this formulations that require less oversight Given the evidence supporting rule. However, HHS recognizes the from a practitioner may result in the buprenorphine-based MAT as an issues raised by commenters and the reduction of psychosocial and other effective treatment for opioid use President’s FY 2017 Budget proposes a support services. HHS also received a disorder and the magnitude of the buprenorphine demonstration program comment that it is too soon to determine opioid crisis, this rule is intended to to allow advance practice providers to how patients treated with the new increase access to buprenorphine-based prescribe buprenorphine. This would formulations should be counted. MAT, prevent diversion, and ensure allow HHS to begin testing other ways HHS will review new formulations as quality services are provided. With to improve access to buprenorphine they are approved by FDA for use in the respect to the comment specifically throughout the country. treatment of opioid use disorder and is related to the issues of subspecialty strongly supportive of innovative board certification and unclear criteria New Formulations formulations that increase access to for a qualified practice setting, the final In the NPRM, HHS proposed that the MAT. rule addresses these issues by replacing Secretary would establish a process by With respect to the comments the ‘‘board certification’’ definition with which patients who are treated with suggesting that no limit apply to an ‘‘additional credentialing’’ definition medications covered under 21 U.S.C. patients treated with new formulations, and also provides further clarity 823(g)(2)(C), that have features that HHS does not believe that raising the regarding the criteria for a qualified enhance safety or reduce diversion, as limit beyond that specified in this rule practice setting. HHS appreciates that determined by the Secretary, may be is warranted at this time. increasing the patient limit for certain counted differently toward the After reviewing the comments, HHS MAT providers is a complex issue and prescribing limit established in the has determined under the final rule, all is not the only avenue for addressing the proposed rule. Such medications are patients treated with medications opioid public health crisis. HHS is referred to here as ‘‘new formulations.’’ covered under 21 U.S.C. 823(g)(2)(C), promoting access to all forms of MAT HHS also proposed that the criteria for including new formulations, will be for opioid use disorder through multiple determining which if any of these new counted against the patient limit activities included in the Secretary’s formulations may be considered, and established by this rule in the same
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manner. HHS may choose to revisit this HHS received a comment continuing medical education (CME) issue in the future. recommending that physicians obtain a programs on the safe and effective use written agreement from each patient of opioids for treatment of chronic pain Patient Cost and Coverage stating that the patient: Will receive an and safe and effective treatment of HHS received several comments initial assessment and treatment plan; opioid use disorder. HHS received describing insurance-related issues that will be subject to medication adherence comments focused on the system of commenters believe affect access to and substance use monitoring; and treatment for opioid use disorders, treatment with buprenorphine. These understands all available treatment including the integration of behavioral comments, which are outside the scope options, including all FDA-approved health into primary care; screening for of this rulemaking, focused on topics drugs for treatment of opioid use substance use disorders and connecting such as varying formats for requesting disorder and their potential risks and to treatment via Screening, Brief approval for treatment services and benefits. One commenter suggested that Intervention, and Referral to Treatment prescription coverage, reimbursement HHS issue firm recommendations on (SBIRT); reimbursement issues; and use rates, coverage criteria, pharmacy safe medication renewal quantities and of opioid antagonists such as naloxone practices, implementation of substance weaning and reduction timeframes. in preventing opioid overdose. use disorder parity laws, and use of Another commenter suggested taking A comment stated that the quality metrics. HHS received into consideration the individual’s age, organization wanted to make sure comments stating that the proposed rule gender, ethnicity, and culture during patients receive long-term evidence- does not address the many reasons why treatment. based care to treat opioid use disorder. providers are not prescribing MAT to HHS recognizes that there are HHS also received several comments the fullest extent of their current multiple approaches to addressing stating that it needed to ensure that a waivers, including concerns about opioid use disorder. However, many of full continuum of care is available for public and private insurer these issues are beyond the scope of this patients. While ongoing work is reimbursement for the additional rule. occurring throughout HHS on improving access to treatment, these reporting, documentation, and Other Approaches to Opioid Use specific issues are outside the scope of counseling as well as concerns about Disorders on-site DEA inspections. this rulemaking. Many comments provided suggestions HHS also received a comment HHS appreciates these comments and on how to broadly address the problem recommending that we consider is aware of the issues associated with of opioid use disorder. HHS received additional strategies to incentivize access to buprenorphine. However, several comments noting that, despite primary care providers to apply for these issues are beyond the scope of this being able to prescribe buprenorphine to waivers to prescribe buprenorphine, rulemaking given HHS’ regulatory only a limited number of patients, including educational campaigns to authority under 21 U.S.C. practitioners are not subject to any address any misperceptions related to 823(g)(2)(B)(iii). limits when prescribing opioids for buprenorphine prescribing and DEA Prescribing Practices pain. Some commenters recommended audits, greater dissemination of research that either the limit to prescribe and data regarding evidence-based HHS received many comments that buprenorphine be removed or that an MAT, and continual engagement with related to prescribing practices. One opioid prescribing limit be established. stakeholders to ensure the legal and comment recommended that a One commenter asked that if HHS regulatory framework is appropriate and prescriber of buprenorphine not be believes that there should be a limit on effective. Another commenter also permitted to make a diagnosis of opioid the number of patients treated with expressed the need for a national use disorder or dependency in order to buprenorphine, why HHS is not also educational campaign about misuse of prevent the development of ‘‘pill mills.’’ seeking a limit on the number of prescription opioid analgesics. One ® Another comment stated that Vivitrol patients prescribed schedule II opioids commenter recommended that HHS should be offered along with for chronic pain. And another work with other local, State and Federal buprenorphine and another stated that it commenter suggested that physicians entities, including the Centers for should be prescribed in place of who prescribe opioids should be Medicare & Medicaid Services (CMS), buprenorphine. required to offer treatment for opioid FDA, CDC, and DEA to develop Several commenters focused on use disorders. education for the public that is both limiting prescriptions of opioids. Others HHS also received a few comments comprehensive and targeted to address proposed limiting the allowable dosing that concerned treatment using the knowledge gaps of relevant of buprenorphine. One commenter antidepressants, anxiolytics, and stakeholders. HHS received comments recommended that the number of antipsychotics where patient limits do expressing the importance of increasing patients allowed for treatment by a not apply. The commenters felt the the number of resources, training, and waivered practitioner should be tied to same concept should be applied to qualified personnel to prescribe the recommended dose in order to buprenorphine. buprenorphine and administer and incentivize physicians to prescribe A buprenorphine patient limit was monitor patients. Another commenter appropriate doses of buprenorphine in introduced in statute. HHS’ rulemaking also felt that we should consider an effort to decrease diversion. The is intended to implement the statutory additional measures to educate commenter also stated that a physician provisions. With respect to opioid physicians about best practices to treating 200 patients should not be prescribing, the Centers for Disease minimize the risk of diversion, allowed to prescribe more than an Control and Prevention (CDC) recently including the distribution of best average of 2,800 mg of buprenorphine released the Guideline for Prescribing practice guidance documents. An per day. HHS also received a comment Opioids for Chronic Pain and SAMHSA additional comment expressed concerns that practitioners prescribing supports the Providers’ Clinical Support that clinics owned and operated by non- buprenorphine up to a higher patient System-Opioid program, which is a physicians, or employing part-time limit should be required to see patients national training and mentoring project newly waivered physicians, with no at least once a month. that makes available at no cost full-time addiction physician oversight
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and supervision will greatly increase the United States and Canada regulate patient limit for practitioners potential for diversion. HHS intends to opioid use disorder treatment under responding to emergency situations that continue to work to educate eligible different laws. require immediate, increased access to practitioners about the waiver process HHS received a comment stating that medications covered under 21 U.S.C. and ensure that the process is as impaired decision-making, especially 823(g)(2)(C). In addition, HHS included efficient as possible. for safety sensitive professions (e.g., key definitions that will help HHS also received a comment airline pilots, transit workers, health practitioners understand and implement expressing concerns that raising the care professionals), posed public/patient the requirements of this rule. limit will not sufficiently address safety concerns due to possible As proposed in the NPRM, this rule improving access to individuals located cognitive and motor impairment related will be added to 42 CFR part 8 as in geographic regions where to buprenorphine and stated that subpart F. Accordingly, changes to part buprenorphine or other MAT naltrexone may be considered as an 8 were necessary to integrate the medications are currently unavailable, alternative. contents of the new regulations because only a third of buprenorphine- While this issue is beyond the scope established by this rule into part 8. For waivered physicians are qualified to of this rule, HHS encourages all example, part 8, subparts A, B, and C, treat 100 patients at a time. practitioners to fully inform their had to be reordered as subparts B, C, HHS shares the commenters’ concern patients about MAT, whether it is and D, respectively. The titles of these that some populations are appropriate for an individual patient subparts were revised to make it clear geographically disadvantaged in terms and, if so, which FDA-approved that they apply only to OTPs. of access to MAT. HHS believes this medications may be most appropriate The comments and HHS’ responses final rule will help address this concern for that patient. are set forth below. by expanding the ability for physicians Another commenter requested Comment: HHS received several in all areas, including rural areas, to guidance on what constitutes an comments stating that raising the treat patients with opioid use disorder appropriate course of treatment and patient limit to 200 was not likely to while minimizing the risk of diversion. how ‘‘recovery’’ should be determined, make a significant impact on addressing In addition, the shift in policy from which will enable them to meet the the treatment gap. Some commenters allowing a practitioner with a waiver to reporting requirements more suggested the limit should be raised to treat up to 200 patients in the NPRM to successfully. An additional commenter 500 patients or that there should be no allowing a practitioner with a waiver to requested that guidance specify whether patient limit at all. Other commenters treat up to 275 patients is likely to have or not an in-office induction is required. supported the proposed limit of 200 a significant impact in rural areas which HHS appreciates these comments and patients. One commenter suggested that are currently served by smaller numbers will bear them in mind as it develops the patient limit be removed for of practitioners with waivers. guidance documents after the final rule physicians operating in a nationally HHS appreciates the many comments goes into effect. accredited or State licensed substance use disorder treatment center. aiming to more broadly address the Subpart A—General Provisions issue of opioid use. While this rule is Response: In the NPRM, HHS more limited in scope, HHS is working In the proposed rule, HHS proposed proposed raising the patient limit for to address some of the ideas expressed increasing the highest available patient certain qualified physicians to 200. This in the comments through other actions limit for qualified practitioners to was based on a conservative estimate of taken to implement the Secretary’s receive a waiver from 100 to 200. This the number of patients who could be Opioid Initiative. proposed higher patient limit was treated by a single physician in a high- intended to significantly increase quality, evidence-based manner that Other Comments patient capacity for practitioners minimizes the risk of diversion. HHS received several comments qualified to prescribe at this level while However, prior to the NPRM, the estimating the number of practitioners also ensuring that waivered proposed patient limit of 200 did not who would seek a waiver for the higher practitioners would be able to provide have the benefit of public comment. patient limit. For example, one comprehensive treatment associated Although many commenters expressed comment stated that between 8 and 15 with MAT. that a 200 patient limit was appropriate, Vermont physicians would seek the Under the final rule, practitioners a number of commenters stated that the additional waiver to treat 200 patients, authorized to treat up to 275 patients 200 patient limit was not sufficient to noting that it would have the potential will be required to meet infrastructure substantially address the treatment gap, to increase access to office-based requirements that exceed those required with some commenters suggesting the outpatient treatment services by for practitioners who have a waiver to limit be raised to 500 and others stating between 25 and 50 percent from its treat 100 or fewer patients. HHS there should be no patient limit. HHS current utilization rate. HHS considered proposed additional criteria and reviewed all pertinent comments and these estimates as it calculated the responsibilities for practitioners to be completed a reassessment of the Regulatory Impact Analysis (RIA) for the able to treat up to the higher patient available data. In particular, an analysis rule. limit with the specific aims of ensuring of the number of patients treated in HHS received a comment asking why quality of care and minimizing OTPs—a set of structured clinics that there were different rules for methadone diversion. Importantly, the additional deliver comprehensive care for opioid and another one that asked why the criteria and responsibilities were not use disorder—helped to guide HHS’ rules were different than the rules in intended to be unduly burdensome to deliberation. Using data from the 2013 Canada. practitioners who wish to expand their National Survey of Substance Abuse Methadone is not included as part of MAT treatment practice. Also, the rule Treatment Services, the average number this rule because methadone is a does not add these additional of patients who could be managed at Schedule II drug, while the only requirements to practitioners who have any given time in an OTP ranged from medications covered under this rule are a waiver to treat up to 100 patients 262 to 334, demonstrating that high- in Schedule III, IV, or V, pursuant to 21 under 21 U.S.C. 823(g)(2). The rule also quality, evidence-based MAT could be U.S.C. 823(g)(2)(C). In addition, the creates an option for an increased provided to a larger number of patients
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in this structured and regulated providing MAT using buprenorphine in Summary of Regulatory Changes environment. Given that HHS expects all programs licensed or certified by a HHS did not receive any comments that buprenorphine provision in the State oversight agency for substance use. on this provision. Therefore, for the outpatient setting will involve a less Response: HHS appreciates the reasons set forth in the proposed rule, structured and regulated environment, comment and the role of ABAM- we are finalizing the provisions as we believe setting the limit within the certified practitioners and has modified proposed in § 8.1 without modification. lower range of the average number of the proposed rule to include these patients who could be treated in an OTP professionals among those eligible for Subpart A—Definitions (§ 8.2) is prudent. Thus, based on our the highest limit of 275. With respect to HHS proposed definitions that would reassessment of the data and review of the comments suggesting that no limit apply to the entirety of part 8. HHS also public comments, HHS has determined apply to patients treated by practitioners proposed revising definitions that that increasing the patient limit to 275 in programs licensed or certified by a would apply only to OTPs. Two balances the pressing need to expand State oversight agency, HHS believes, definitions were proposed for access to MAT with the desire to ensure for the reasons stated, that the 275 elimination: ‘‘Registered opioid the provision of high-quality, evidence- patient limit is the appropriate limit. treatment program’’ and ‘‘opiate based MAT while limiting the risk of Comment: HHS received a comment addiction.’’ diversion. We note that this rule is recommending that the patient limit be HHS proposed a revised definition of intended to expand access directly by based on the percentage of the practice ‘‘patient.’’ At present, the definition of increasing patient capacity for that provides addiction treatment. ‘‘patient’’ in § 8.2 is limited to those practitioners who get a waiver to treat Response: Relevant patient limits in individuals receiving treatment at an more than 100 patients, and indirectly this context apply to a specific waivered OTP, which excludes those individuals by increasing the incentive to enter into practitioner, not to a practice of receiving office-based opioid treatment the field of addiction medicine or multiple providers. Accordingly, HHS with buprenorphine, i.e., those addiction psychiatry by expanding believes that the approach taken in the practitioners subject to 21 U.S.C. opportunities within the field. final rule provides the best available 823(g)(2). Comment: HHS received a comment method to clearly establish a higher HHS proposed a revised definition of requesting that the rule provide some patient limit that can be monitored and patient to make it inclusive of all waiver increase for all certified office- enforced. persons receiving MAT with an opioid based opioid treatment with buprenorphine physicians. The Comment: HHS received a comment medication, consistent with the commenter also recommended that all requesting greater clarity about whether expanded scope of proposed revisions physicians currently holding a waiver to a patient treated with buprenorphine at to 42 CFR part 8. HHS proposed that prescribe up to 100 patients and who an OTP is counted toward the patient ‘‘means any individual who have been in good standing for the past practitioner’s patient limit. The receives MAT from a practitioner or year be allowed increases as follows: (1) commenter recommended that patients program subject to this part.’’ Upon If they are not board certified and not treated in opioid treatment programs not further review, we determined that working in a qualified practice setting, be counted toward the patient limit. modifications to the proposed definition they should be allowed to treat an Response: Patients receiving of ‘‘patient’’ were needed to clarify the additional 50 patients; (2) If they are not buprenorphine administered or scope of patients covered under this board certified but are working in a dispensed by an OTP, from medication rule (for purposes of the patient limit), qualified practice setting, they should ordered under the program’s DEA and to distinguish such patients from be allowed to treat an additional 100 registration, are patients of the OTP and opioid treatment program patients for patients; (3) If they are board certified do not count toward any practitioner’s which no patient limit applies. We are but not working in a qualified practice patient limit. now defining patient as, for purposes of subparts B–E, meaning any individual setting, they should be allowed to treat Summary of Regulatory Changes an additional 150 patients; and (4) If who receives maintenance or they are board certified and are working For the reasons set forth above and detoxification treatment in an opioid in a qualified practice setting, they considering the comments and treatment program. For purposes of should be allowed to treat an additional additional information received, we subpart F patient means any individual 200 patients. have changed the proposed patient limit who is dispensed or prescribed covered Response: The rule seeks to balance of 200 to 275 patients per practitioner medications by a practitioner. The the increased accountability associated for practitioners who meet the patient definition modifications with the higher limit of 275 with the requirements laid out in the final rule. reflected in the final rule are consistent with the intention of the NPRM. As we opportunity for practitioners to attain Subpart A—Scope (§ 8.1) efficiencies of scale and provide two explained in the NPRM, if a distinct and non-duplicative pathways HHS proposed that the scope of part practitioner, for example, provides by which practitioners can access the 8 would cover rules that are applicable cross-coverage for another practitioner higher limit. This reflects HHS’ desire to to OTPs, and to waivered practitioners and in the course of that coverage the provide pathways to the higher limit to who seek to treat more than 100 patients covering practitioner provides a a range of motivated practitioners, with with applicable medications. New prescription for buprenorphine, the a modest and tolerable burden to the subparts B through D under the final patient counts towards the cross- practitioner. rule contain the rules relevant to OTPs. covering practitioner’s patient limit Comment: HHS received a comment Subpart E is reserved and Subpart F until the prescription or medication has recommending that ABAM-certified contains the new final rule. Section 8.1 expired. However, if a cross-covering physicians not be limited in the number also explains that the rules in the new practitioner is merely available for of patients to whom they can prescribe subpart F pertain only to those consult but does not dispense or buprenorphine. HHS also received a practitioners using a waiver under 21 prescribe buprenorphine while the comment encouraging HHS to lift the U.S.C. 823(g)(2) with a patient limit of prescribing practitioner is away, the patient limit for any practitioner 101 to 275. patients being covered do not count
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towards the cross-covering practitioner’s Dependence; the Department of a patient of the prescribing practitioner patient limit. Therefore, this definition Veterans Affairs/Department of Defense/ for the duration of the prescription or is expected to help ensure consistency Clinical Practice Guideline on for as long as the dispensed medication and clarity in how waivered Management of Substance Use Disorder; lasts. As noted above, in cases where a practitioners count patients towards the and the Federation of State Medical cross-covering practitioner does not patient limit. Boards’ Model Policy on DATA 2000 provide a patient with covered HHS proposed that the rule include and Treatment of Opioid Addiction in medication, the patient will not count the following definition of patient limit: the Medical Office. HHS expects that toward that practitioner’s patient limit. ‘‘the maximum number of individual guidelines meeting this definition may In the event that the cross-covering patients a practitioner may treat at any change over time but does not plan to practitioner dispenses or prescribes time using covered medications.’’ Given keep a list for practitioners to consult. covered medication to a patient, the the changes to the definition of The definitions of ‘‘practitioner’’ and patient will only count towards the ‘‘patient,’’ the definition for ‘‘patient ‘‘practitioner incapacity’’ were modified cross-covering practitioner for as long as limit’’ was modified to mean the to remove the term ‘‘waivered’’ since the medication lasts or until the maximum number of individual that term does not appear in the prescription expires. patients that a practitioner may regulatory text. In addition, the Comment: HHS received one dispense or prescribe covered definition of ‘‘certification’’ was comment requesting additional medications to at any one time. This renamed ‘‘opioid treatment program examples of the types of guidelines that modification ensures alignment between certification’’ to clarify that the would satisfy the requirement to use the definition of ‘‘patient’’ and ‘‘patient definition in § 8.2 specifically applies to nationally recognized evidence-based limit.’’ certification of OTPs. guidelines. Taken together, the definitions of In addition, the final rule includes a Response: HHS has added another ‘‘patient’’ and ‘‘patient limit’’ provide definition of Medication-Assisted example to the list provided in the clear and fair guidance for regulatory Treatment (MAT) that was provided in preamble of the NPRM with regard to enforcement and are expected to reduce the preamble of the NPRM, but that was the definition of ‘‘nationally recognized undercounting of patients by not inserted into the rule text of the evidence-based guidelines.’’ practitioners. These definitions are also NPRM. Accordingly, ‘‘Medication- Comment: HHS received a comment intended to clarify that patients who are Assisted Treatment’’ is now defined in that suggested the establishment of not dispensed or prescribed medication the text of the final rule. standards of care that DATA 2000 covered by this rule should not be The final rule also replaced ‘‘board providers must follow. counted against a practitioner’s patient certification’’ with ‘‘additional Response: HHS requires in the rule limit. Accordingly, waivered credentialing’’ due to the removal of the the use of nationally recognized practitioners will be able to provide term ‘‘subspecialty’’ with respect to evidence-based guidelines, but declines reciprocal cross-coverage to patients of practitioners that can request a higher to establish a specific standard of care other practitioners (assuming the limit outside of a qualified practice in regulating the practice of medicine as dispensing or prescribing of covered setting. it exceeds the scope of the Secretary’s medication is not involved) for brief The comments and our responses are authority. periods, such as weekends or vacations, set forth below. without requiring such patients to be Comment: HHS received a small Summary of Regulatory Changes added to the patient count of the number of comments regarding the For the reasons set forth in the practitioner who is providing cross- definition of patient as it relates to proposed rule and after considering the coverage. counting a patient towards the cross- comments received, HHS is modifying Other new definitions proposed covering practitioner’s patient limit. several of the proposed definitions in include ‘‘behavioral health services,’’ One commenter requested that we § 8.2 to enhance clarity and consistency ‘‘emergency situation,’’ ‘‘nationally develop a way for practitioners to with the scope of 21 U.S.C. 823(g)(2). recognized evidence-based guidelines,’’ provide coverage for other physicians Specifically, HHS has modified the ‘‘practitioner incapacity’’ and ‘‘waivered without having to count these patients definitions for ‘‘patient’’ and ‘‘patient practitioner.’’ as part of their patient limit. Another limit,’’ and modified the terms HHS proposed to define ‘‘nationally commenter recommended that the ‘‘practitioner’’ and ‘‘practitioner recognized evidence-based guidelines’’ patients served during cross-coverage incapacity.’’ Finally, HHS removed the to mean a document produced by a count either toward the practitioner’s term ‘‘board certification’’ and added national or international medical patient limit for 30 days or the number ‘‘additional credentialing’’ to clarify that professional association, public health of days’ supply provided by the all practitioners who currently qualify entity, or governmental body with the prescription, whichever is greater. to treat up to 100 patients are eligible for aim of ensuring the appropriate use of Another commenter recommended that the higher patient limit if they are evidence to guide individual diagnostic prescriptions for less than 30 days included as specialists as described in and therapeutic clinical decisions. Some during cross-coverage should not count 21 U.S.C. 823 (g)(2)(G)(ii)(I)–(III). examples include the American Society against the practitioner’s patient limit. of Addiction Medicine (ASAM) Response: HHS is aware that Subparts B, C, and D—Opioid National Practice Guidelines for the Use providing coverage in a time-limited Treatment Programs (§§ 8.3 Through of Medications in the Treatment of manner has posed a challenge to 8.34) Addiction Involving Opioid Use; practitioners and patients. By defining HHS proposed retitling subparts B, C, SAMHSA’s Treatment Improvement ‘‘patient’’ for purposes of subpart F as, and D §§ 8.3 through 8.34 so as to Protocol 40: Clinical Guidelines for the ‘‘any individual who is dispensed or implement the addition of subpart F. Use of Buprenorphine in the Treatment prescribed covered medications by a We proposed changes to these sections of Opioid Addiction; the World Health practitioner,’’ the definition links the limited to changing the mailing address Organization Guidelines for the patient to the practitioner who provides for program certification and Psychosocially Assisted the patient with his or her covered accreditation body approval and Pharmacological Treatment of Opioid medications. Such patients will remain updating terms, such as ‘‘opiate’’ and
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‘‘opiate addiction’’ to ‘‘opioid’’ and care, the criteria for the higher limit limit: (1) ABAM; (2) ASAM; (3) ‘‘opioid use disorder,’’ respectively. would be intended to minimize the risk American Board of Psychiatry and The comments and our responses are of diversion of controlled substances to Neurology (ABPN); and (4) American set forth below. illicit use and accidental exposure that Osteopathic Association. Another Comment: HHS received one could result from increased prescribing commenter recommended that HHS comment that recommended that it of buprenorphine. A practitioner with allow osteopathic physicians who are develop result-oriented performance board certification in an addiction also boarded in other areas to be board- standards for methadone maintenance subspecialty would have to have the certified in addiction medicine. treatment programs (also referred to as training and experience necessary to Response: HHS has revised the opioid treatment programs); provide recognize and address behaviors language from § 8.610(b)(1), allowing guidance to treatment programs associated with increased risk of practitioners who possess additional regarding the type of data that must be diversion. In the qualified practice credentialing as defined in § 8.2 to collected to permit assessment of settings, HHS believes that the care team become eligible for the higher, 275- programs’ performance; and assure and practice systems will function to patient limit. However, given the increased program oversight oriented help ensure this same level of care. HHS significant responsibility associated toward performance standards. requested comments on this proposed with prescribing buprenorphine, HHS Response: HHS is not addressing the approach, including comments on believes that practitioners should performance standards for opioid whether there are other ways for HHS to additional credentialing as defined in treatment programs in this rule. ensure quality and safety while § 8.2 to safely and appropriately provide Comment: HHS received a comment encouraging practitioners to take on treatment up to 275 patients outside of stating that the Federal government additional patients. a qualified practice setting. Therefore, should be putting pressure on States to The comments and HHS responses are HHS declines to incorporate some of the open access to care through OTPs in set forth below. proposed approaches into the rule. States that are more likely to prohibit Comment: HHS received numerous Comment: HHS received a small opioid treatment programs from comments expressing concerns about number of comments requesting a operating. the restrictive nature of the requirement grandfathering clause for physicians Response: HHS is committed to to obtain subspecialty board who are currently working full time in increasing access to MAT through certification in order to reach the higher the addiction field and who have various strategies, but cannot address patient limit. missed the option to become board this specific issue through the final rule. Response: HHS has revised the certified without doing a fellowship by language from § 8.610(b)(1), allowing the change in the availability of the Summary of Regulatory Changes practitioners who possess additional ABAM exam. HHS did not receive any comments credentialing as defined in § 8.2 to Response: Given the significant related to §§ 8.3 through 8.34 that were become eligible for the higher, 275- responsibility associated with capable of being addressed in the final patient limit. HHS believes that this prescribing buprenorphine, HHS rule. Therefore, for the reasons set forth new requirement balances the need to believes that practitioners should have in the proposed rule, HHS is finalizing maintain a qualified workforce while additional credentialing as defined in the provisions §§ 8.3 through 8.34 having realistic expectations that do not § 8.2. without modification. prohibit capable practitioners from Comment: HHS received a comment recommending that physicians who Subpart F—Which Practitioners Are increasing their patient limits. have been recognized by SAMHSA for Eligible for a Patient Limit of 275 Comment: One comment expressed their Science and Service to their office- (§ 8.610) concerns that the rule will create a two- tiered system resulting in patients with based treatment patients should be Proposed § 8.610 described how the same diagnosis receiving markedly given priority when applying for the practitioners can qualify for the 200 different quality and intensity of increased patient limit. patient limit. Such practitioners would services, and recommended that we Response: Given the significant be required to possess subspecialty create a continuum of care whereby all responsibility associated with board certification in addiction patients with the same diagnosis receive prescribing the applicable medications medicine or addiction psychiatry or equally high quality, evidence-based covered under the final rule, HHS practice in a qualified practice setting as care. believes that practitioners should have defined in the rule. In either case, Response: HHS disagrees that the rule additional credentialing as defined in practitioners with the higher limit creates a two-tiered system. Rather, it § 8.2 or practice in a qualified practice would have to possess a waiver to treat extends and enhances the system that setting to safely and appropriately 100 patients for at least 1 year in order currently exists in an effort to improve provide treatment to up to 275 patients. to gain experience treating at the higher access to treatment for those with opioid We believe most, if not all, of these limit. The purpose of offering the 200 use disorders. practitioners will meet these patient limit to practitioners in these Comment: HHS received a comment requirements. Therefore, HHS declines two categories was to recognize the recommending that we implement an to incorporate this approach into the benefit offered to patients by either: (1) accreditation initiative for qualified rule. The advanced training, knowledge, and practitioners seeking to increase the Comment: HHS received a comment skill of practitioners with a subspecialty number of patients for whom they recommending that OTP licensure be board certification; or (2) the higher prescribe buprenorphine. the only pathway to creating addiction level of direct service provision and care Response: HHS does not believe this treatment programs that treat more than coordination envisioned in the qualified approach is warranted at this time. 100 patients. practice setting. This approach would Comment: HHS received a comment Response: HHS believes that the restrict access to the 200 patient limit to stating that all physicians who currently pathways outlined in the final rule a subset of the practitioners waivered to have credentials provided by one of the provide appropriate pathways through provide care up to 100 patients. In following professional organizations be which practitioners can become eligible addition to ensuring higher quality of eligible to request the increased patient to prescribe buprenorphine to up to 275
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patients, while taking into account Limiting access to treating up to 275 Subpart F—Qualified Practice Setting quality care and risk of diversion. Given patients to practitioners who have (§ 8.615) OTP capacities and other regulatory completed accredited fellowships or HHS proposed § 8.615 to describe the requirements, limiting access to treating residencies in addiction medicine necessary elements of a qualified up to 275 patients to OTPs would would reduce the ability to increase practice setting, which can include reduce the ability to increase access to access to care in as meaningful a way as practices with as few as one waivered care in as meaningful a way as can be can be accomplished through the provider as long as these criteria are accomplished through the pathways pathways included in the final rule. met, and can include both private included in the final rule. Therefore, HHS has declined to practices and community-based clinics. Comment: HHS received several incorporate this approach into the rule. Necessary elements of a qualified comments recommending an alternate Comment: HHS received a comment practice setting would include: (1) The pathway for non-specialists in addiction recommending that, in addition to ability to offer patients professional medicine, which would require them to providing current pathways to become coverage for medical emergencies complete an additional 36 hours of eligible for the higher patient limit, HHS during hours when the practitioner’s addiction-related CME every three reserve the authority to identify any practice is closed; this does not need to years. HHS received another comment additional criteria that could make a involve another waivered practitioner, proposing an alternate pathway that practitioner qualified to apply for the only that coverage be available for includes 24 hours of training, with higher limit. patients experiencing an emergency Naloxone education as a part of that Response: HHS retains this authority. even when the office is closed; (2) the training. Comment: HHS received a few Response: HHS has revised the comments about the length of time it ability to ensure access to patient case- language from § 8.610(b)(1), allowing takes for practitioners to qualify to treat management services including practitioners who possess additional the higher patient limit. These behavioral health services; (3) health credentialing as defined in § 8.2 to comments noted that it will take two information technology (health IT) become eligible for the higher, 275- years for new practitioners to become systems such as electronic health patient limit. However, given the eligible to prescribe buprenorphine to records, when practitioners are required significant responsibility associated the higher patient limit and some to use it in the practice setting in which with prescribing buprenorphine, HHS suggested creating a faster pathway. he or she practices; (4) participation in believes that practitioners should have Response: In more than doubling the a prescription drug monitoring program additional credentialing as defined in patient limit as a result of the final rule (PDMP), where operational, and in § 8.2 to safely and appropriately provide for certain practitioners with a 100 accordance with State law. PDMP treatment to up to 275 patients outside patient limit, HHS believes it is critical means a statewide electronic database of a qualified practice setting. Therefore, to ensure that practitioners who obtain that collects designated data on HHS has declined to incorporate this the higher patient limit have at least one substances dispensed in the State. For approach into the rule. year of experience prescribing at the practitioners providing care in their Comment: HHS received a comment current highest patient limit. capacity as employees or contractors of suggesting that an alternate pathway be Practitioners who have had a waiver to a Federal government agency, considered on a case by case basis in treat up to 100 patients for at least a year participation in a PDMP would be highly rural areas where practitioners will be eligible to apply for the higher required only when such participation may not be board certified or part of a limit immediately. is not restricted based on State law or regulation based on their State of qualified practice setting. The Summary of Regulatory Changes commenter recommended that licensure and is in accordance with providers who request the higher For the reasons set forth in the Federal statutes and regulations; and (5) patient limit in these settings be proposed rule and considering the employment, or a contractual obligation required to have a mentor with comments received, HHS replaced to treat patients in a setting that has the extensive expertise and with whom they ‘‘board certification’’ with ‘‘additional ability to accept third-party payment for have regular consultation. credentialing’’ in § 8.2 which will allow costs in providing health services, Response: Given the significant additional practitioners to become including written billing, credit and responsibility associated with eligible for the 275-patient limit. At the collection policies and procedures, or prescribing buprenorphine, HHS beginning of § 8.610, we replaced the Federal health benefits. believes that practitioners should be text that states that ‘‘A practitioner is The elements were identified as board certified or practicing in a eligible for a patient limit of 200,’’ with common to many high-quality practice qualified practice setting to safely and language that states the total number of settings, which includes both private appropriately provide this treatment to patients that a practitioner may practices as well as federally qualified up to 275 patients. Therefore, HHS has dispense or prescribe covered health centers and community mental declined to incorporate this approach medications to at any one time for health centers, and therefore worthy of into the rule. purposes of 21 U.S.C. 823(g)(2)(B)(iii) is replication. The elements would be Comment: HHS received a comment 275. Other than increasing the expected to be common to OTPs, and that it should not raise the patient limit applicable patient limit to 275 (the basis OTPs currently in operation but not for any practitioner who has not for which has been discussed elsewhere providing MAT under 21 U.S.C. completed an accredited fellowship or in this preamble) the modified language 823(g)(2). Taken together, this would residency in addiction medicine. does not reflect an intention to facilitate additional opportunities to Response: HHS believes that the substantively change any other aspect of expand access to MAT. Another pathways outlined in the final rule the patient limit from that which was consideration in the selection of these provide appropriate pathways through proposed in the NPRM. Rather, the elements was the need to limit the which practitioners can become eligible language modification is intended to expansion of group practices formed for to prescribe buprenorphine to up to 275 align the final rule’s text with the the sole purpose of pooling the patients, while taking into account terminology used in 21 U.S.C. individual practitioner limits to quality care and risk of diversion. 823(g)(2)(B)(iii). maximize revenue but which fail to
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offer a full continuum of services. HHS buprenorphine and have an interest in patient limit, is beyond the scope of the sought comment on additional, alternate applying for the higher patient limit. rule. pathways by which a practitioner could HHS believes the burden imposed on Health Information Technology (Health become eligible to apply for a higher these practitioners would be IT) patient limit. unreasonable and is not justified. The comments and HHS responses are Accordingly, HHS has not made any Comment: HHS received a small set forth below. changes to the rule based on this number of comments requesting Comment: HHS received a small comment. clarification about what exactly number of comments expressing Comment: One commenter also constitutes a qualifying use of health IT. concerns that a qualified practice setting encouraged pharmacists to enter into Specifically, the commenter asked does not include a mandate to have collaborative practice agreements with whether the definition of ‘‘meaningful trained substance use disorder physicians and other prescribers as part use’’ under the Medicare regulations counseling staff on site or available by of a qualified practice setting. would apply, and whether a program an affiliation agreement. One Response: HHS encourages specifically designed for medical use commenter also recommended requiring collaborative relationships between would be required or if a practitioner a set ratio of addiction counselors in physicians and pharmacists, but could simply maintain a spreadsheet of qualified practice settings. HHS also declines to require it as a specific all enrolled patients. received a small number of comments requirement as part of the definition of Response: The rule requires that recommending that HHS implement a qualified practice setting. practitioners use health IT like requirement that provides for waivered Comment: HHS received a comment electronic health records or health practitioners to hire behavioral health suggesting that skilled nursing homes information exchanges only if such providers as part of their practice or and long-term residency facilities be records are otherwise required to be have a formalized agreement with added to the list of settings in which used in the practitioner’s practice outside providers to offer these services. buprenorphine induction and setting. The rule does not create a new Response: HHS has carefully maintenance can occur. requirement to use electronic health considered the required elements of a Response: Any facility that meets the records. qualified practice setting and has requirements of a qualified practice Comment: HHS received a comment balanced the benefits of ensuring quality setting will be considered a qualified stating that electronic health records are services and preventing diversion with practice setting. not as efficient as paper reporting. the costs of being too restrictive. A Comment: One commenter suggested Response: HHS disagrees. Some of the requirement to have substance use any medical facility offering MAT specific benefits associated with disorder counseling or other behavioral should offer both buprenorphine and electronic health records include the health providers on staff on site or Vivitrol®. ability to access patient charts remotely, available by an affiliation agreement Response: HHS supports the full array the receipt of notifications about could limit the number of entities that of services, including medications, that potential medical errors, the receipt of would meet the requirements of a comprise evidence-based MAT, but this important reminders about providing qualified practice setting and therefore requirement is beyond its scope. preventive care and meeting clinical not sufficiently increase access to Comment: HHS received a comment guidelines, and the ability to treatment. A specific set ratio of expressing concerns that the rule will communicate directly with patients. All addiction counselors in a qualified consolidate the use of medication in of these benefits enable practitioners to practice setting may also restrict the large treatment centers, which will lead make well-informed, safe, and timely number of entities which would meet to increased prices for patients. treatment decisions and ultimately the definition of qualified practice Response: HHS expects that the provide higher-quality care. setting and limit the impact of the rule. practitioners who obtain a waiver to Comment: HHS received a small prescribe to up to 275 patients as well Prescription Drug Monitoring Programs number of comments noting that the as additional practitioners who decide (PDMPs) narrow definition of a qualified practice to obtain a waiver for 30 or 100 patients Comment: HHS received a small setting makes it difficult for rural either in an effort to eventually obtain number of comments expressing physicians or physicians in underserved a 275 patient limit or because they feel concerns about the requirement to check settings to meet these qualifications. more confident that treatment capacity PDMPs. These comments noted that not Response: HHS believes that entities in the community is sufficient to keep all States have operational PDMPs and such as federally qualified health them from being overwhelmed by questioned the extent to which PDMPs centers, community mental health demand, will increase access to MAT at benefit patients. centers, OTPs, and certain private both individual practices as well as Response: HHS supports PDMPs as a practices which exist in rural and other among practitioners affiliated with tool to address opioid use disorders and underserved areas can meet the treatment centers. HHS does not have notes that at the time of the proposed definition of a qualified practice setting. information to assess how this will rule, there were 49 States with Comment: One comment impact patient prices for care. operational PDMPs. The rule requires recommended that HHS require third- the use of a PDMP where a program is party accreditation for qualified practice After-Hours Coverage operational and its use is permitted/ settings via the Commission on Comment: HHS received a comment required in accordance with State law. Accreditation of Rehabilitation recommending that all practitioners Comment: Several comments stated Facilities (CARF) or the Joint who prescribe MAT should have after- that providers should be incentivized to Commission on Accreditation of Health hours coverage, regardless of the size of use PDMPs. One commenter Care Organizations (JCAHO). the practice. recommended that the final rule require Response: Requiring accreditation of Response: Adopting the approach regular review of the PDMP for patients qualified practice settings could create a urged by the commenter, which would receiving buprenorphine and barrier for individual practitioners who apply to all practitioners prescribing documentation of the reviews in the have a waiver to prescribe MAT regardless of their authorized patient’s chart. Another commenter
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suggested a mandatory review of State of behavioral health support services a result, raising the patient limit may PDMPs on each visit to make certain and HHS encourages all practitioners not effectively increase access to care. that buprenorphine/naloxone is filled who are authorized to prescribe Response: The enforcement of appropriately and no other narcotics are buprenorphine to ensure that their concurrent psychosocial treatment with being prescribed. patients receive these services. buprenorphine exceeds the scope of this Response: HHS understands this Comment: HHS received a small rule. number of comments in favor of raising comment to refer to all patients who Third-Party Payment may be prescribed buprenorphine. HHS the patient limit without requiring appreciates these comments; but the formal counseling. One commenter Comment: HHS received numerous suggestions fall beyond the scope of this stated that many patients feel that comments expressing concerns with the rule. attending less formal counseling that is requirement that practitioners prescribe Comment: One comment requested not delivered by licensed or certified in a setting that accepts third-party that HHS provide assistance to States in health care professionals such as payment. developing and improving prescription Narcotics Anonymous meetings are Response: This requirement was drug monitoring programs. counterproductive. created to minimize the public health Response: Providing assistance to Response: HHS believes that in order and safety risks, such as diversion, that States in developing and improving to ensure quality care, providing are associated with dispensing or PDMPs is outside the scope of the rule, behavioral health support services is a prescribing medications that are not but HHS does have several programs key component to delivering effective supported by an appropriate medical that have provided this assistance to MAT and encourages all practitioners diagnosis and assessment of medical States in the past and has a program at prescribing covered medications to need. Such risks are often associated CDC that currently does so. More ensure that their patients receive it. The with ‘‘cash only: entities that do not information can be found here—http:// selection of behavioral health support accept any third-party payment for www.cdc.gov/drugoverdose/pdmp/ services is a clinical decision to be made services. Using third-party payment states.html. between the practitioner and the provides a record that buprenorphine Comment: One commenter stated that patient. has been provided to an individual and registration with a State prescription Comment: HHS received a small thus allows for more accountability, database should be a requirement for all number of comments requesting that it lowering the risk of diversion. However, waivered physicians, not just the ones provide a clearer definition of the not everyone who needs treatment has with the higher limit. format of referral to behavioral health a third-party payer (e.g., insurance or Response: Imposing requirements on providers. One commenter requested Medicaid coverage). Thus, to avoid practitioners treating patients for all that HHS issue guidance that clearly creating more barriers to treatment for waivered practitioners is beyond the defines the format of referral these individuals, this regulation would scope of this rule. agreements. One comment requested not require third-party payment for all that HHS define the format of referral to patients by practitioners operating at the Provision of Behavioral Health Services behavioral health services to require higher patient limit and instead would Comment: HHS received a comment active referring rather than just the only require that the provider be requesting clarification about how a capacity to refer. Similarly, another authorized and capable of billing third- qualified practice is required to provide commenter recommended that party payers as an indication of their access to case management services and providers with a waiver to prescribe level of accountability. Moreover, with whether providing the phone number buprenorphine be required to include a increasing coverage of substance use for other providers would satisfy this Letter of Agreement with an disorder treatment through private requirement. organization for counseling services. insurance and Medicaid programs in Response: The intent of the Response: HHS believes that limiting many States, substance use disorder requirement is that a practitioner have the referral to a specific format may be treatment providers should have services available on site or have a unduly restrictive and have unintended additional incentives to qualify and referring relationship to case consequences. As noted earlier, HHS engage in third-party billing. management or counseling services that declines to require a specific written Comment: HHS received a comment allows for warm hand-offs of the patient agreement as part of the behavioral requesting clarification on whether a and ongoing care coordination, not just health services component of the practice would need to accept all third- the ability to provide a phone number. qualified practice setting definition, but party payment sources, including Comment: HHS received numerous may provide further guidance with Medicare and Medicaid. The commenter comments about the need for respect to example referral agreements also asked whether a practitioner can comprehensive psychosocial or case at a later date. require payment in cash but provide management treatment and team-based Comment: HHS received a comment billing information for the patient to care along with buprenorphine. asking whether a peer recovery support submit to their insurance for Response: HHS agrees that specialist would be considered capable reimbursement. comprehensive behavioral support of meeting the requirements for Response: Practitioners who qualify services are a critical component of the providing behavioral health services. for the higher patient limit by practicing effective delivery of MAT, including Response: Peer recovery support in a qualified practice setting must be buprenorphine-based MAT. The services are one possible behavioral able to accept third-party payments. standard of care 2 includes the provision health service. The selection of specific However, the intention of the psycho-social interventions is a clinical requirement is not that the practitioner 22 Center for Substance Abuse Treatment. Clinical decision to be made between the must accept only third-party payments Guidelines for the Use of Buprenorphine in the practitioner and the patient. or must accept all third-party payment Treatment of Opioid Addiction. Treatment Comment: HHS received a comment sources. Rather, the practitioner in a Improvement Protocol (TIP) Series 40. DHHS Publication No. (SMA) 04–3939. Rockville, MD: noting that current guidelines for qualified practice setting must accept at Substance Abuse and Mental Health Services concurrent psychosocial treatment with least some third-party payment systems. Administration, 2004 buprenorphine are not enforced and, as The practitioner in a qualified practice
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setting cannot have a ‘‘cash only’’ Subpart F—Process To Request a Higher one year, after being approved to treat business. Patient Limit of 275 (§ 8.620) more than 100 patients. Comment: HHS received a comment Response: The patient level refers to HHS proposed § 8.620 to describe the recommending that physicians be those patients the practitioner is treating process to request a patient limit of 200. incentivized to care for Medicaid at the time the request is denied. It is Similar to the waiver process for the 30 patients by not counting a certain the practitioner’s responsibility to and 100 patient limits, the process number of Medicaid patients towards review his or her case load and identify would begin with filing a form, in this their higher limit. which patients over the 100 patient case, a Request for Patient Limit Response: This issue is beyond the limit he or she will notify. Increase. A proposed draft of the Comment: A commenter noted that scope of this rule. Request for Patient Limit Increase was Question 8 requires physicians to certify Comment: HHS received several posted along with the NPRM and has that they will only use Schedule III, IV, comments stating that the requirement been submitted to the Office of or V drugs or combinations of drugs that to accept third-party payments should Management and Budget for final have been approved by the FDA for use be expanded to include all individuals review. The higher patient limit would in maintenance or detoxification with the higher patient limit, not just carry with it greater responsibility for treatment and that have not been the those using the ‘‘qualified practice behavioral health services, care subject of an adverse determination. The setting’’ exception. coordination, diversion control, and commenter requests information about Response: The elements of a qualified continuity of care in emergencies and the purpose of this certification, as it practice setting are intended to provide for transfer of care in the event that the appears to be a significant restriction on practitioners who have not qualified for practitioner does not request renewal of a physician’s ability to practice the higher patient limit as a result of the higher patient limit or the medicine and prescribe other possessing additional credentialing as practitioner’s renewal request is denied. medications as needed. defined in § 8.2 with the necessary The new Request for Patient Limit Response: The certification check box specialty training to prevent diversion Increase process would require on the Request for Patient Limit Increase and provide quality services. HHS providers to affirm that they would meet is to ensure that waivered practitioners declines to incorporate this approach these requirements. HHS proposed certify that they are using only into the rule. definitions of ‘‘behavioral health medications covered under 21 U.S.C. services,’’ ‘‘diversion control plan,’’ Diversion Control Plan 823(g)(2)(C). Patients for whom a ‘‘emergency situation,’’ ‘‘nationally practitioner does not dispense or Comment: HHS received numerous recognized evidence-based guidelines,’’ prescribe covered medications should comments about the need for formal and ‘‘practitioner incapacity’’ in § 8.2 to not be counted against the patient limit. diversion mitigation strategies, such as assist practitioners in understanding This does not mean that practitioners wrapper counts, drug testing, what is expected of them in making are prohibited from prescribing enforcement of the parity law for these attestations. These responsibilities medications to treat conditions other treatment, and the use of more efficient would be aligned with the standards of than a substance use disorder among and lower dose, dual therapy ethical medical and business practice their office-based opioid treatment with preparations. and are not expected to be burdensome buprenorphine patients. Response: HHS agrees that a diversion to practitioners. Single State Comment: HHS received a comment plan is important. The final rule Authorities, State Opioid Treatment recommending that it consider the requires that providers who receive the Authorities and other resources/entities impact of the 42 CFR part 2 substance higher patient limit attest to having such exist to help in the development of use disorder treatment confidentiality a plan. The specifics of the diversion patient placement in the event that provisions on patients who do not share plan will be left to the individual transfer to other addiction treatment their substance use records with their practitioner. would be required, for example, if a other providers. Comment: HHS received a comment practitioner chose to no longer practice Response: The appropriate sharing of recommending that physicians obtain a at the higher patient limit. HHS patient information is important. As written agreement from each patient proposed that practitioners approved at such, HHS included an attestation that stating that the patient: Will receive an the higher limit would also be required practitioners receiving a waiver to treat initial assessment and treatment plan; to reaffirm their ongoing eligibility to up to 275 patients provide appropriate will be subject to medication adherence fulfill these requirements every 3 years releases of information, in accordance and substance use monitoring; and as described in § 8.640. with Federal and State laws and understands all available treatment The comments and our responses are regulations, including the Health options, including all FDA-approved set forth below. Information Portability and drugs for treatment of opioid use Accountability Act and implementing Comment: HHS received a comment regulations and 42 CFR part 2. disorder and their potential risks and expressing the following concerns about benefits. the Request for Patient Limit Increase Summary of Regulatory Changes Response: HHS supports the intent of form: Question 7A9 assumes that For the reasons set forth in the the comment but these issues are related physicians have an ‘‘original’’ 100 proposed rule, and considering the to provider-patient relationships and patients, and additional patients above comments received, HHS is finalizing therefore beyond the scope of this rule. the 100 patient level who would need the provisions as proposed in § 8.620 to be transferred elsewhere in the event Summary of Regulatory Changes without modification. that a physician’s renewal request for For the reasons set forth in the the higher patient limit is denied. Subpart F—How Will a Patient Request proposed rule, and considering the However, the commenter noted that it is for a Higher Limit Be Processed (§ 8.625) comments received, HHS is finalizing unrealistic to assume that a physician HHS proposed § 8.625 to describe the provisions as proposed in § 8.615 would be treating the exact same how SAMHSA will process a Request without modification. original 100 patients three years, or even for Patient Limit Increase. The process
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for requesting a higher patient limit Response: HHS does not have the proposed the following reporting would be processed similarly to how the administrative capacity to conduct a requirements: current 30 or 100 patient waiver is periodic review of all waivered a. The average monthly caseload of processed, with one difference. Whereas practitioners’ outcome statistics and patients receiving buprenorphine- the lower patient limit waivers are not other aspects of their practices beyond based MAT, per year time limited, the waiver for the higher its anticipated oversight activities to b. Percentage of active buprenorphine limit would have a term not to exceed ensure compliance with the rule. patients (patients in treatment as of 3 years with the option for renewal. Comment: HHS received a comment reporting date) that received Thus, a practitioner would be required suggesting that the turn-around time for psychosocial or case management to submit a new Request for Patient approving waiver requests be shortened services (either by direct provision or Limit Increase every 3 years if he or she from 45 to 30 days. by referral) in the past year due to: desired to continue treating up to the Response: HHS appreciates the 1. Treatment initiation higher patient limit. In addition, we commenters desire to shorten the time 2. Change in clinical status proposed, among other things, that if frame within which SAMHSA would c. Percentage of patients who had a SAMHSA denied a practitioner’s process a Patient Request for a Higher prescription drug monitoring program Request for Patient Limit Increase on the Limit; however, due to staff and query in the past month basis of deficiencies that could be resource limitations, HHS believes the d. Number of patients at the end of the resolved, SAMHSA would allow a 45 day time period is a balanced reporting year who: designated time period for resolving approach for ensuring requests are 1. Have completed an appropriate such deficiencies. We also proposed turned around in an appropriate time course of treatment with that, if such deficiencies are not frame to meet both the practitioner and buprenorphine in order for the resolved during the designated time SAMHSA’s needs. HHS notes that it patient to achieve and sustain period, SAMHSA would deny the views this timeframe as a maximum, not recovery practitioner’s Request for Patient Limit a minimum, and will endeavor to 2. Are not being seen by the provider Increase. It should be noted that DEA process these requests quickly. due to referral by the provider to a has independent enforcement authority Summary of Regulatory Changes more or less intensive level of care and this rule in no way affects that 3. No longer desire to continue use of authority or changes the way in which For the reasons set forth in the buprenorphine DEA and SAMHSA interact with respect proposed rule and considering the 4. Are no longer receiving to waivers. comment HHS received, HHS is buprenorphine for reasons other After considering this process, the finalizing the provisions as proposed in than 1–3. § 8.625 with the exception of the word Department has made a minor The comments and HHS responses are change noted in § 8.625(c). modification to § 8.625(c) by replacing set forth below. the word ‘‘will’’ with the word ‘‘may’’ Subpart F—What must practitioners do HHS received a number of comments in the last sentence of this paragraph. in order to maintain their approval to on these requirements. Many This modification gives SAMHSA the treat up to 275 patients under § 8.625 commenters expressed concern that the flexibility to approve a practitioner’s (§ 8.630) reporting requirements were Request for Patient Limit Increase, if, for HHS proposed § 8.630 to describe the burdensome and could decrease example, relevant deficiencies are conditions for maintaining a waiver for practitioners’ interest in reaching the resolved to the satisfaction of SAMHSA each 3-year period for which waivers higher patient limit. Some commenters shortly after the expiration of the are valid, including maintenance of all said that the reporting requirements designated time period. eligibility requirements specified in would not ensure the appropriate level The comments and HHS responses are § 8.610, and all attestations made in of behavioral health care. There were set forth below. accordance with § 8.620(b). Compliance other concerns that the requirements Comment: HHS received a comment with the requirements specified in were not consistent between recommending that the length of the § 8.620 would have to be continuous. practitioners who had waivers to treat term to prescribe buprenorphine should HHS did not receive any comments up to 100 patients and practitioners gradually increase to a term of 3 years. specific to § 8.630. with the higher patient limit. In The commenter stated that initially it addition, there was confusion about the should be a 1-year term, then a 2-year Summary of Regulatory Changes periodicity of the reporting term, and then a 3-year term thereafter. HHS did not receive any comments requirements. Overall, many Response: HHS has sought to strike on this provision. Therefore, for the commenters requested clarity. the right balance between encouraging reasons set forth in the proposed rule, HHS proposed to include reporting practitioners to apply for the higher HHS is finalizing the provisions as requirements as part of its approach to patient limit and ensuring that they are proposed in § 8.630 without increasing access to MAT while providing high quality care. HHS modification. ensuring that patients receive the full believes that asking practitioners to array of services that comprise submit a Request for Patient Limit Subpart F—RESERVED (§ 8.635) evidence-based MAT and minimizing Increase more frequently than every 3 HHS proposed § 8.635 to describe the the risk that the medications provided years would create an unnecessary reporting requirements for practitioners for treatment are misused or diverted. burden and act as a deterrent to whose Request for Patient Limit HHS appreciates the comments received requesting the higher limit. Increase is approved under § 8.625. HHS and, in light of them, has decided to Comment: HHS received one requested comments on whether the delay finalizing this section of the comment suggesting that, rather than proposed reporting periods and proposed rule and to publish elsewhere using a 3-year term, the highest patient deadline could be combined with other, in this issue of Federal Register a limit should be based on a periodic existing reporting requirements in a way Supplemental Notice of Proposed review of the practice and its outcome that would make reporting less Rulemaking on the reporting statistics. burdensome for practitioners. HHS requirements proposed in § 8.635 of the
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NPRM. As explained in the should be added regarding when a would suspend or revoke a Supplemental Notice of Proposed response to a request should be practitioner’s patient limit increase of Rulemaking published elsewhere in this provided and what one does when the 200. If SAMHSA had reason to believe issue of the Federal Register, HHS will response does not come by the stated that immediate action would be consider the public comments on this time. necessary to protect public health or Supplemental Notice as well as Response: HHS believes the safety, SAMHSA would suspend the comments already received on the commenter was confused with respect practitioner’s patient limit increase of March 30, 2016 NPRM in finalizing the to the 90 day time period. The NPRM 200. If SAMHSA determined that the reporting requirements. We expect to indicated that ‘‘Practitioners who intend practitioner had made finalize the reporting requirements to continue to treat up to 200 patients misrepresentations in his or her Request expeditiously following the receipt of beyond their current 3 year approval for Patient Limit Increase, or if the additional public comment. term must submit a renewal Request for practitioner no longer satisfied the Patient Limit Increase in accordance requirements of this subpart, or he or Summary of Regulatory Changes with the procedures outlined under she had been found to have violated the HHS is reserving § 8.635 § 8.620 at least 90 days before the CSA pursuant to 21 U.S.C. 824(a), SAMHSA would revoke the Subpart F—Process for Renewing expiration of their approval term.’’ It practitioner’s patient limit increase of Patient Limit Increase Approval does not state that SAMHSA has 90 200. It should be noted that DEA has (§ 8.640) days to process the renewal request. In addition, the proposed rule states that independent enforcement authority and We proposed § 8.640 to describe the ‘‘If SAMHSA does not reach a final this rule in no way affects that authority process for a practitioner renewing his decision on a renewal Request for or changes the way in which DEA and or her approval for the higher patient Patient Limit Increase before the SAMHSA interact with respect to limit. In order for a practitioner to expiration of a practitioner’s approval waivers. renew an approval, he or she would term, the practitioner’s existing The comments and HHS responses are have to submit a renewal Request for approval term will be deemed extended set forth below. Patient Limit Increase in accordance until SAMHSA reaches a final Comment: HHS received a comment with the procedures outlined under decision.’’ Thus, the preamble of the that practitioners who perform poorly § 8.620 at least 90 days before the proposed rule discusses what happens if on outcome and quality measures expiration of the approval term. the response from SAMHSA is not should be limited to 100 patients or less, The comments and HHS responses are obtained by a certain date. or even have their waiver revoked if set forth below. outcomes and quality are extremely Comment: HHS received several Summary of Regulatory Changes poor. comments recommending that the For the reasons set forth in the Response: HHS believes allowing for renewal request be synchronized with proposed rule, and considering the suspension or revocation when the renewal of the DEA registration in comments received, HHS is finalizing SAMHSA determines that a practitioner an effort to reduce administrative the provisions as proposed in § 8.640 no longer satisfies the requirements of burdens. without modification. the rule is appropriate and Response: HHS agrees that commensurate with ensuring that coordination among Federal agencies is Subpart F—Responsibilities of patients receive quality care. beneficial and will work with DEA to Practitioners Who Do Not Submit a Additionally, such requirements synchronize these forms to the extent Renewal Request for Patient Limit relating to practitioners who have possible. Increase or Whose Renewal Request Is waivers to treat up to 30 and 100 Comment: HHS received a comment Denied (§ 8.645) patients are beyond the scope of this stating that the current certification and HHS proposed § 8.645 to describe the rule. recertification process should be responsibilities of practitioners who do Comment: HHS received a comment retained and that additional not submit a renewal Request for Patient requesting that we add an appeals recertification requirements are Limit Increase or whose renewal request mechanism for physicians to dispute unnecessary. The commenter also stated is denied. Under § 8.620(b)(7), erroneous determinations of not being that the DEA registration renewal practitioners would notify all patients in compliance with requirements for the process, as well as the regular oversight affected above the 100 patient limit that patient limit increase. of waivered physicians conducted by the practitioner would no longer be able Response: HHS declines to set forth a SAMHSA, is sufficient to ensure safety to provide MAT services using covered specific appeal mechanism in the rule, and proper prescribing practices and medications and would make every but notes that practitioners are able to that a duplicative recertification process effort to transfer patients to other re-apply if their Request for Patient will only discourage participation by addiction treatment. Limit Increase is denied. providers. Response: HHS believes that due to Summary of Regulatory Changes Summary of Regulatory Changes the fact that practitioners with the HHS did not receive any comments The proposed language under § 8.650 higher patient limit will now be able to on this provision. Therefore, for the provided only one circumstance under treat up to almost 3 times as many reasons set forth in the proposed rule, which SAMHSA could suspend a patients as prior to the rule, additional HHS is finalizing the provisions as practitioner’s Patient Limit Increase requirements related to renewing the proposed in § 8.645 without approval, and three instances under practitioner’s Request for Patient Limit modification. which SAMHSA could revoke this Increase is prudent to ensure high approval. After further consideration, quality care and minimize diversion. Subpart F—Suspension or Revocation of HHS has modified the language in Comment: HHS received a comment a Practitioner’s Patient Limit Increase § 8.650 in an effort to allow the stating that the 90 day timeline for Approval (§ 8.650) Secretary to suspend or revoke a receiving approval is too long. The HHS proposed § 8.650 to describe practitioner’s Request for Patient Limit commenter also stated that language under what circumstances SAMHSA Increase approval on the basis of any of
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the criteria identified in this section to immediate increase in the higher patient Response: Every effort will be made to provide additional flexibility. For the limit. If, after consultation with the assure prompt decision-making and reasons set forth in the proposed rule governmental authorities, SAMHSA communication regarding requests to and considering the comments received, determines that a practitioner’s request increase a practitioner’s patient limit in HHS is finalizing the remaining under this section should be granted, response to an emergency. Given the provisions of this section as proposed in SAMHSA will notify the practitioner wide variety of situations, number of the NPRM. that his or her request has been stakeholders and decision-makers Subpart F—Practitioner Patient Limit approved. The period of such approval involved, and range of acuity of possible Increase During Emergency Situations shall not exceed six months. A emergency situations, a specific (§ 8.655) practitioner wishing to receive an deadline will not be established in the extension of the approval period granted final rule. HHS proposed § 8.655 to describe the must submit a request to SAMHSA at Comment: HHS received a comment process, including the information and least 30 days before the expiration of the that the application process for an documentation necessary, for a six month period and certify that the emergency should be simplified. practitioner with an approved 100 emergency situation continues. Except Response: HHS believes the patient limit to request approval to as provided in this section and § 8.650, application process outlined in the rule temporarily treat up to 200 patients in requirements in other sections under is necessary to ensure public safety and an emergency situation. The intention of subpart F do not apply to practitioners welfare. Furthermore, HHS believes that this provision is to help assure receiving waivers in this section. there is a compelling reason to require continuity of care for patients whose The comments and HHS responses are an application process given that the care might otherwise be abruptly set forth below. practitioner could be taking on almost 3 terminated due to the death or disability Comment: HHS received a comment times as many patients without the of their practitioner. This provision that the governmental authority, not the necessary training or qualified practice would also help communities respond physician, should make a request to setting supports. rapidly to a sudden increase in demand temporarily treat the higher patient limit Comment: HHS received a comment for medication-assisted treatment. in emergency situations. recommending that the State Opioid Sudden increases in demand for Response: The waiver authorized Treatment Authority or Single State treatment may be experienced when under 21 U.S.C. 823(g)(2) may be Agency determine whether physicians there is a local disease outbreak can assure continuous access to care in associated with drug use, or when a granted to practitioners who dispense or prescribe covered medications to the event of practitioner incapacity or natural or human-caused disaster either emergency and whether physicians will displaces persons in treatment from patients. Therefore, only practitioners may request a temporary patient limit be able to notify all patients that they their practitioner or program or destroys are no longer able to provide program infrastructure. The emergency increase under emergency situations. However, along with working with buprenorphine, in the event that the provision generally would not be request for the higher patient limit is not intended to correct poor resource practitioners, SAMHSA will consult, to the extent possible, with governmental renewed or the renewal request is deployment due to lack of planning. denied. The emergency provision of the authorities to address emergency situations. Response: HHS cannot address this proposed rule would only be considered issue within the scope of this rule. Comment: HHS received a comment if other options for addressing the Comment: HHS received a comment recommending that it focus resources on increased demand for medication- stating that emergency provisions creating sustainable, expanded assisted treatment could not address the should be explicitly expanded to treatment capacity to relieve those situation. include exemption from the patient physicians impacted by the emergency HHS proposed that the practitioner limit for categories of patients in request who may not be qualified or must provide information and immediate need of treatment where no have the infrastructure to treat over 100 documentation that: (1) Describes the other practitioner is available. The patients per the proposed rule. emergency situation in sufficient detail comment specifically mentioned so as to allow a determination to be Response: HHS agrees with the pregnant women with an opioid use made regarding whether the emergency commenter that sustainable, expanded disorder, and persons with a recent non- qualifies as an emergency situation as treatment capacity is the goal for all fatal opioid overdose. defined in § 8.2, and that provides a practitioners who experience emergency Response: The patient limit applies to justification for an immediate increase situations. By granting an extension of practitioners and not patients; therefore, in that practitioner’s patient limit; (2) the six-month emergency provision, this the circumstances related to the identifies a period of time in which the will allow practitioners with a waiver to availability of practitioners with waivers higher patient limit should apply, and treat up to 100 patients, with up to a must dictate the emergency, not the provides a rationale for the period of year of experience with prescribing circumstances of individual patients. time requested; and (3) describes an covered medications, and will better Comment: HHS received a comment explicit and feasible plan to meet the position them to apply for a Request for recommending that practitioners be able public and individual health needs of Patient Limit Increase. to treat an unlimited number of patients the impacted persons once the Comment: HHS received a small during an emergency. practitioner’s approval to treat up to the number of comments asking how Response: HHS does not believe that higher patient limit expires. Prior to quickly providers will be notified about this approach is warranted at this time. taking action on a practitioner’s request whether they are approved to increase Comment: HHS received several under this section, SAMHSA shall their patient limit during an emergency, comments describing a need for a consult, to the extent practicable, with with one commenter requesting that this clearer definition of emergency the appropriate governmental information be included in the final situations. authorities in order to determine rule. Another commenter recommended Response: HHS’ intent is to reserve whether the emergency situation that a that providers receive a response within this option for true emergency practitioner describes justifies an 48 to 72 hours. situations. Recognizing that no two
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emergencies look the same, HHS requirements specified in § 8.610 and submit a renewal Request for Patient envisions that this option for a submit a Request for Patient Limit Limit Increase in accordance with the temporary higher patient limit could be Increase to SAMHSA that includes all of procedures outlined under § 8.620 at triggered when a waivered practitioner the following: least 90 days before the expiration of the dies or becomes physically or mentally • Completed 3-page Request for approval term. incapacitated or whose waiver is Patient Limit Increase Form, a draft of D. Patient Notice, 42 CFR 8.645: suspended or revoked. Other possible which was posted in the public docket Describes the responsibilities of scenarios include: Unforeseen along with the NPRM; practitioners who do not submit a • Statement certifying that the displacement of a large population of renewal Request for Patient Limit individuals in need of medication- practitioner: Æ Will adhere to nationally Increase or whose renewal request is assisted treatment due to disaster; denied. Practitioners who do not renew outbreak of acute infections that are recognized evidence-based guidelines for the treatment of patients with opioid their Request for Patient Limit Increase blood borne or otherwise associated or whose renewal request is denied with injection drug use such as HIV. In use disorders; Æ must notify all patients above the 100 all cases the emergency increase of a Will provide patients with patient limit that the practitioner will practitioner’s patient limit is meant to necessary behavioral health services as no longer be able to provide MAT be temporary. The affected community defined in § 8.2 or will provide such services using covered medications and and practitioner(s) should plan to services through an established formal make every effort to transfer patients to definitively meet the need for treatment agreement with another entity to other addiction treatment. The Patient and resolve the emergency by provide behavioral health services; Æ Notice is a model notice to guide expanding all forms of MAT and Will provide appropriate releases of practitioners in this situation when they meeting criteria for the higher patient information, in accordance with Federal notify their patients. limit via non-emergency criteria at the and State laws and regulations, earliest possible date. including the Health Information E. Emergency Provisions, 42 CFR Portability and Accountability Act 8.655: Describes the process for Summary of Regulatory Changes Privacy Rule and part 2, if applicable, to practitioners with a current waiver to For the reasons set forth in the permit the coordination of care with prescribe up to 100 patients, and who proposed rule, and considering the behavioral health, medical, and other are not otherwise eligible to treat up to comments received, HHS is finalizing service practitioners; 275 patients, to request a temporary Æ the provisions as proposed in § 8.655 Will use patient data to inform the increase to treat up to 275 patients in without modification. improvement of outcomes; Æ order to address emergency situations as Will adhere to a diversion control defined in § 8.2. To initiate this process, III. Information Collection plan to manage the covered medications Requirements the practitioner shall provide and reduce the possibility of diversion information and documentation that: (1) The NPRM called for new collections of covered medications from legitimate Describes the emergency situation in of information under the Paperwork treatment use; sufficient detail so as to allow a Æ Has considered how to assure Reduction Act of 1995. The final rule determination to be made regarding continuous access to care in the event calls for the most of the same collections whether the situation qualifies as an of practitioner incapacity or an of information as the NPRM. As defined emergency situation as defined in § 8.2, emergency situation that would impact in implementing regulations, and that provides a justification for an a patient’s access to care as defined in ‘‘collection of information’’ comprises immediate increase in that practitioner’s reporting, recordkeeping, monitoring, § 8.2; and Æ Will notify all patients above the patient limit; (2) Identifies a period of posting, labeling, and other similar time, not longer than 6 months, in actions. In this section, we first identify 100 patient level, in the event that the request for the higher patient limit is not which the higher patient limit should and describe the types of information apply, and provides a rationale for the applicants and waivered practitioners renewed or the renewal request is denied, that the practitioner will no period of time requested; and (3) must collect and report, and then we Describes an explicit and feasible plan provide an estimate of the total annual longer be able to provide MAT services using buprenorphine to them and make to meet the public and individual health burden. The estimate covers the needs of the impacted persons once the employees’ time for reviewing and every effort to transfer patients to other addiction treatment. practitioner’s approval to treat up to 275 posting the collections required. patients expires. If a practitioner wishes Title: Medication Assisted Treatment B. Diversion Control Plan, 42 CFR 8.12(c)(2): Creating and maintaining a to receive an extension of the approval for Opioid Use Disorders. period granted under this section, he or OMB Control Number: 0930–03XX. diversion control plan is one of the Summary of the Collection of requirements that practitioners must she must submit a request to SAMHSA Information: The final rule estimates up attest to before they are approved to at least 30 days before the expiration of to six categories of information treat at the higher limit. This plan is not the 6-month period, and certify that the collection, each of which is described in required to be submitted to SAMHSA. emergency situation as defined in § 8.2 the following analysis: C. Renewal, 42 CFR 8.640: Describes necessitating an increased patient limit A. Approval, 42 CFR 8.620(a) through the process for a practitioner renewing continues. (c): In order for a practitioner to receive his or her approval for the higher Annual burden estimates for these approval for a patient limit of 275, a patient limit. In order for a practitioner requirements are summarized in the practitioner must meet all of the to renew an approval, he or she must following table:
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Burden/ Hourly wage Total wage 42 CFR citation Purpose of submission Number of Responses/ response Total burden cost cost respondents respondent (hr.) (hrs.) ($) ($)
8.620(a) through (c) .... Request for Patient 517 1 .5 259 93.74 24,232 Limit Increase. 8.12(c)(2) ...... Diversion Control Plan 517 1 .5 259 93.74 24,232 8.640 ...... Renewal Request for 0 1 .5 0 93.74 0 a Patient Limit In- crease. 8.645 ...... Patient Notice ...... 0 1 3 0 93.74 0 8.655(d) ...... Request for a Tem- 10 1 3 30 64.47 1,934 porary Patient In- crease for an Emer- gency.
Total ...... 2,394 ...... 4,598 ...... 50,398
Note that these estimates differ from (September 30, 1993), Executive Order number of small entities. We provide those found in the RIA because the 13563 on Improving Regulation and supporting analysis in section F. estimates here are wage cost estimates Regulatory Review (January 18, 2011), Section 202(a) of the Unfunded while the estimates in the RIA are the Regulatory Flexibility Act of 1980 Mandates Reform Act of 1995 requires resource cost estimates which (Pub. L. 96–354, September 19, 1980), that agencies prepare a written incorporate costs associated with the Unfunded Mandates Reform Act of statement, which includes an overhead and benefits. 1995 (Pub. L. 104–4, March 22, 1995), assessment of anticipated costs and HHS received several comments and Executive Order 13132 on benefits, before proposing ‘‘any rule that regarding the Collection of Information. Federalism (August 4, 1999). includes any Federal mandate that may One commenter wanted to include in Executive Order 12866 directs result in the expenditure by State, local, the Request for Patient Limit Increase agencies to assess all costs and benefits and tribal governments, in the aggregate, information that required the of available regulatory alternatives and, or by the private sector, of $100,000,000 implementation of random tablet/film if regulation is necessary, to select or more (adjusted annually for inflation) counts and urine screens. Another regulatory approaches that maximize in any one year.’’ The current threshold commenter wanted mandatory Point-of- net benefits (including potential after adjustment for inflation is $146 Care Urine Drug Screens on each visit economic, environmental, public health, million, using the most current (2015) to document the presence of and safety effects; distributive impacts; implicit price deflator for the gross buprenorphine/naloxone and the and equity). Executive Order 13563 is domestic product. HHS expects this absence of other opioids. HHS also supplemental to and reaffirms the final rule to result in expenditures that received a comment recommending that principles, structures, and definitions would exceed this amount. drug testing be included as part of governing regulatory review as Executive Order 13132 establishes treatment with buprenorphine and thus established in Executive Order 12866. certain requirements that an agency noted in the information that would be HHS expects that this final rule will must meet when it promulgates a rule collected in the Request for Patient have an annual effect on the economy that imposes substantial direct Limit Increase. of $100 million or more in at least 1 year requirement costs on State and local HHS believes that drug screens are and therefore is a significant regulatory governments or has federalism likely part of a practitioner’s diversion action as defined by Executive Order implications. HHS has determined that control plan and part of the data that 12866. the final rule does not contain policies will inform the practitioner’s ability to The Regulatory Flexibility Act (RFA) that would have substantial direct help the patient achieve better requires agencies that issue a regulation effects on the States, on the relationship outcomes. Thus, HHS is not revising the to analyze options for regulatory relief between the Federal Government and information to be collected as part of the of small businesses if a rule has a the States, or on the distribution of Request for Patient Limit Increase. significant impact on a substantial power and responsibilities among the HHS received a comment number of small entities. The RFA various levels of government. The recommending that pharmacists be generally defines a ‘‘small entity’’ as: (1) changes in the rule represent the included in the pool of practitioners to A proprietary firm meeting the size Federal Government regulating its own which a release of information should standards of the Small Business program. Accordingly, HHS concludes be considered. Administration; (2) a nonprofit that the final rule does not contain HHS believes it may be appropriate to organization that is not dominant in its policies that have federalism release certain information to field; or (3) a small government implications as defined in Executive pharmacists if the patient provides jurisdiction with a population of less Order 13132 and, consequently, a consent. HHS declines to require that than 50,000 (States and individuals are federalism summary impact statement is pharmacists be included in the pool of not included in the definition of ‘‘small not required. practitioners to which information may entity’’). HHS considers a rule to have be released. a significant economic impact on a B. Summary of the Final Rule IV. Regulatory Impact Analysis substantial number of small entities if at Section 303(g)(2) of the CSA (21 least 5 percent of small entities U.S.C. 823(g)(2)) allows individual A. Introduction experience an impact of more than 3 practitioners to dispense and prescribe HHS has examined the impact of this percent of revenue. HHS anticipates that Schedule III, IV, or V controlled final rule under Executive Order 12866 the final rule will not have a significant substances that have been approved by on Regulatory Planning and Review economic impact on a substantial the FDA specifically for use in
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maintenance and detoxification requirements defined in this final rule Underlying many of these deaths is an treatment without obtaining the separate and after submitting a Request for untreated opioid use disorder.456 In registration required by 21 CFR Patient Limit Increase to SAMHSA. 2014, more than 2.2 million people met 1301.13(e) and imposes a limit on the Practitioners approved to treat up to 275 diagnostic criteria for an opioid use number of patients a practitioner may patients will also be required to accept disorder.7 treat at any one time. greater responsibility for providing Beyond the increase in overdose Section 303(g)(2)(B)(iii) of the CSA behavioral health services and care deaths, the health and economic allows qualified practitioners who file coordination, and ensuring quality consequences of opioid use disorders an initial NOI to treat a maximum of 30 assurance and improvement practices, are substantial. In 2011, the most recent patients at a time. After one year, the diversion control, and continuity of care year data are available, an estimated practitioner may file a second NOI in emergencies. The higher limit also 660,000 emergency department visits indicating his/her intent to treat up to requires regularly reaffirming the were due to the misuse or abuse of 100 patients at a time. To qualify, the practitioner’s ongoing eligibility and prescription opioids, heroin, or both.8 A practitioner must be a physician, participating in data reporting and recent analysis estimated the costs possess a valid license to practice monitoring as required by SAMHSA. In associated with emergency department medicine, be a registrant of the DEA, addition, practitioners in good standing and hospital inpatient care for opioid have the capacity to refer patients for with a current waiver to treat up to 100 abuse-related events in the United appropriate counseling and other patients (i.e., the practitioner has filed a States was more than $9 billion per appropriate ancillary services, and have NOI and satisfied all required criteria) year.9 The societal costs of prescription completed required training. The may request approval to treat up to 275 opioid abuse, dependence, and misuse training requirement may be satisfied in patients in specific emergency in the United States in 2011 were several ways: one may hold board situations for a limited time period estimated at $55.7 billion annually, not certification in addiction psychiatry specified in the rule. We anticipate that including societal costs related to heroin from the American Board of Medical qualifying emergency situations will use.10 Specialties or addiction medicine from occur very infrequently. As a result, we Beginning around 2006, the United the American Osteopathic Association; do not anticipate that this provision will States started to experience a significant hold an addiction certification from the contribute significantly to the impact of increase in the rate of hepatitis C virus American Society of Addiction this final rule. SAMHSA will review all infections. The available epidemiology Medicine (ASAM); complete an 8-hour emergency situation requests, to the indicates this increase is largely due to training provided by an approved extent practicable, in consultation with the increased injection of prescription organization; have participated as an appropriate governmental authorities opioids and heroin.11 12 In addition, in investigator in one or more clinical before such requests are granted. 2015, a large outbreak of HIV in a small trials leading to the approval of a Finally, the final rule defines patient rural community in Indiana was linked medication that qualifies to be limit in such a way that firmly ties the to injection of prescription opioids, prescribed under 21 U.S.C. 823(g)(2); or individual patient to the prescribing primarily injection of the prescription complete other training or have such practitioner of record rather than to the opioid oxymorphone. Over 80 percent other experience as the State medical covering practitioner at a given moment. licensing board or Secretary of HHS This will enable waivered practitioners drug_poisoning_involving_OA_Heroin_US_2000- considers to demonstrate the ability of to provide reciprocal cross-coverage of 2014.pdf. the practitioner to treat and manage 4 Johnson EM, Lanier WA, Merrill RM, et al. patients for brief periods, such as Unintentional Prescription opioid-related overdose persons with opioid use disorder. weekends or vacations, without being Pursuant to 21 U.S.C. 823(g)(2)(B)(iii), deaths: description of decedents by next of kin or considered to be in excess of their best contact, Utah, 2008–2009. J Gen Intern Med. the Secretary is authorized to respective individual limits. This will 2013;28(4):522–529. promulgate regulations that change the 5 help to ensure continuity of care in Hall AJ, Logan JE, Toblin RL, et al. Patterns of total number of patients that a abuse among unintentional pharmaceutical select situations, and we expect that this practitioner may treat at any one time. overdose fatalities. JAMA. 2008;300(22):2613–2620. The laws pertaining to the utilization will primarily affect the timing of 6 Bohnert AS, Valenstein M, Bair MJ, et al. Association between opioid prescribing patterns of buprenorphine were last revised treatment rather than the quantity of treatment. As a result, we do not and opioid overdose-related deaths. JAMA. approximately ten years ago at a time 2011;305(13):1315–1321. anticipate that the changes related to when the extent of the opioid public 7 Jones CM. Unpublished analysis of the 2014 health crisis was less well-documented. cross-coverage will contribute National Survey on Drug Use and Health Public Use significantly to the impact of this final File. 2015. The purpose of the final rule is to 8 expand access to MAT with rule, and we do not estimate associated Id. costs and benefits. 9 Chandwani HS, Strassels SA, Rascati KL, buprenorphine while encouraging Lawson KA, Wilson JP. Estimates of charges practitioners administering C. Need for the Rule associated with emergency department and hospital buprenorphine to ensure their patients inpatient care for opioid abuse-related events. J Pain The United States is facing an can receive the full array of services that Palliat Care Pharmacother. 2013;27(3):206–13. unprecedented increase in prescription 10 comprise evidence-based MAT and to Birnhaum HG, White AG, Schiller M, Waldman opioid misuse, heroin use, and opioid- T, et al. Societal costs of prescription opioid abuse, minimize the risk of drug diversion. The related overdose deaths. In 2014, 18,893 dependence, and misuse in the United States. Pain final rule revises the highest patient Med. 2011;12(4):657–67. overdose deaths involved prescription limit from 100 patients per practitioner 11 Suryaprasad AG, White JZ, Xu F, et al. opioids and 10,574 involved heroin.3 with an existing waiver (waivered Emerging epidemic of hepatitis C virus infections among young nonurban persons who inject drugs in practitioner) to 275 patients for 3 Center for Disease Control and Prevention, the United States, 2006–2012. Clin Infect Dis practitioners who meet certain criteria National Center for Health Statistics, National Vital 2014;59:1411–9. in addition to those established in Statistics System, Mortality File. (2015). Number 12 Zibbell JE, Iqbal K, Patel RC, Suryaprasad A, et statute. Practitioners who have had a and Age-Adjusted Rates of Drug-poisoning Deaths al. Increases in hepatitis C virus infection related Involving Opioid Analgesics and Heroin: United to injection drug use related to injection drug use waiver to treat 100 patients for at least States, 2000–2014. Atlanta, GA: Center for Disease among persons aged ≤30 years—Kentucky, one year could obtain approval to treat Control and Prevention. Available at http:// Tennessee, Virginia, and West Virginia, 2006–2012. up to 275 patients if they meet the www.cdc.gov/nchs/data/health_policy/AADR_ MMWR Morb Mortal Wkly Rep. 2015;64(17):453–8.
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of the 135 cases, as of April 2015, Despite these well-documented settings, 544, or 41.6 percent, were identified in the outbreak were co- benefits, buprenorphine treatment for currently treating more than 80 patients, infected with hepatitis C virus.13 The opioid use disorder is significantly and 796, or 60.8 percent, reported there infectious disease consequences underutilized and often does not was demand for treatment in excess of associated with opioid injection have incorporate the full scope of the current 100 patient limit under the been found to account for a significant recommended clinical practices that Drug Addiction Treatment Act of 2000 proportion of the economic burden and make up evidence-based MAT. (Pub. L. 106–310).31 Increasing the disability associated with opioid use Generally, there is significant unmet number of patients that a single disorders.14 need for MAT treatment among practitioner can treat with 24 There is robust literature individuals with opioid use disorders. buprenorphine, then, could have a documenting the effectiveness and cost- There is also substantial geographic direct impact on buprenorphine effectiveness of the use of variation in the capacity to prescribe capacity and utilization. buprenorphine in the treatment of buprenorphine. Research suggests that In addition to direct barriers to opioid use disorder. Buprenorphine has 10 percent of the population live in been shown to increase treatment areas where there is a limited number of treating additional patients imposed by retention and to reduce opioid use, practitioners eligible to prescribe the patient limit, there are indirect relapse risk, and risk behaviors that buprenorphine or in counties that have barriers to expanding treatment transmit HIV and hepatitis.15 16 17 18 19 20 no practitioners with a waiver to capacity. In particular, increases in a Reductions in opioid-related mortality prescribe buprenorphine.25 These are practitioner’s ability to expand his or have been shown for primarily rural counties and areas her patient base will allow the 26 buprenorphine.21 22 23 located in the middle of the country. practitioner to take advantage of Only about 5 percent of practitioners economies of scale to increase the currently authorized to treat up to the 13 Conrad C, Bradley HM, Broz D, et al. practice’s efficiency. For example, a Community outbreak of HIV infection linked to 100 patient limit are located in rural practitioner with a larger practice is injection drug use of oxymorphone—Indiana, 2015. counties.27 more likely to be able to afford to hire MMWR Morb Mortal Wkly Rep. 2015;64(16): 443– Evidence suggests that utilization of specialized support staff, which allows 4. buprenorphine is limited directly by the the practitioner to reduce time spent on 14 Degenhardt L, Whiteford HA, Ferrari AJ, existence of treatment limits. Charlson FJ, et al. Global burden of disease tasks best suited for another individual. attributable to illicit drug use and dependence: Practitioners currently providing MAT This may help to enable the provision findings from the Global Burden of Disease Study with buprenorphine under 21 U.S.C. of the full complement of ancillary 2010. Lancet 2013;382(9904):1564–74. 823(g)(2) report that being limited to 15 Clark RE, Baxter JD, Aweh G, O’Connell E, et services that make up evidence-based treating not more than 100 patients at a MAT. Increasing a practitioner’s al. Risk factors for relapse and higher costs among time is a barrier to expanding Medicaid members with opioid dependence or maximum capacity for treatment has the treatment.28 29 30 A recent survey by abuse: opioid agonists, comorbidities, and treatment potential to make treating patients with history. J Subst Abuse Treat. 2015;57:75–80. ASAM found that among the 1,309 buprenorphine more economically 16 Mattick RP, Breen C, Kimber J, Davoli M. respondents (approximately 35 percent feasible, with the likelihood of Buprenorphine maintenance versus placebo or of ASAM’s membership), comprising a methadone maintenance for opioid dependence. range of addiction stakeholders, increasing capacity to prescribe Cochrane Database Syst Rev. 2014 Feb buprenorphine. 6;2:CD002207. doi: 10.1002/14651858.CD00 including those working in OTPs and 2207.pub4. outpatient or office-based practice The statutory change implemented in 17 Kraus ML, Alford DP, Kotz MM, et al. 2007 that increased the limit on the Statement of the American Society of Addiction 24 Jones CM, Campopiano M, Baldwin G, number of buprenorphine patients a Medicine consensus panel on the use of McCance-Katz E. National and state treatment need practitioner could treat from 30 to 100, buprenorphine in office-based treatment of opioid and capacity for opioid agonist medication-assisted addiction. J Addict Med. 2011;5(4):254–263. treatment. Am J Public Health 2015;105(8):e55–63. after having a 30 patient limit for 1 year, 18 Bonhomme J, Shim RS, Gooden R, Tyus D, Rust 25 Rosenblatt RA, Andrilla CH, Catlin M, Larson was associated with a significant G. Opioid addiction and abuse in primary care EH. Geographic and specialty distribution of US increase in the use of buprenorphine.32 practice: a comparison of methadone and physicians trained to treat opioid use disorder. Ann In 2007, when practitioners were first buprenorphine as treatment options. J Natl Med Fam Med. 2015 Jan–Feb;13(1):23–6. doi: 10.1370/ Assoc. 2012;104(7–8):342–350. afm.1735. able to treat up to 100 patients, nearly 19 Tsui JI, Evans JL, Lum PJ, Hahn JA, Page K. 26 Dick AW, Pacula RL, Gordon AJ, Sorbero M, et 25 percent of eligible practitioners Association of opioid agonist therapy with lower al. Growth in buprenorphine waivers for physicians submitted a NOI to treat 100 patients incidence of hepatitis C virus infection in young increased potential access to opioid agonist adult injection drug users. JAMA Intern Med. (1,937 practitioners out of 7,887 treatment, 2002–11. Health Affairs 2015;34(6):1028– 33 2014;174(12):1974–1981. 1034. practitioners). The findings from the 20 Woody GE, Bruce D, Korthuis PT, Chhatre S, 27 Stein BD, Pacula RL, Gordon AJ, Burns RM, et ASAM survey discussed above and et al. HIV risk reduction with buprenorphine- al. Where is buprenorphine dispensed to treat additional information indicate there is naloxone or methadone: findings from a opioid use disorders? The role of private offices, sufficient demand from both providers randomized trial. J Acuir Immune Defic Syndr. opioid treatment programs, and substance abuse 2015;68(5):554–61. treatment facilities in urban and rural counties. and patients to raise the patient limit. In 21 Center for Substance Abuse Treatment. Clinical Milbank Quarterly 2015;93(3):56561–583. addition, based on the experience in Guidelines for the Use of Buprenorphine in the 28 Molfenter T, Sherbeck C, Zehner M, Starr S. 2007, it is expected that some Treatment of Opioid Addiction. Treatment Buprenorphine Prescribing Availability in a Sample proportion of eligible practitioners will Improvement Protocol (TIP) Series 40. DHHS of Ohio Specialty Treatment Organizations. J Addict Publication No. (SMA) 04–3939. Rockville, MD: Behav Ther Rehabil. 2015;4(2). pii: 1000140. respond to the final rule by submitting Substance Abuse and Mental Health Services 29 Molfenter T, Sherbeck C, Zehner M, Quanbeck a Request for Patient Limit Increase to Administration, 2004. A, et al. Implementing buprenorphine in addiction treat up to 275 patients. 22 Schwartz RP, Gryczynski J, O’Grady KE, et al. treatment: payer and provider perspectives in Ohio. Opioid agonist treatments and heroin overdose Subst Abuse Treat Prev Policy. 2015;10:13. doi: deaths in Baltimore, Maryland, 1995–2009. Am J 10.1186/s13011–015–0009–2. 31 American Society of Addiction Medicine. 2015. Public Health. 2013;103(5):917–922. 30 Substance Abuse and Mental Health Services Available at: http://www.asam.org/magazine/read/ 23 Carrieri MP, Amass L, Lucas GM, Vlahov D, Administration. (2006). The SAMHSA Evaluation of article/2015/12/08/addiction-specialists-weigh-in- Wodak A, Woody GE. Buprenorphine use: the the Impact of the DATA Waiver Program. Retrieved on-the-data-2000-patient-limits. international experience. Clin Infect Dis. from http://www.buprenorphine.samhsa.gov/FOR_ 32 Stein supra note 27. 2006;43(suppl 4):S197–S215. FINAL_summaryreport_colorized.pdf. 33 Jones, supra note 24.
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D. Analysis of Benefits and Costs high-risk for opioid use disorders that psychosocial services.42 43 44 However, previously did not have sufficient in order to afford a nurse or other a. Increased Ability for Waivered access to health insurance coverage.35 clinician dedicated to providing Practitioners To Treat Patients With Second, parity protections from the evidence-based treatment for an opioid Buprenorphine-Based MAT Mental Health Parity and Addiction use disorder, practitioners need a This final rule directly expands Equity Act and the Affordable Care Act minimum volume of patients. Allowing opportunities for physicians who will include coverage for mental health practitioners to treat up to 275 patients currently treat or who may treat patients and substance use disorder treatment at a time could be a step towards with buprenorphine, as they will now that is comparable to medical and supporting practitioners that seek to have the potential to treat up to 275 surgical coverage in many types of hire nurses and other clinical staff to patients with buprenorphine. We insurance policies. Insurance coverage reduce practitioners’ time requirements believe that this may translate to a and cost of treatment have previously and to provide the comprehensive financial opportunity for these been cited as important reasons that services of high-quality MAT with physicians, depending on the costs individuals seeking treatment have not buprenorphine. This impact of associated with treating these additional used buprenorphine.36 37 38 39 A final leveraging non-physicians to facilitate patients. rule to extend parity protections to expanded access to buprenorphine has Relatedly, this final rule may increase Medicaid managed care plans was been demonstrated in both Vermont and the value of the waiver to treat opioid released earlier this year. These changes Massachusetts.45 46 use disorder under 21 U.S.C. 823(g)(2). in health insurance coverage should Discussions with stakeholders about The final rule requires practitioners to improve access to substance use approaches to expanding access to have a waiver to treat 100 patients for disorder treatment, including MAT, including the use of 1 year and to have additional buprenorphine. buprenorphine-based MAT, suggest that credentialing as defined in § 8.2 or to expanding the patient limit in general practice in a qualified practice setting as c. Increased Time To Treat Patients will result in increased efficiencies in defined in the rule in order to request Lack of practitioner time to treat treating opioid use disorder patients. It approval to treat up to 275 patients. If patients with opioid use disorder, will allow treating practitioners to getting to the 275-patient limit provides which includes a patient exam, provide the physician-appropriate sufficient benefits to practitioners, this medication consultation, counseling, services consistent with their waiver. It final rule may also increase incentives and other appropriate treatment will provide more efficient supportive for other practitioners to apply for the services, and lack of behavioral health care, not related to prescribing or lower patient limit waivers, insofar as staff to provide these treatment services, administering buprenorphine- they are milestones towards the 275- are additional barriers to providing containing products, by allowing the patient limit. In addition, this rule may MAT with buprenorphine in the office- treating practitioner to supervise this also make it more valuable for based setting.40 41 These barriers could care, which can be provided by practitioners to have additional be addressed by leveraging the time and physician assistants, nurse practitioners, credentialing as defined in § 8.2, or to skills of clinical support staff, such as nurse case managers, and other practice in a qualified practice setting. nurses and clinical social workers. For behavioral health specialists. The final rule, then, may increase the example, in Massachusetts and number of practitioners in these d. Federal Costs Associated With Vermont, nurses provide screening, categories and thus the number of Disseminating Information About the intake, education, and other ancillary practitioners eligible for the 275-patient Rule services for patients treated with limit in the future. Following publication of this final buprenorphine. This enables rule, SAMHSA will work to educate b. Increased Treatment for Patients practitioners to treat additional patients providers about the requirements and Permitting practitioners to treat up to and to provide the requisite opportunities for requesting and 275 patients will only be successful if it obtaining approval to treat up to 275 results in practitioners serving 35 Jones, supra note 7. patients under 21 U.S.C. 823(g)(2). additional patients. As discussed 36 Volkow ND, Frieden TR, Hyde PS, et al. Medication-assisted therapies—tackling the opioid- SAMHSA will prepare materials previously, there are many reasons to overdose epidemic. New Eng J Med 2014; summarizing the changes as a result of expect this to happen as a result of the 370(22):2063–6. publication of this final rule. In 37 Sohler NL, Weiss L, Egan JE, et al. Consumer 42 Alford D, LaBelle C, Richardson J, O’Connell J, addition, we expect that other factors attitudes about opioid addiction treatment: a focus et al. Treating homeless opioid dependent patients group study in New York City. J Opioid Manag. with buprenorphine in an office-based setting. could amplify the impact of the changes 2013;9(2):111–119. Society of General Internal Medicine. 2007; 22: in the rule. First, following the 38 Greenfield BL, Owens MD, Ley D. Opioid use 171–176. implementation of the Affordable Care in Albuquerque, New Mexico: a needs assessment 43 Labelle, C. Nurse Care Manager Model. http:// Act, health insurance coverage has of recent changes and treatment availability. Addict buprenorphine.samhsa.gov/presentations/LaBelle. expanded dramatically in the United Sci Clin Pract. 2014;9:10. doi: 10.1186/1940–0640– pdf. 9–10. 44 State of Vermont: Concept for Medicaid Health States. The uninsured rate among adults 39 American Society of Addiction Medicine. State Home Program http://hcr.vermont.gov/sites/hcr/ age 18–64 declined from 22.3 percent in Medicaid coverage and authorization requirements files/VT_SPA_Concept_Paper_final_CMS_10_02_ 2010 to 12.7 percent during the first 6 for opioid dependence medications. 2013. Available 12.pdf. months of 2015.34 Further, the at: http://www.asam.org/docs/advocacy/ 45 LaBelle CT, Han SC, Bergeron A, Samet JH. Affordable Care Act expanded coverage Implications-for-Opioid-Addiction-Treatment. Office-Based Opioid Treatment with Buprenorphine 40 Hutchinson E, Catlin M, Andrilla CH, Baldwin (OBOT–B): Statewide Implementation of the includes populations who may be at LM, Rosenblatt RA. Barriers to primary care Massachusetts Collaborative Care Model in physicians prescribing buprenorphine. Ann Fam Community Health Centers. J Subst Abuse Treat. 34 Centers for Disease Control and Prevention. Med. 2014 Mar–Apr;12(2):128–33. 2016;60:6–13. Health insurance coverage: early release of 41 DeFlavio JR, Rolin SA, Nordstrom BR, Kazal 46 Vermont Department of Health. The estimates from the National Health Interview LA Jr. Analysis of barriers to adoption of effectiveness of Vermont’s System of Opioid Survey, January–June 2015. Available at: http:// buprenorphine maintenance therapy by family Addiction Treatment. 2015. Available at: http:// www.cdc.gov/nchs/data/nhis/earlyrelease/insur physicians. Rural Remote Health. 2015;15:3019. legislature.vermont.gov/assets/Legislative-Reports/ 201511.pdf. Epub 2015 Feb 4. Opioid-system-effectiveness-1.14.15.pdf.
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this final rule, and provide these information to an estimated 50,000 comment, and discussions with materials to practitioners potentially practitioners, which includes stakeholders, and changes in affected by the rulemaking upon its practitioners with a waiver to prescribe qualifications necessary to request a publication. SAMHSA has already buprenorphine (i.e., approximately waiver to treat up to 275 patients, we established channels for disseminating 30,000 practitioners as of December estimate that between 500 and 1,800 information about rule changes to 2015) and those who are reached practitioners will request approval to stakeholders; it is estimated that through SAMHSA’s dissemination treat up to 275 patients within the first preparing and disseminating these network (i.e., 20,000 practitioners). For year following publication of the final materials will cost approximately purposes of analysis we assume that 75 rule. This translates to between $40,000, based upon experience percent of these practitioners will approximately 5 percent and 18 percent soliciting public comment on past rules review this information, and, as a result, of eligible providers with the 100 and publications such as the Federal we estimate that dissemination will patient limit requesting the higher Opioid Treatment Program Standards. result in a total cost of $3.5 million. patient limit in the first year. This is consistent with a public comment that e. Practitioners Costs To Evaluate the f. Practitioner Costs To Submit a indicated that 8 to 15 physicians (or 11 Policy Change Request for Patient Limit Increase percent–21percent) in Vermont would We expect that practitioners Practitioners who want to treat up to request the higher patient limit, as well potentially affected by this policy 275 patients at a given time are required as a recent study in Ohio which found change will process the information and to submit a Request for Patient Limit among specialty treatment providers decide how to respond. In particular, Increase form to SAMHSA. The form is that 17 percent had turned away they will likely evaluate the three pages in length. We estimate that patients due to prescribing capacity requirements and opportunities the form takes a practitioner an average limits.50 In addition, our lower bound associated with the ability to treat up to of 1 hour to complete the first time it is estimate of 5 percent is in line with an 275 patients, and decide whether or not completed, implying a cost of $187.48 internal analysis by HHS that found it is advantageous to pursue approval to per submission after adjusting upward approximately 5 percent of physicians treat up to 275 patients and make any by 100 percent to account for overhead with the 100 patient limit in 3 necessary changes to their practice, such and benefits. A draft Request for Patient geographic diverse States were as obtaining additional credentialing as Limit Increase form is available in the prescribing at or near their 100 patient defined in § 8.2, or the ability to treat docket. We did not receive public limit. We estimate that between 100 and patients in a qualified practice setting. comment on these assumptions when 300 additional practitioners will request We estimate that practitioners may proposed, and as a result they remain approval to treat up to 275 patients in spend an average of thirty minutes unchanged from those appearing in the each of the subsequent 4 years. This processing the information and deciding proposed rule. We do not have ideal would result in 600 to 2,100 what action to take. According to the information with which to estimate the practitioners in the second year, 700 to U.S. Bureau of Labor Statistics,47 the number of practitioners who will submit 2,400 practitioners in the third year, 800 average hourly wage for a physician is a Request for Patient Limit Increase to 2,700 in the fourth year, and 900 to $93.74. After adjusting upward by 100 form in response to this final rule, and 3,000 practitioners in the fifth year. We percent to account for overhead and we therefore acknowledge uncertainty use the midpoint of each of these ranges benefits, we estimate that the per-hour regarding the estimate of the total to estimate costs and benefits in the first cost of a physician’s time is $187.48. associated cost. However, based on the 5 years following publication of the Thus, the cost per practitioner to experience with the patient limit final rule. This would result in a range process this information and decide increase from 30 to 100 implemented in of $93,740 to $337,464 in costs related upon a course of action is estimated to 2007,48 49 the results of the 2015 ASAM to Request for Patient Limit Increase be $93.74. SAMHSA will disseminate survey described earlier, public submissions in the first year.
Number of requests for Cost patient limit ($) increase
Year 1 ...... 1,150 215,600 Year 2–5 ...... 200 37,500
Total ...... 1,950 365,600
g. Practitioner Costs To Resubmit a the same 3-page Request for Patient estimate that resubmissions will require Request for Patient Limit Increase Limit Increase used for an initial waiver a practitioner an average of 30 minutes After approval, a practitioner would request. We estimate that this will take to complete, implying a cost of $93.74 need to be resubmit a Request for 30 minutes because practitioners will be per resubmission. To calculate costs Patient Limit Increase every 3 years to more familiar with the Request for associated with resubmission, we maintain his or her waiver to treat up to Patient Limit Increase. Consistent with assume that all physicians who submit 275 patients. A practitioner would use the physician wage estimate above, we a Request for Patient Limit Increase will
47 U.S. Bureau of Labor Statistics. National dependence with office-based treatment with 50 Molfenter T, Sherbeck C, Zehner M, Starr S. Occupational Employment and Wage Estimates. buprenorphine: national surveys of physicians. J Buprenorphine prescribing availability in a sample Retrieved from: http://www.bls.gov/oes/current/ Subst Abuse Treat. 2010;39(2):96–104. of Ohio specialty treatment organizations. J Addict oes_nat.htm#29-0000. 49 Jones, supra note 24. Behav Ther Rehabil. 2015;4(2): doi:10.4172/2324– 48 Arfken CL, Johanson CE, Menza SD, Schuster 9005.1000140. CR. Expanding treatment capacity for opioid
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submit a renewal 3 years later. Our estimates are summarized in the table below.
Number of Cost renewals ($)
Year 1–3 (renewals not necessary) ...... 0 0 Year 4 ...... 1,150 108,000 Year 5 ...... 200 19,000
Total ...... 1,350 127,000
h. Private-Sector Costs Associated With estimate that physicians will resubmit buprenorphine prescriptions annually. Newly Applying for Any Waiver 500 to 1,800 renewals in year 4, and 100 We use estimates from commercial Practitioners may also be interested in to 300 renewals in year 5. As a result, insurance and Medicaid in order to the ability to eventually treat up to 275 we estimate costs to SAMHSA to capture the range of costs per patient patients, and may make changes toward process these waivers of $50,000– across different insurance programs. achieving that goal. As discussed $180,000 in year 1, $10,000–$30,000 in However, we note that the rule will previously, these changes may increase year 2, $10,000–$30,000 in year 3, impact patients with and incur costs to the number of practitioners who apply $60,000–$210,000 in year 4, and not only commercial insurance and for a waiver to treat 30 or 100 patients. $20,000–$60,000 in year 5 following Medicaid but also other public and publication of the final rule. We private insurers. This would require practitioners to ® complete the required training, possess estimate that DEA will allocate the According to the MarketScan data, a valid license to practice medicine, be equivalent of 1 FTE at the GS–11 level approximately 69 percent of Medicaid a registrant of DEA, and have the to process the additional requests patients and 45 percent of privately capacity to refer patients for appropriate coming to DEA for issuance of a new insured patients received an outpatient counseling and other appropriate DEA number designating the physician psychosocial service related to ancillary services. In addition, these as eligible to prescribe buprenorphine substance use disorder in addition to changes could increase the number of for the treatment of opioid use disorder their buprenorphine prescription. The practitioners who seek additional as a result of this final rule. We estimate average number of visits among those credentialing as defined in § 8.2 or meet the associated cost is $144,238, which who received any psychosocial service the requirements for practicing in a we arrive at by multiplying the salary of was eight for privately insured patients qualified practice setting as outlined in a GS–11 employee at step 5, which is at an average cost of $3,000 per year and the final rule. This would likely include $72,219 in 2015, by two to account for 10 for Medicaid patients at an average practice experience requirements, fees overhead and benefits. cost of $1,100 per year. We assumed that the quality of care would increase and time associated with preparing for j. Costs and Benefits of New Treatment and taking an exam, time and fees for among patients treated by practitioners continuing medical education Once requests to treat up to 275 with the 275-patient limit due to the requirements, and payment of patients generated by the final rule are extra oversight and quality of care certification fees. We lack information processed, approved practitioners requirements in the final rule. to estimate the number of practitioners would be able to increase the number of Specifically, we assumed that 80 who will change behavior along these patients they treat with buprenorphine. percent of patients would receive dimensions, and did not receive this These patients, then, could utilize outpatient psychosocial services. information through the public additional medical services that are The cost of providing MAT with comment process. Thus, we do not consistent with the expectations for buprenorphine, including prescriptions, provide estimates of costs and benefits. high-quality, evidence-based MAT in ancillary, and psychosocial services, is the rule. We estimate the cost for estimated at $4,590 for commercial i. Federal Costs Associated With buprenorphine and these additional insurance and $3,525 for Medicaid Processing New 275-Patient Limit medical services, including behavioral beneficiaries. Based on data from IMS Waivers health and psychosocial services, as a Health, it is estimated that In addition to the costs associated result of the final rule to total $4,349 per approximately 18 percent of individuals with practitioners seeking approval for patient per year, as described below. receiving MAT with buprenorphine are the higher patient limit, costs will be This estimate was derived using Medicaid enrollees. Thus, we arrived at incurred by SAMHSA and DEA in order claims data from the 2009–2014 Truven the estimated average cost for to process the additional Requests for Health MarketScan® database. individuals new to the treatment system Patient Limit Increase generated by the According to the MarketScan® data, the as a result of the final rule to be $4,350 final rule. For purposes of analysis, and annual cost of buprenorphine per patient per year. based on contractor estimates, SAMHSA prescriptions and ancillary psychosocial The total resource costs associated estimates that it will pay a contractor services received totaled $3,500 for with additional treatment is the product $100 to process each waiver. As individuals with private insurance and of additional treatment costs per person discussed previously, we estimate that $3,410 for individuals with Medicaid. and the number of people who will between 500 and 1,800 practitioners Specifically, the average annual cost of receive additional treatment as a result will request approval to treat up to 275 buprenorphine prescriptions was $2,100 of the final rule. For purposes of patients within the first year of the rule, for commercial insurance based on analysis, we assume that each and between 100 and 300 additional receipt of an average of seven practitioner who requests approval to practitioners will request approval to buprenorphine prescriptions annually treat up to 275 patients will treat treat up to 275 patients in each of the and $2,600 for Medicaid based on between 20 and 50 additional patients subsequent 4 years. In addition, we receipt of an average of 10 each year. This is based on the
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experience with the increase from the associated with additional treatment. averages out to the equivalent of 35 30 patient limit to the 100 patient limit However, applying this assumption patients receiving the full spectrum of and taking into account the increase in would result in an estimated range of care). We use these ranges to estimate demand for buprenorphine treatment 10,000 to 90,000 additional patients costs and benefits of the rule. Based on since that statutory change.51 52 In treated in the first year; and an this information, we estimate the addition, we have adjusted the upper additional 2,000 to 15,000 patients in treatment costs associated with new bound of this range in line with the shift each subsequent year. To estimate costs patients receiving treatment with to the availability of a waiver to treat up associated with this increase in the buprenorphine as a result of this final to 275 rather than 200 patients. We note number of patients, we assume that, on rule will be between $43.5 million and that in that case, there were no new average, each physician will treat the $391 million in the first year with a costs imposed on practitioners beyond equivalent of 35 full-time patients (i.e., central estimate of $175 million, and an those associated with additional some patients might receive fewer additional $8.7 million to $65.2 million treatment, whereas in this final rule services and others might receive more, in each subsequent year with a central there are new costs beyond those but for cost estimates we assume it estimate of $30.4 million.53
Additional people receiving treat- Treatment ment, relative to costs (millions) baseline
Year 1 ...... 40,250 $175 Year 2 ...... 47,250 205 Year 3 ...... 54,250 236 Year 4 ...... 61,250 266 Year 5 ...... 68,250 297
Evidence suggests that the benefits months of clinical stability. Evidence we estimate monetized health benefits associated with additional suggests a 43.3 percent completion rate of $1,416 million in the first year, with buprenorphine utilization are likely to for a six month treatment course.57 For estimated monetized health benefits exceed their cost. One study estimates other individuals, we estimate they rising by $246 million in each the costs and Quality Adjusted Life Year experience half of the annual health subsequent year as more individuals (QALY) gains associated with long-term benefits, equivalent to 0.055 QALYs. In receive treatment as a result of the rule. office-based treatment with addition, based on an internal analysis These monetized health benefits are buprenorphine-naloxone for clinically of data from the National Survey on summarized below. We also explore the stable opioid-dependent patients Drug Use and Health, we estimate that sensitivity of these results to our compared to no treatment. The authors 20 percent of new patients impacted by assumptions regarding the health estimate total treatment costs over 2 this rule will have received some form benefits related to treatment in our years of $7,700 and an associated 0.22 of non-medication-assisted treatment for QALY gain compared to no treatment in opioid use disorder in the past year and section on sensitivity analysis. HHS their base case.54 55 Following a food 80 percent of patients will be new to believes that the public will also safety rule recently published by FDA,56 treatment.58 For the 20 percent of experience benefits that go beyond the we use a value of $1,260 per quality- patients switching to buprenorphine health benefits quantified and adjusted life day. This implies a value from other non-MAT interventions, we monetized here. These benefits include of $460,215 ($1,260 * 365.25) per adjust their estimated health benefit reductions in costs associated with QALY, which we use to monetize the downward by 15 percent to account for criminal justice system interactions. health benefits here. As a result, we benefits derived from non-MAT While these are important benefits of estimate average annual benefits ranges interventions prior to initiating this rule, HHS does not quantify the of $51,000 per person who achieves 6 buprenorphine treatment. As a result, rule’s effects along these dimensions.
Additional people receiving treat- Monetized ment, relative to health benefits baseline (millions)
Year 1 ...... 40,250 $1,416 Year 2 ...... 47,250 1,662 Year 3 ...... 54,250 1,909
51 Arfken, supra note 48. 55 These results omit lost utility associated with Maintenance Therapy for Opioid Dependence. New 52 Jones, supra note 24. the illegal consumption of heroin or other opioids. England Journal of Medicine. 2006; 355:365–374. 53 As noted subsequently, some individuals Such omission is consistent with Zerbe, R.O. Is doi: 10.1056/NEJMoa055255 newly receiving MAT would have accessed non- Cost-Benefit Analysis Legal? Three Rules. Journal of 58 Given that data from the National Survey on MAT interventions in the absence of this rule. Policy Analysis and Management 17(3): 419–456, Drug Use and Health indicate only a minority of Accounting for this would reduce the estimates of 1998. patients with substance use disorder treatment need rule-induced costs. 56 This RIA can be found here: http:// actually recognize that need and seek treatment, we 54 Schackman BR, Leff JA, Polsky D, Moore BA, www.fda.gov/downloads/AboutFDA/ note that 20 percent likely represents the lower Fiellin DA. Cost-Effectiveness of Long-Term ReportsManualsForms/Reports/EconomicAnalyses/ bound of the portion of new MAT recipients who Outpatient Buprenorphine-Naloxone Treatment for UCM472330.pdf. would have received some form of non-MAT Opioid Dependence in Primary Care. Journal of 57 Fiellin DA, Pantalon MV, Chawarski MC, treatment in the absence of the rule, thus leading General Internal Medicine. 2012;27(6):669–676. Moore BA, Sullivan LE, O’Connor PG, Schottenfeld to some tendency in the benefits to be doi:10.1007/s11606–011–1962–8. RS. Counseling plus Buprenorphine—Naloxone overestimated.
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Additional people receiving treat- Monetized ment, relative to health benefits baseline (millions)
Year 4 ...... 61,250 2,155 Year 5 ...... 68,250 2,431
k. Potential for Diversion could, in some cases, reduce diversion We estimate that practitioners will While we expect many benefits because of improved access to high- request ten of these waivers in each associated with this final rule, it is quality, evidence-based buprenorphine year. We estimate that requesting this possible that there would be unintended treatment. waiver would require approximately 1 negative consequences. First, prior Moreover, to reduce the risk of hour of physician time and 2 hours of research looked at Utah statewide diversion, one of the additional administrative time, and responding to increases in buprenorphine use and the requirements placed on providers who the request would require resources number of reported unintentional seek the 275-patient limit is approximately equivalent to responding pediatric exposures, and found that as implementation of a diversion control the three Requests for Patient Limit buprenorphine use increased between plan. However, it is possible that State Increase submissions, which is $300. As 2002 and 2011, the number of and local law enforcement could incur a result, we estimate that this unintentional pediatric exposures in the additional costs if diversion increases as requirement is associated with costs of State increased.59 Thus, it is possible a result of this final rule. We do not approximately $7,000 in each year that the increased utilization of have sufficient information to estimate following publication of the final rule. buprenorphine as a result of this final the extent to which these unintended n. Summary of Impacts rule without appropriate patient consequences could occur, and did not counseling and action to ensure the safe receive any through public comment. The final rule’s impacts will take use, storage, and disposal of l. Practitioner Reporting Requirements place over a long period of time. As buprenorphine, may lead to an increase discussed previously, we expect the As discussed elsewhere in the in unintentional pediatric exposures. In existence of the waiver to treat up to 275 preamble, HHS has decided to issue addition, there has been an increase in patients will increase the desirability of concurrently a Supplemental Notice of diversion of buprenorphine as use of the waivers to treat 30 and 100 patients. Proposed Rulemaking to seek additional product has increased. According to the This implies that more practitioners will comments on the proposed reporting National Forensic Laboratory work toward fulfilling the requirements requirements and is therefore delaying Information System (NFLIS)—a system associated with receiving these waivers. the finalization of the reporting used to track diversion—buprenorphine Further, this may make practitioners is the third most common narcotic requirements proposed in § 8.635 of the early in their career more likely to analgesic reported in NFLIS, with NPRM. At this time, we lack the choose addiction medicine or addiction 15,209 cases reported in 2014. This information necessary to estimate the psychiatry as their specialty. All of this represents 12.4 percent of all narcotic costs associated with future reporting implies that the final rule will have a analgesic cases in NFLIS in 2014.60 requirements, and as a result do not It is important to note that studies estimate them here. growing impact on capacity to prescribe have found that the motivation to divert buprenorphine as time passes. Since the m. Costs Associated With Waiver buprenorphine is often associated with lack of capacity to treat patients using Requests in Emergencies lack of access to treatment or using the buprenorphine is a barrier to its medication to manage withdrawal—as Under the final rule, practitioners in utilization, this suggests that the final opposed to diversion for the good standing with a current waiver to rule will lead to growing increases in medication’s psychoactive effect.61 62 treat up to 100 patients may request the utilization of buprenorphine, and Thus, the overall effect of this temporary approval to treat up to 275 growing increases in the associated rulemaking on diversion is not clear patients in specific emergency positive health and economic effects. given that the increased utilization of situations. As discussed previously, we The following table presents these buprenorphine could affect the anticipate that qualifying emergency costs and benefits over the first 5 years opportunity for diversion, but also situations will occur very infrequently. of the final rule.
ACCOUNTING TABLE OF BENEFITS AND COSTS OF ALL CHANGES
Present value over 5 years Annualized value over 5 years by discount rate by discount rate (millions of 2014 dollars) (millions of 2014 dollars)
BENEFITS 3 Percent 7 Percent 3 Percent 7 Percent
Quantified Benefits ...... 8,935 8,228 1,894 1,875
59 Centers for Disease Control and Prevention. Annual Report. Available at: https:// 62 Genberg BL, Gillespie M, Schuster CR, Buprenorphine prescribing practices and exposures www.nflis.deadiversion.usdoj.gov/Reports.aspx. Johanson CE, et al. Prevalence and correlates of reported to a poison center—Utah, 2002–2011. 61 Lofwall MR, Havens JR. Inability to access street-obtained buprenorphine use among current MMWR 2012;61:997–1001. buprenorphine treatment as a risk factor for using and former injectors in Baltimore, Maryland. Addict 60 Drug Enforcement Administration. National diverted buprenorphine. Drug Alcohol Depend. Behav. 2013;38(12):2868–73. Forensic Laboratory Information System. 2014 2012;126(3):379–83.
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ACCOUNTING TABLE OF BENEFITS AND COSTS OF ALL CHANGES—Continued COSTS 3 Percent 7 Percent 3 Percent 7 Percent
Quantified Costs ...... 1,109 1,022 235 233
E. Sensitivity Analysis We estimate that practitioners who the dollar value of health benefits, we The total estimated benefits of the receive a waiver to treat up to 275 use a value of approximately $460,000 changes here are sensitive to patients will treat between 20 and 50 per QALY. For alternative values per assumptions regarding the number of additional patients each year, with a QALY between $300,000 and $600,000, practitioners who will seek a waiver to central estimate of an average of 35 all else equal, we estimate annualized treat up to 275 patients as a result of the additional patients. For alternative benefits using a 3 percent discount rate final rule, the number of individuals estimates of 20 to 50 additional patients ranging from $1,235 million to $2,469 who will receive MAT as a result of the per year, all else equal, we estimate million over the 5 years following final rule, the average per-person health annualized benefits using a 3 percent implementation. benefits associated with this additional discount rate ranging from $1,082 million to $2,706 million and Alternative assumptions along these treatment, and the dollar value of these four dimensions, when varied together, health improvements. We estimate that annualized costs ranging from $135 using a 3 percent discount rate, imply 500 to 1,800 practitioners will apply for million to $336 million over the 5 years a waiver to treat up to 275 patients in following implementation. annualized benefit estimates ranging the first year, and 100 to 300 We estimate that individuals who from $167 million to $8,576 million and practitioners will apply for a waiver to receive MAT as a result of the final rule annualized cost estimates ranging from treat up to 275 patients in subsequent will experience average health $61 million to $519 million. We note years following publication of the final improvements equivalent to that, in all scenarios discussed in this rule, with central estimates at the approximately 0.08 QALYs. For section, annualized benefits midpoint of each range. For alternative alternative estimates of these health substantially exceed annualized costs. estimates in these ranges using a 3 improvements between 0.04 and 0.12 There are, however, uncertainties not percent discount rate, all else equal, we QALYs, all else equal, we estimate reflected in this sensitivity analysis, estimate annualized benefits ranging annualized benefits using a 3 percent which might lead to net benefits results from $855 million to $2,934 million and discount rate ranging from $991 million that are smaller or larger than the range annualized costs ranging from $107 to $2,973 million over the 5 years of estimates summarized in the million to $364 million. following implementation. To estimate following table.
LOW, HIGH, AND PRIMARY BENEFIT AND COST ESTIMATES
Annualized value over 5 years 3 percent discount rate (millions of 2014 dollars)
BENEFITS Low Primary High
Quantified Benefits ...... 167 1,894 8,576
COSTS Low Primary High
Quantified Costs ...... 61 235 519
F. Analysis of Regulatory Alternatives experiences health gains associated with of this rule are difficult to project, treatment, as well as to society which leading us to adopt a measured We carefully considered the option of bears smaller costs associated with the approach to increasing access. Given the not pursuing regulatory action. negative effects of opioid use disorders. complexity of the condition, the However, existing evidence indicates These benefits are expected to greatly increased potential for diversion that opioid use disorder and its related health consequences is a substantial and exceed the costs associated with associated with a higher prescribing increasing public health problem in the increases in treatment. As a result, we limit, and the need to ensure high United States, and it can be addressed expect the benefits of this regulatory quality care, it was determined that by increasing access to effective action to exceed its costs. addiction specialist physicians and treatment. As discussed previously, the We also considered allowing those with the infrastructure and lack of sufficient access to treatment is practitioners waivered to treat up to 100 capacity to deliver the full complement directly affected by the existing limit on patients to apply for the higher of services recommended by clinical the number of patients each practitioner prescribing limit without having to meet practice guidelines would be best suited with a waiver can currently treat using the additional credentialing as defined to balance these concerns. buprenorphine, and removing this in § 8.2 or qualified practice setting Finally, we considered the alternative barrier to access is very likely to requirements as defined in the final of having no reporting requirement for increase the provision of this treatment. rule. One important objective of this physicians with the 275-patient limit. Finally, the provision of MAT with final rule is to expand access while Although this alternative would reduce buprenorphine provides tremendous mitigating the risks associated with the 1 hour of physician time and 2 benefits to the individual who expanded access. In addition, the effects hours of administrative time estimated
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for data reporting in our analysis, we to take a maximum of 4 hours per Administrator, Substance Abuse and did not pursue this alternative. The practitioner in any given year. This Mental Health Services Administration reporting requirements are intended to represents less than 1 percent of hours (SAMHSA), a certification that the reinforce recommendations included in worked for an individual working full- practitioner is qualified under the clinical practice guidelines on the time. Further, this final rule does not Secretary’s standards and will comply delivery of high quality, effective, and require practitioners to undertake these with such standards. Eligibility for safe patient care. Specifically, burdens, as this rulemaking does not certification will depend upon the nationally-recognized clinical require practitioners to seek a waiver to practitioner obtaining accreditation guidelines on office-based opioid treat 275 patients. As a result, we from an accreditation body that has treatment with buprenorphine suggest anticipate that this final rule will not been approved by SAMHSA. These that optimal care include administration have a significant impact on a regulations establish the procedures of the medication and the use of substantial number of small entities. whereby an entity can apply to become psychotherapeutic support services. an approved accreditation body. This List of Subjects in 42 CFR Part 8 They also recommend that physicians part also establishes requirements and and practices prescribing Health professions, Methadone, general standards for accreditation buprenorphine for the treatment of Reporting and recordkeeping bodies to ensure that practitioners are opioid use disorder in the outpatient requirements. consistently evaluated for compliance setting take steps to reduce the For the reasons stated in the with the Secretary’s standards for likelihood of buprenorphine diversion. preamble, HHS amends 42 CFR part 8 treatment of opioid use disorder with an Each of these tenets is reflected in the as follows: opioid agonist treatment medication. reporting requirements. (b) The regulations in subpart F of this PART 8—MEDICATION ASSISTED G. Regulatory Flexibility Analysis part establish the procedures and TREATMENT FOR OPIOID USE requirements that practitioners who are As discussed above, the RFA requires DISORDERS authorized to treat up to 100 patients agencies that issue a regulation to pursuant to a waiver obtained under analyze options for regulatory relief of ■ 1. The authority citation for part 8 section 303(g)(2) of the CSA (21 U.S.C. small entities if a rule has a significant continues to read as follows: 823(g)(2)), must satisfy in order to treat impact on a substantial number of small Authority: 21 U.S.C. 823; 42 U.S.C. 257a, up to 275 patients with medications entities. The categories of entities 290bb–2a, 290aa(d), 290dd–2, 300x–23, covered under section 303(g)(2)(C) of affected most by this final rule will be 300x–27(a), 300y–11. the CSA. offices of practitioners and hospitals. ■ 2. Revise the heading of part 8 as set We expect that the vast majority of these ■ 6. Amend § 8.2 as follows: forth above. ■ entities will be considered small based ■ a. Revise the definitions of 3. Amend part 8 as follows: ‘‘Accreditation body’’ and on the Small Business Administration ■ a. Remove the word ‘‘opiate’’ and add ‘‘Accreditation body application’’; size standards or non-profit status, and the word ‘‘opioid’’ in its place wherever ■ assume here that all affected entities are it appears; and b. Add, in alphabetical order, the small. According to SAMHSA data, as of ■ b. Remove the phrases ‘‘opioid definitions of ‘‘Additional March 2016, there were 32,123 addiction’’ and ‘‘Opioid addiction’’ and Credentialing,’’ ‘‘Approval term,’’ and practitioners with a waiver to prescribe add in their places the phrases ‘‘opioid ‘‘Behavioral health services’’; buprenorphine for the treatment of use disorder’’ and ‘‘Opioid use ■ c. Add, in alphabetical order, the opioid use disorder. This group of disorder’’, respectively, wherever they definitions of ‘‘Covered medications,’’ practitioners is most likely to be appear. ‘‘Dispense,’’ ‘‘Diversion control plan,’’ impacted by the final rule, but we lack ■ and ‘‘Emergency situation’’; information on the total number of 4. Revise the heading to subpart A to read as follows: ■ d. Revise the definition of ‘‘Interim associated entities. We acknowledge maintenance treatment’’; that some practitioners with a waiver Subpart A—General Provisions ■ e. Add, in alphabetical order, the may provide services at multiple definitions of ‘‘Medication-Assisted entities, many entities may employ ■ 5. Revise § 8.1 to read as follows: Treatment (MAT),’’ ‘‘Nationally multiple practitioners with a waiver, § 8.1 Scope. recognized evidence-based guidelines,’’ and some entities currently unaffiliated and ‘‘Opioid dependence’’; with these practitioners will be (a) Subparts A through C of this part ■ f. Remove the definition of ‘‘Opioid impacted by this final rule. As a result, establish the procedures by which the Secretary of Health and Human Services treatment’’; we estimate that approximately 32,123 ■ small entities will be affected by this (the Secretary) will determine whether a g. Revise the definitions of ‘‘Opioid final rule. practitioner is qualified under section treatment program’’; HHS considers a rule to have a 303(g) of the Controlled Substances Act ■ h. Add, in alphabetical order, the significant economic impact on a (CSA) (21 U.S.C. 823(g)) to dispense definitions of ‘‘Opioid program substantial number of small entities if at opioid drugs in the treatment of opioid treatment certification,’’ ‘‘Opioid use least 5 percent of small entities use disorders. The regulations also disorder,’’ and ‘‘Opioid use disorder experience an impact of more than 3 establish the Secretary’s standards treatment’’; percent of revenue. As discussed above, regarding the appropriate quantities of ■ i. Revise the definition of ‘‘Patient’’; the final rule imposes a small burden on opioid drugs that may be provided for ■ j. Add, in alphabetical order, the entities. This burden is primarily unsupervised use by individuals definitions of ‘‘Patient limit,’’ associated with processing information undergoing such treatment (21 U.S.C. ‘‘Practitioner,’’ and ‘‘Practitioner disseminated by SAMHSA, opting to 823(g)(1)). Under these regulations, a incapacity’’; and completing the waiver process to treat practitioner who intends to dispense ■ k. Remove the definition of additional patients, and submitting opioid drugs in the treatment of opioid ‘‘Registered opioid treatment program’’. information after receiving a waiver to use disorder must first obtain from the The revisions and additions read as treat 275 patients, which are estimated Secretary or, by delegation, from the follows:
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§ 8.2 Definitions. result in significant death, injury, treatment, short-term detoxification * * * * * exposure to life-threatening treatment, long-term detoxification Accreditation body means a body that circumstances, hardship, suffering, loss treatment, maintenance treatment, has been approved by SAMHSA in this of property, or loss of community comprehensive maintenance treatment, part to accredit opioid treatment infrastructure. and interim maintenance treatment. programs using opioid agonist treatment * * * * * Patient for purposes of subparts B medications. Interim maintenance treatment means through E of this part, means any Accreditation body application means maintenance treatment provided in an individual who receives maintenance or the application filed with SAMHSA for opioid treatment program in detoxification treatment in an opioid purposes of obtaining approval as an conjunction with appropriate medical treatment program. For purposes of accreditation body. services while a patient is awaiting subpart F of this part, patient means any * * * * * transfer to a program that provides Additional Credentialing means board comprehensive maintenance treatment. individual who is dispensed or prescribed covered medications by a certification in addiction medicine or * * * * * addiction psychiatry by the American Medication-Assisted Treatment practitioner. Board of Addiction Medicine or the (MAT) means the use of medication in Patient limit means the maximum American Board of Medical Specialties combination with behavioral health number of individual patients that a or certification by the American services to provide an individualized practitioner may dispense or prescribe Osteopathic Academy of Addiction approach to the treatment of substance covered medications to at any one time. Medicine, the American Board of use disorder, including opioid use Practitioner means a physician who is Addiction Medicine, or the American disorder. appropriately licensed by the State to Society of Addiction Medicine. Nationally recognized evidence-based dispense covered medications and who Approval term means the 3 year guidelines means a document produced possesses a waiver under 21 U.S.C. period in which a practitioner is by a national or international medical approved to treat up to 275 patients that professional association, public health 823(g)(2). commences when a practitioner’s agency, such as the World Health Practitioner incapacity means the Request for Patient Limit Increase is Organization, or governmental body inability of a practitioner as a result of approved in accordance with § 8.625. with the aim of assuring the appropriate an involuntary event to physically or Behavioral health services means any use of evidence to guide individual mentally perform the tasks and duties non-pharmacological intervention diagnostic and therapeutic clinical required to provide medication-assisted carried out in a therapeutic context at an decisions. treatment in accordance with nationally individual, family, or group level. * * * * * recognized evidence-based guidelines. Interventions may include structured, Opioid dependence means repeated * * * * * professionally administered self-administration that usually results interventions (e.g., cognitive behavior in opioid tolerance, withdrawal ■ 7. Amend § 8.3 by revising the therapy or insight oriented symptoms, and compulsive drug-taking. introductory text of paragraph (b) to psychotherapy) delivered in person, Dependence may occur with or without read as follows: interventions delivered remotely via the physiological symptoms of tolerance telemedicine shown in clinical trials to and withdrawal. § 8.3 Application for approval as an facilitate medication-assisted treatment accreditation body. * * * * * (MAT) outcomes, or non-professional Opioid treatment program or ‘‘OTP’’ * * * * * interventions. means a program or practitioner (b) Application for initial approval. * * * * * engaged in opioid treatment of Electronic copies of an accreditation Covered medications means the drugs individuals with an opioid agonist body application form [SMA–167] shall or combinations of drugs that are treatment medication registered under be submitted to: http://buprenorphine. covered under 21 U.S.C. 823(g)(2)(C). 21 U.S.C. 823(g)(1). samhsa.gov/pls/bwns/waiver. * * * * * Opioid treatment program Accreditation body applications shall Dispense means to deliver a certification means the process by include the following information and controlled substance to an ultimate user which SAMHSA determines that an supporting documentation: by, or pursuant to, the lawful order of, opioid treatment program is qualified to a practitioner, including the prescribing provide opioid treatment under the * * * * * and administering of a controlled Federal opioid treatment standards Subpart C [Redesignated as Subpart D] substance. described in § 8.12. Diversion control plan means a set of Opioid use disorder means a cluster of ■ 8. Redesignate subpart C, consisting of documented procedures that reduce the cognitive, behavioral, and physiological §§ 8.21 through 8.34, as subpart D and possibility that controlled substances symptoms in which the individual revise the heading to read as follows: will be transferred or used illicitly. continues use of opioids despite Emergency situation means that an significant opioid-induced problems. Subpart D—Procedures for Review of existing State, tribal, or local system for Opioid use disorder treatment means Suspension or Proposed Revocation substance use disorder services is the dispensing of an opioid agonist of OTP Certification, and of Adverse overwhelmed or unable to meet the treatment medication, along with a Action Regarding Withdrawal of existing need for medication-assisted comprehensive range of medical and Approval of an Accreditation Body treatment as a direct consequence of a rehabilitative services, when clinically clear precipitating event. This necessary, to an individual to alleviate Subpart B [Redesignated as Subpart C] precipitating event must have an abrupt the adverse medical, psychological, or onset, such as practitioner incapacity; physical effects incident to an opioid ■ 9. Redesignate subpart B, consisting of natural or human-caused disaster; an use disorder. This term includes a range §§ 8.11 through 8.15, as subpart C and outbreak associated with drug use; and of services including detoxification revise the heading to read as follows:
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Subpart C—Certification and (NOI) under section 303(g)(2)(B) to treat submit a Request for Patient Limit Treatment Standards for Opioid up to 100 patients was approved; Increase to SAMHSA that includes all of Treatment Programs (b) The practitioner: the following: (1) Holds additional credentialing as (a) Completed Request for Patient ■ 10. Add a heading for new subpart B defined in § 8.2; or Limit Increase form; to read as follows: (2) Provides medication-assisted (b) Statement certifying that the treatment (MAT) utilizing covered practitioner: Subpart B—Accreditation of Opioid medications in a qualified practice (1) Will adhere to nationally Treatment Programs setting as defined in § 8.615; recognized evidence-based guidelines (c) The practitioner has not had his or for the treatment of patients with opioid §§ 8.3, 8.4, 8.5, and 8.6 [Transferred to Subpart B] her enrollment and billing privileges in use disorders; the Medicare program revoked under (2) Will provide patients with ■ 11. Transfer §§ 8.3, 8.4, 8.5, and 8.6 to § 424.535 of this title; and necessary behavioral health services as new subpart B. (d) The practitioner has not been defined in § 8.2 or through an found to have violated the Controlled established formal agreement with Subpart E [Reserved] Substances Act pursuant to 21 U.S.C. another entity to provide behavioral 824(a). health services; ■ 12. Add reserved subpart E. (3) Will provide appropriate releases ■ 13. Add subpart F, consisting of § 8.615 What constitutes a qualified of information, in accordance with §§ 8.610 through 8.655, to read as practice setting? Federal and State laws and regulations, follows: A qualified practice setting is a including the Health Information practice setting that: Portability and Accountability Act Subpart F—Authorization To Increase (a) Provides professional coverage for Privacy Rule (45 CFR part 160 and 45 Patient Limit to 275 Patients patient medical emergencies during CFR part 164, subparts A and E) and 42 hours when the practitioner’s practice is CFR part 2, if applicable, to permit the Sec. closed; 8.610 Which practitioners are eligible for a coordination of care with behavioral patient limit of 275? (b) Provides access to case- health, medical, and other service 8.615 What constitutes a qualified practice management services for patients practitioners; setting? including referral and follow-up (4) Will use patient data to inform the 8.620 What is the process to request a services for programs that provide, or improvement of outcomes; patient limit of 275? financially support, the provision of (5) Will adhere to a diversion control 8.625 How will a Request for Patient Limit services such as medical, behavioral, plan to manage the covered medications Increase be processed? social, housing, employment, and reduce the possibility of diversion 8.630 What must practitioners do in order educational, or other related services; of covered medications from legitimate to maintain their approval to treat up to (c) Uses health information 275 patients? treatment use; 8.635 [Reserved] technology (health IT) systems such as (6) Has considered how to assure 8.640 What is the process for renewing a electronic health records, if otherwise continuous access to care in the event practitioner’s Request for Patient Limit required to use these systems in the of practitioner incapacity or an Increase approval? practice setting. Health IT means the emergency situation that would impact 8.645 What are the responsibilities of electronic systems that health care a patient’s access to care as defined in practitioners who do not submit a professionals and patients use to store, § 8.2; and renewal Request for Patient Limit share, and analyze health information; (7) Will notify all patients above the Increase, or whose renewal request is (d) Is registered for their State 100 patient level, in the event that the denied? prescription drug monitoring program 8.650 Can SAMHSA’s approval of a request for the higher patient limit is not practitioner’s Request for Patient Limit (PDMP) where operational and in renewed or the renewal request is Increase be suspended or revoked? accordance with Federal and State law. denied, that the practitioner will no 8.655 Can a practitioner request to PDMP means a statewide electronic longer be able to provide MAT services temporarily treat up to 275 patients in database that collects designated data on using buprenorphine to them and make emergency situations? substances dispensed in the State. For every effort to transfer patients to other practitioners providing care in their addiction treatment; Subpart F—Authorization To Increase capacity as employees or contractors of (c) Any additional documentation to Patient Limit to 275 Patients a Federal government agency, demonstrate compliance with § 8.610 as § 8.610 Which practitioners are eligible for participation in a PDMP is required only requested by SAMHSA. a patient limit of 275? when such participation is not restricted based on their State of licensure and is § 8.625 How will a Request for Patient The total number of patients that a in accordance with Federal statutes and Limit Increase be processed? practitioner may dispense or prescribe regulations; (a) Not later than 45 days after the covered medications to at any one time (e) Accepts third-party payment for date on which SAMHSA receives a for purposes of 21 U.S.C. costs in providing health services, practitioner’s Request for Patient Limit 823(g)(2)(B)(iii) is 275 if: including written billing, credit, and Increase as described in § 8.620, or (a) The practitioner possesses a collection policies and procedures, or renewal Request for Patient Limit current waiver to treat up to 100 Federal health benefits. Increase as described in § 8.640, patients under section 303(g)(2) of the SAMHSA shall approve or deny the Controlled Substances Act (21 U.S.C. § 8.620 What is the process to request a request. 823(g)(2)) and has maintained the patient limit of 275? (1) A practitioner’s Request for Patient waiver in accordance with applicable In order for a practitioner to receive Limit Increase will be approved if the statutory requirements without approval for a patient limit of 275, a practitioner satisfies all applicable interruption for at least one year since practitioner must meet all of the requirements under §§ 8.610 and 8.620. the practitioner’s notification of intent requirements specified in § 8.610 and SAMHSA will thereafter notify the
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practitioner who requested the patient § 8.620 at least 90 days before the emergency situation as defined in § 8.2, limit increase, and the Drug expiration of their approval term. and that provides a justification for an Enforcement Administration (DEA), that (b) If SAMHSA does not reach a final immediate increase in that practitioner’s the practitioner has been approved to decision on a renewal Request for patient limit; treat up to 275 patients using covered Patient Limit Increase before the (2) Identifies a period of time, not medications. A practitioner’s approval expiration of a practitioner’s approval longer than 6 months, in which the to treat up to 275 patients under this term, the practitioner’s existing higher patient limit should apply, and section will extend for a term not to approval term will be deemed extended provides a rationale for the period of exceed 3 years. until SAMHSA reaches a final decision. time requested; and (2) SAMHSA may deny a (3) Describes an explicit and feasible practitioner’s Request for Patient Limit § 8.645 What are the responsibilities of practitioners who do not submit a renewal plan to meet the public and individual Increase if SAMHSA determines that: Request for Patient Limit Increase, or health needs of the impacted persons (i) The Request for Patient Limit whose renewal request is denied? once the practitioner’s approval to treat Increase is deficient in any respect; or Practitioners who are approved to up to 275 patients expires. (ii) The practitioner has knowingly (b) Prior to taking action on a submitted false statements or made treat up to 275 patients in accordance with § 8.625, but who do not renew practitioner’s request under this section, misrepresentations of fact in the SAMHSA shall consult, to the extent practitioner’s Request for Patient Limit their Request for Patient Limit Increase, or whose renewal request is denied, practicable, with the appropriate Increase. governmental authorities in order to (b) If SAMHSA denies a practitioner’s shall notify, under § 8.620(b)(7) in a determine whether the emergency Request for Patient Limit Increase (or time period specified by SAMHSA, all situation that a practitioner describes renewal), SAMHSA shall notify the patients affected above the 100 patient justifies an immediate increase in the practitioner of the reasons for the limit, that the practitioner will no longer higher patient limit. denial. be able to provide MAT services using (c) If SAMHSA denies a practitioner’s covered medications and make every (c) If SAMHSA determines that a Request for Patient Limit Increase (or effort to transfer patients to other practitioner’s request under this section renewal) based solely on deficiencies addiction treatment. should be granted, SAMHSA will notify the practitioner that his or her request that can be resolved, and the § 8.650 Can SAMHSA’s approval of a deficiencies are resolved to the has been approved. The period of such practitioner’s Request for Patient Limit approval shall not exceed six months. satisfaction of SAMHSA in a manner Increase be suspended or revoked? (d) If a practitioner wishes to receive and time period approved by SAMHSA, (a) SAMHSA, at any time during a an extension of the approval period the practitioner’s Request for Patient practitioner’s 3 year approval term, may granted under this section, he or she Limit Increase will be approved. If the suspend or revoke its approval of a must submit a request to SAMHSA at deficiencies have not been resolved to practitioner’s Request for Patient Limit least 30 days before the expiration of the the satisfaction of SAMHSA within the Increase under § 8.625 if it is six month period, and certify that the designated time period, the Request for determined that: emergency situation as defined in § 8.2 Patient Limit Increase may be denied. (1) Immediate action is necessary to necessitating an increased patient limit protect public health or safety; § 8.630 What must practitioners do in continues. Prior to taking action on a (2) The practitioner made order to maintain their approval to treat up practitioner’s extension request under misrepresentations in the practitioner’s to 275 patients? this section, SAMHSA shall consult, to Request for Patient Limit Increase; (a) A practitioner whose Request for the extent practicable, with the (3) The practitioner no longer satisfies Patient Limit Increase is approved in appropriate governmental authorities in the requirements of this subpart; or accordance with § 8.625 shall maintain order to determine whether the (4) The practitioner has been found to all eligibility requirements specified in emergency situation that a practitioner have violated the CSA pursuant to 21 § 8.610, and all attestations made in describes justifies an extension of an accordance with § 8.620(b), during the U.S.C. 824(a). (b) [Reserved] increase in the higher patient limit. practitioner’s 3-year approval term. (e) Except as provided in this section Failure to do so may result in SAMHSA § 8.655 Can a practitioner request to and § 8.650, requirements in other withdrawing its approval of a temporarily treat up to 275 patients in sections under subpart F of this part do practitioner’s Request for Patient Limit emergency situations? not apply to practitioners receiving Increase. (a) Practitioners with a current waiver waivers in this section. (b) [Reserved] to prescribe up to 100 patients and who Dated: June 30, 2016. are not otherwise eligible to treat up to § 8.635 [Reserved] Kana Enomoto, 275 patients under § 8.610 may request Principal Deputy Administrator, Substance § 8.640 What is the process for renewing a temporary increase to treat up to 275 Abuse and Mental Health Services a practitioner’s Request for Patient Limit patients in order to address emergency Administration. Increase approval? situations as defined in § 8.2 if the (a) Practitioners who intend to practitioner provides information and Approved: June 30, 2016. continue to treat up to 275 patients documentation that: Sylvia M. Burwell, beyond their current 3 year approval (1) Describes the emergency situation Secretary, Department of Health and Human term must submit a renewal Request for in sufficient detail so as to allow a Services. Patient Limit Increase in accordance determination to be made regarding [FR Doc. 2016–16120 Filed 7–6–16; 8:45 am] with the procedures outlined under whether the situation qualifies as an BILLING CODE 4162–20–P
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Part IV
Department of Education
Applications for New Awards; Promise Neighborhoods Program— Implementation Grant Competition; Notices
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DEPARTMENT OF EDUCATION Beginning in FY 2017, the ESEA, as early learning programs and services, amended by the ESSA, will serve as the with struggling schools, low high school Applications for New Awards; Promise statutory authority for future Promise and college graduation rates, high rates Neighborhoods Program— Neighborhoods competitions. of unemployment, high rates of crime, Implementation Grant Competition The purpose of the Promise and indicators of poor health. These Neighborhoods program is to conditions contribute to and intensify AGENCY: Office of Innovation and significantly improve the educational Improvement, Department of Education. the negative outcomes associated with and developmental outcomes of children and youth living in poverty. ACTION: Notice. children and youth in our most Children and youth who are from Overview Information: distressed communities and to low-income families and grow up in Promise Neighborhoods Program— transform those communities by— neighborhoods of concentrated poverty Implementation Grant Competition. (1) Identifying and increasing the face educational and life challenges Notice inviting applications for new capacity of eligible organizations (as above and beyond the challenges faced awards for fiscal year (FY) 2016. defined in this notice) that are focused by children who are from low-income Catalog of Federal Domestic on achieving results for children and families who grow up in neighborhoods Assistance (CFDA) Number: 84.215N youth throughout an entire without a high concentration of poverty. (Implementation). neighborhood; A Federal evaluation of the reading and (2) Building a complete continuum of DATES: Applications Available: July 8, mathematics outcomes of elementary 2016. cradle-through-college-to-career students in 71 schools in 18 districts Deadline for Notice of Intent to Apply: solutions (continuum of solutions) (as and 7 States found that even when July 25, 2016. defined in this notice) of both education controlling for individual student Date of Pre-Application Webinars: programs and family and community poverty, there is a significant negative The Promise Neighborhoods team supports (both as defined in this notice), association between school-level intends to hold Pre-Application with great schools at the center. All poverty and student achievement.2 The Webinars to provide technical strategies in the continuum of solutions evaluation found that students have assistance to interested applicants. must be accessible to children with lower academic outcomes when a Detailed information regarding these disabilities (CWD) (as defined in this higher percentage of their same-school Webinar times will be provided on the notice) and English learners (ELs) (as peers qualify for free and reduced- Promise Neighborhoods’ Web site at defined in this notice); priced lunch (FRPL) compared to when http://www2.ed.gov/programs/ (3) Integrating programs and breaking a lower percentage of their same-school promiseneighborhoods/index.htm. down agency ‘‘silos’’ so that solutions peers qualify for FRPL. The Deadline for Transmittal of are implemented effectively and compounding effects of neighborhood Applications: September 6, 2016. efficiently across agencies; poverty continue later in life. Another (4) Developing the local infrastructure Deadline for Intergovernmental study found that for children with of systems and resources needed to Review: November 7, 2016. similar levels of family income, growing develop, implement, and sustain Note: Due to a scheduled systems up in a neighborhood where the number effective interventions to improve shutdown, applicants will not be able to of families in poverty was between 20 education outcomes and enhance family submit applications for the Promise and 30 percent increased the chance of and community well-being across the Neighborhoods competition between downward economic mobility—moving broader region beyond the initial 9:00 p.m. on Wednesday, July 20, 2016 down the income ladder relative to their neighborhood; and until 6:00 a.m. on Monday, July 25, parents—by more than 50 percent (5) Learning about the overall impact 2016 and from 9:00 p.m. on Wednesday, compared with children who grew up in of the Promise Neighborhoods program July 27, 2016 until 6:00 a.m. on neighborhoods with under 10 percent of and about the relationship between Monday, August 1, 2016. families in poverty.3 Furthermore, the particular strategies in Promise effects of poverty and distressed Full Text of Announcement Neighborhoods and student outcomes, neighborhoods are closely connected to including through an evaluation of the I. Funding Opportunity Description children’s long-term economic and program, particular elements within the Purpose of Program: The Promise social mobility. One recent study found continuum of solutions, or both. Neighborhoods program is carried out that there is a wide variety across cities under the legislative authority of the Background in the likelihood of children moving Fund for the Improvement of Education The vision of the Promise from the bottom quintile of earners to (FIE), title V, part D, subpart 1, sections Neighborhoods program is that all the top quintile over the course of their 4 5411 through 5413 of the Elementary children and youth living in our most lifetimes. This implies that the and Secondary Education Act of 1965 distressed communities have access to 2 (ESEA), as amended by the No Child great schools and strong systems of M Lacour, LD Tissington (July 2011). The effects Left Behind Act of 2001 (20 U.S.C. of poverty on academic achievement. Educational family and community support that will Research and Reviews. Available online at 7243–7243b). FIE supports nationally prepare them to attain an excellent www.academicjournals.org/article/ significant programs to improve the education and successfully transition to article1379765941_Lacour%20and quality of elementary and secondary college and a career. %20Tissington.pdf. 3 Sharkey, Patrick. ‘‘Neighborhoods and the education at the State and local levels A Promise Neighborhood is both a and to help all children meet Black-White Mobility Gap.’’ Economic Mobility place and a strategy. A place eligible to Project: An Initiative of The Pew Charitable Trusts, challenging State academic content and become a Promise Neighborhood is a 2009. student academic achievement geographic area 1 that is distressed, often 4 ‘‘Socioeconomic Mobility in the United States: standards. facing inadequate access to high-quality New Evidence and Policy Lessons,’’ Raj Chetty in On December 10, 2015, the President Shared Prosperity in America’s Communities, Edited by Susan M. Wachter and Lei Ding, pg 13, signed into law the Every Student 1 For the purpose of this notice, the Department 2016. Available online at: https://books.google.com/ Succeeds Act (ESSA), Public Law 114– uses the terms ‘‘geographic area’’ and books?hl=en&lr=&id=84uTCwAAQBAJ&oi= 95, which reauthorized the ESEA. ‘‘neighborhood’’ interchangeably. fnd&pg=PA7&dq=chetty&ots=kHLEtwQhgH&sig=
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magnitude of the impact of growing up critical for successful implementation of opportunities, this year’s competition in a distressed neighborhood varies by a Promise Neighborhoods strategy. To includes a competitive preference region, thereby suggesting that it is date, Promise Neighborhoods grantees priority intended to improve particularly important to focus attention have provided meaningful service coordination among early learning and resources on addressing a unique coordination across a range of public providers and ensure alignment set of needs within specific distressed and private entities; in so doing, they between early learning systems and communities. Researchers also identify are building out the ongoing elementary education systems. We school quality as one of the key factors community-based infrastructure continue to recognize and highlight in upward mobility, which suggests that necessary to coordinate supports and solutions for catalyzing change in we can improve children’s likelihood of transform outcomes over time. These distressed communities through the success by improving the schools in successes have helped validate the core Neighborhood Revitalization Initiative their communities.5 Although education value of a comprehensive neighborhood (NRI). Thus, we prioritize applicants or can improve mobility, there are often approach. an applicant’s partner who received a complex institutional and contextual While they have had success in many Choice or HOPE VI grant from the U.S. barriers that prevent communities from areas, Promise Neighborhoods grantees Department of Housing and Urban making comprehensive improvements. have struggled to collect the full range Development (HUD) via a competitive A Promise Neighborhood strategy of data necessary to effectively employ preference priority focused on Quality addresses the complex, interconnected comprehensive case and longitudinal Affordable Housing. The NRI is a place- issues in the distressed community it data management systems and conduct based approach to help neighborhoods serves. Promise Neighborhoods are led meaningful evaluation activities. Such in distress transform themselves into by organizations that work to ensure data systems are critical to effectively neighborhoods of opportunity. that all children and youth in the target coordinating a range of services for Additional information pertaining to the geographic area have access to services high-need students and their families NRI may be found at https:// that lead to improved educational and within a Promise Neighborhood. In www.whitehouse.gov/administration/ developmental outcomes from cradle-to- order to address this challenge, we eop/oua/initiatives/neighborhood- career; are based on the best available encourage applicants to carefully revitalization. evidence and designed to learn about consider the data-related expectations In addition, we also include a the impact of approaches, for which for Promise Neighborhood grantees competitive preference priority that there is less evidence; are linked and outlined in this notice, and in gives preference to applicants working integrated seamlessly; and include particular, to commit to establishing the in designated Promise Zones.6 This education programs as well as programs conditions for effective data competitive preference priority that provide family and community management at the onset of the grant recognizes that Promise Zones represent supports. Promise Neighborhoods period. a network of commitment and enable children and youth within In order to help all applicants collaboration between local public and targeted distressed communities to understand how to effectively set up private sector partners to address participate in the full range of cradle-to- and utilize appropriate data systems community members’ interrelated needs career supports that are necessary for that are critical to grantee success, the within high-poverty regions, and such them to realize their potential. Our Department’s applicant outreach coordination may better enable the expectation is that over time, a greater materials and Webinars associated with successful implementation of a Promise proportion of the neighborhood this year’s competition—all of which Neighborhoods grant. The 22 Promise residents receive these supports, and will be made publicly available on our Zones that have been designated as of that ultimately neighborhood indicators Web site—will discuss effective June 6, 2016 are located in Atlanta, show significant progress. For this practices for data collection and Georgia; Camden City, New Jersey; the reason, each Promise Neighborhood management. In addition, recognizing Chocktaw Nation of Oklahoma; East must demonstrate several core features: the prior difficulties associated with Indianapolis, Indiana; Evansville, (1) Significant need in the collecting and managing data related to Indiana; Nashville, Tennessee; Los neighborhood; (2) a strategy to build a Promise Neighborhoods, the Department Angeles, California; the Lowlands of continuum of solutions with strong has developed recommended data South Carolina; Minneapolis, schools at the center; and (3) the collection and management strategies Minnesota; North Hartford, Connecticut; organizational and relational capacity to for Promise Neighborhoods grantees. Philadelphia, Pennsylvania; Pine Ridge, achieve results. These recommendations are intended to In developing strategies to build a guide Promise Neighborhoods grantees South Dakota; Sacramento, California; continuum of solutions, communities in meeting the program’s data San Antonio, Texas; San Diego, face the challenge of implementing a expectations. This document is California; South Los Angeles, comprehensive suite of interconnected available on the Department’s Web site California; Southeast Florida Regional services that ensure continuous at: http://www2.ed.gov/programs/ Planning Commission; Southeastern engagement with community members. promiseneighborhoods/resources.html. Kentucky; St. Louis, Missouri; Spokane Since its inception in 2010, the Promise There are four competitive preference Tribe of Indians, Washington; Turtle Neighborhoods program has supported priorities for this competition. Given the Mountain Band of Chippewa Indians, planning and implementation efforts in Promise Neighborhoods program’s focus 47 communities across the country. In on coordinating education and 6 Promise Zones are high-poverty urban, rural, community services, this competition and tribal communities that the Federal government particular, the experiences of the 12 will partner with and invest in to accomplish the Promise Neighborhoods implementation prioritizes applicants that are focused following goals: Create jobs, leverage private grantees provide valuable information on driving greater collaboration within investment, increase economic activity, expand about the conditions that are most their communities through the educational opportunities, and reduce violent competitive preference priorities. crime. Each designated Promise Zone will be asked to identify a set of outcomes they will pursue to sRfcE3Kj-cMvOSmpYrhtWIfEXe4#v=onepage&q= Building on prior Promise revitalize their communities, develop a strategy raj%20chettychetty&f=false. Neighborhoods grantees’ work to supporting those outcomes, and realign resources 5 Ibid. enhance high-quality early learning accordingly.
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Rolette County, North Dakota; and funding category are of sufficient the applicant must propose clear and Roosevelt Roads, Puerto Rico. quality, the Secretary intends to award measurable annual goals during the As Promise Neighborhoods grantees grants under each absolute priority. grant period against which implement comprehensive These priorities are: improvements will be measured using transformation plans in their Absolute Priority 1—Submission of the indicators. The strategy must— communities, we expect them to build Promise Neighborhood Plan. (a) Identify each solution that the out the full continuum of cradle through To meet this priority, an applicant project will implement within the college to career solutions. We must submit a plan to create a Promise proposed continuum of solutions, and emphasize the importance of robust Neighborhood. The plan must describe must include— strategies for the college and career the need in the neighborhood, a strategy (i) High-quality early learning portion of the Promise Neighborhoods to build a continuum of solutions, and programs and services designed to pipeline and for this reason, we include the applicant’s capacity to achieve improve outcomes across multiple a fourth competitive preference priority results. Specifically, an applicant domains of early learning (as defined in for applicants that choose to prioritize must— this notice) for children from birth postsecondary or technical education (1) Describe the geographically through third grade; and career development. In proposing defined area (neighborhood) to be (ii) Ambitious, rigorous, and strategies, we encourage applicants to be served and the level of distress in that comprehensive education reforms that mindful of the importance of ensuring area based on indicators of need (as are linked to improved educational that all students and their families have defined in this notice) and other outcomes for children and youth in an opportunity to benefit from the relevant indicators. The statement of preschool through the 12th grade. services and supports provided. need in the neighborhood must be Public schools served through the grant Priorities: This competition includes based, in part, on results of a may include persistently lowest- three absolute priorities and four comprehensive needs assessment and achieving schools (as defined in this competitive preference priorities. segmentation analysis (as defined in this notice) or low-performing schools (as Absolute Priority 1, Absolute Priority 2, notice). Applicants may propose to defined in this notice) that are not also Absolute Priority 3, and Competitive serve multiple, non-contiguous persistently lowest-achieving schools. Preference Priority 2 are from the geographically defined areas. In cases An applicant (or one or more of its Promise Neighborhoods notice of final where target areas are not contiguous, partners) may serve an effective school priorities, requirements, definitions, and the applicant must explain its rationale or schools (as defined in this notice) but selection criteria published in the for including non-contiguous areas; only if the applicant (or one or more of Federal Register on July 6, 2011 (76 FR (2) Describe the applicant’s strategy its partners) also serves at least one low- 39590) (2011 Promise Neighborhoods for building a continuum of solutions performing school (as defined in this NFP). Competitive Preference Priority 1 over time that addresses neighborhood notice) or persistently lowest-achieving and Competitive Preference Priority 4 challenges as identified in the needs school (as defined in this notice). An are from the notice of final assessment and segmentation analysis. applicant must identify in its supplemental priorities and definitions The applicant must also describe how it application the public school or schools for discretionary grant programs, has built community support for and it would serve and describe the current published in the Federal Register on involvement in the development of the status of reforms in the school or December 10, 2014 (79 FR 73425) plan. The continuum of solutions must schools, including, if applicable, the (Supplemental Priorities). Competitive be based on best available evidence type of intervention model being Preference Priority 3 is from the Promise including, where available strong or implemented. In cases where an Zones notice of final priority published moderate evidence (as defined in this applicant operates a school or partners in the Federal Register on March 27, notice), and be designed to significantly with a school that does not serve all 2014 (79 FR 17035) (2014 Promise improve educational outcomes and to students in the neighborhood, the Zones NFP) (Promise Zones NFP). support the healthy development and applicant must partner with at least one Absolute Priorities: For FY 2016 and well-being of children and youth in the additional school that also serves any subsequent year in which we make neighborhood. The strategy must be students in the neighborhood. An awards from the list of unfunded designed to ensure that over time, a applicant proposing to work with a applications from this competition, greater proportion of children and youth persistently lowest-achieving school these priorities are absolute priorities. in the neighborhood who attend the must include in its strategy one of the Note: Applicants must indicate in target school or schools have access to four school intervention models their application whether they are a complete continuum of solutions, and (turnaround model, restart model, applying under Absolute Priority 1 must ensure that over time, a greater school closure, or transformation model) Absolute Priority 2, or Absolute Priority proportion of children and youth in the described in Appendix C of the Race to 3. If an applicant applies under neighborhood who do not attend the the Top (RTT) notice inviting Absolute Priority 2 or Absolute Priority target school or schools have access to applications for new awards for FY 2010 3 and is deemed ineligible, it still may solutions within the continuum of that was published in the Federal be considered for funding under solutions. The strategy must also ensure Register on November 18, 2009 (74 FR Absolute Priority 1. For applications that, over time, students not living in 59836, 59866). addressing Absolute Priority 1, Absolute the neighborhood who attend the target An applicant proposing to work with Priority 2, and Absolute Priority 3, the school or schools have access to a or low-performing school must Secretary prepares a rank order of solutions within the continuum of include in its strategy ambitious, applications for each absolute priority solutions. rigorous, and comprehensive based solely on the evaluation of their The success of the applicant’s strategy interventions to assist, augment, or quality according to the selection to build a continuum of solutions will replace schools, which may include criteria. be based on the results of the project, as implementing one of the four school Each of the three absolute priorities measured against the project indicators intervention models, or may include constitutes its own funding category. as defined in this notice and described another model of sufficient ambition, Assuming that applications in each in Table 1 and Table 2. In its strategy, rigor, and comprehensiveness to
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significantly improve academic and costs, to implement each solution; the resources, such as the amount of other outcomes for students. An estimated number of children, by age, in monetary or in-kind investments from applicant proposing to work with a low- the neighborhood who will be served by public or private organizations to performing school must include in its each solution and how a segmentation support the Promise Neighborhoods strategy an intervention that addresses analysis was used to target the children strategy. Examples of leveraging the effectiveness of teachers and leaders and youth to be served; and the source resources are securing new or existing and the school’s use of time and of funds that will be used to pay for dollars to sustain and scale up what resources, which may include increased each solution. In the description of the works in the Promise Neighborhood or learning time (as defined in this notice); estimated number of children to be integrating high-quality programs in the Note regarding school reform served, the applicant must include the continuum of solutions. Applicants may strategies: So as not to penalize an percentage of all children of the same consider, as part of their plans to scale applicant for proposing to work with an age group within the neighborhood up their Promise Neighborhood strategy, LEA that has implemented rigorous proposed to be served with each serving a larger geographic area by reform strategies prior to the publication solution, and the annual goals required partnering with other applicants to the of this notice, an applicant is not to increase the proportion of children Promise Neighborhoods program from required to propose a new reform served to reach scale over time. the same city or region; strategy in place of an existing reform An applicant must also describe in its (3) Explain how it used its needs plan how it will identify Federal, State, strategy in order to be eligible for a assessment and segmentation analysis to or local policies, regulations, or other Promise Neighborhoods implementation determine the children with the highest requirements that would impede its grant. For example, an LEA might have needs and explain how it will ensure ability to achieve its goals and how it begun to implement improvement that children in the neighborhood will report on those impediments to the activities that meet many, but not all, of receive the appropriate services from Department and other relevant agencies. the elements of a transformation model the continuum of solutions. In this of school intervention. In this case, the As appropriate, considering the time and urgency required to dramatically explanation of how it used the needs applicant could propose, as part of its assessment and segmentation analysis, Promise Neighborhood strategy, to work improve outcomes of children and youth in our most distressed the applicant must identify and describe with the LEA as the LEA continues with in its application the educational its reforms. neighborhoods and to transform those neighborhoods, applicants must indicators and family and community (iii) Programs that prepare students to establish both short-term and long-term support indicators that the applicant be college- and career-ready; and goals to measure progress. used to conduct the needs assessment. (iv) Family and community supports As part of the description of its Whether or not the implementation (as defined in this notice). strategy to build a continuum of grant applicant received a Promise To the extent feasible and solutions, the applicant must also Neighborhoods planning grant, the appropriate, the applicant must describe how it will participate in, applicant must describe how it— describe, in its plan, how the applicant organize, or facilitate, as appropriate, (a) Collected data for the educational and its partners will leverage and communities of practice for Promise indicators listed in Table 1 and used integrate high-quality programs, related Neighborhoods; them as both program and project public and private investments, and (b) Establish clear, annual goals for indicators; existing neighborhood assets into the evaluating progress in improving continuum of solutions. An applicant (b) Collected data for the family and systems, such as changes in policies, community support indicators in Table must also include in its application an environments, or organizations that appendix that summarizes the evidence 2 and used them as program indicators; affect children and youth in the and supporting each proposed solution and neighborhood. Examples of systems describes how the solution is based on change could include a new school (c) Collected data for unique family the best available evidence, including, district policy to measure the results of and community support indicators, where available, strong or moderate family and community support developed by the applicant, that align evidence (as defined in this notice). An programs, a new funding resource to with the goals and objectives of the applicant must also describe in the support the Promise Neighborhoods project and used them as project appendix how and when—during the strategy, or a cross-sector collaboration indicators or used the indicators in implementation process—the solution at the city level to break down Table 2 as project indicators. will be implemented; the partners that municipal agency ‘‘silos’’ and partner An applicant must also describe how will participate in the implementation with local philanthropic organizations it will collect at least annual data on the of each solution (in any case in which to drive achievement of a set of results; indicators in Tables 1 and 2; establish the applicant does not implement the and clear, annual goals for growth on solution directly); the estimated per- (c) Establish clear, annual goals for indicators; and report those data to the child cost, including administrative evaluating progress in leveraging Department.
TABLE 1—EDUCATION INDICATORS AND RESULTS THEY ARE INTENDED TO MEASURE
Indicator Result
—Number and percentage of children from birth to kindergarten entry Children enter kindergarten ready to succeed in school. who have a place where they usually go, other than an emergency room, when they are sick or in need of advice about their health.
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TABLE 1—EDUCATION INDICATORS AND RESULTS THEY ARE INTENDED TO MEASURE—Continued
Indicator Result
—Number and percentage of three-year-olds and children in kinder- garten who demonstrate at the beginning of the program or school year age-appropriate functioning across multiple domains of early learning (as defined in this notice) as determined using develop- mentally appropriate early learning measures (as defined in this no- tice). —Number and percentage of children, from birth to kindergarten entry, participating in center-based or formal home-based early learning settings or programs, which may include Early Head Start, Head Start, child care, or preschool. —Number and percentage of students at or above grade level accord- Students are proficient in core academic subjects. ing to State mathematics and reading or language arts assessments in at least the grades required by the ESEA (3rd through 8th and once in high school). —Attendance rate of students in 6th, 7th, 8th, and 9th grade ...... Students successfully transition from middle school grades to high school. —Graduation rate (as defined in this notice) ...... Youth graduate from high school. —Number and percentage of Promise Neighborhood students who High school graduates obtain a postsecondary degree, certification, or graduate with a regular high school diploma, as defined in 34 CFR credential. 200.19(b)(1)(iv), and obtain postsecondary degrees, vocational cer- tificates, or other industry-recognized certifications or credentials without the need for remediation.
TABLE 2—FAMILY AND COMMUNITY SUPPORT INDICATORS AND RESULTS THEY ARE INTENDED TO MEASURE
Indicator Result
—Number and percentage of children who participate in at least 60 Students are healthy. minutes of moderate to vigorous physical activity daily; and —Number and percentage of children who consume five or more servings of fruits and vegetables daily; or —possible third indicator, to be determined (TBD) by applicant. —Number and percentage of students who feel safe at school and Students feel safe at school and in their community. traveling to and from school, as measured by a school climate needs assessment (as defined in this notice); or —possible second indicator, TBD by applicant. —Student mobility rate (as defined in this notice); or Students live in stable communities. —possible second indicator, TBD by applicant. —For children from birth to kindergarten entry, the number and per- Families and community members support learning in Promise Neigh- centage of parents or family members who report that they read to borhood schools. their child three or more times a week; —For children in the kindergarten through eighth grades, the number and percentage of parents or family members who report encour- aging their child to read books outside of school; and —For children in the ninth through twelfth grades, the number and per- centage of parents or family members who report talking with their child about the importance of college and career; or —possible fourth indicator TBD by applicant. —Number and percentage of students who have school and home ac- Students have access to 21st century learning tools. cess (and percentage of the day they have access) to broadband internet (as defined in this notice) and a connected computing de- vice; or —possible second indicator TBD by applicant.
Note: The indicators in Tables 1 and (iii) The share of housing stock in the will consider requests to collect data on 2 are not intended to limit an applicant geographically defined area that is rent- only a sample of the children in the from collecting and using data for protected, publicly assisted, or targeted neighborhood for some indicators so additional indicators. Examples of for redevelopment with local, State, or long as the applicant describes in its additional indicators are— Federal funds; and application how it would ensure the (i) The number and percentage of (iv) The number and percentage of sample would be representative of the children who participate in high-quality children who are homeless or in foster children in the neighborhood. learning activities during out-of-school care and who have an assigned adult (4) Describe the experience and hours or in the hours after the advocate. lessons learned, and describe how the traditional school day ends; Note: While the Department believes applicant will build the capacity of its (ii) The number and percentage of there are many programmatic benefits of management team and project director students who are suspended or receive collecting data on every child in the in all of the following areas: discipline referrals during the year; proposed neighborhood, the Department
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(a) Working with the neighborhood accountable, how the eligible entity’s 1; and (2) serves one or more Indian and its residents, including parents and governing board or advisory board is tribes (as defined in this notice). families that have children or other representative of the geographic area Competitive Preference Priorities: For members with disabilities or ELs, as proposed to be served (as defined in this FY 2016 and any subsequent year in well as with the schools described in notice), and how residents of the which we make awards from the list of paragraph (2) of this priority; the LEA in geographic area would have an active unfunded applications from this which the school or schools are located; role in the organization’s decision- competition, these priorities are Federal, State, and local government making. competitive preference priorities. Under leaders; and other service providers. (e) Integrating funding streams from 34 CFR 75.105(c)(2)(i) we award two (b) Collecting, analyzing, and using multiple public and private sources additional points to applications that data for decision-making, learning, from the Federal, State, and local level. meet Competitive Preference Priority 1, continuous improvement, and Examples of public funds include two additional points for applications accountability. The applicant must Federal resources from the U.S. that meet Competitive Preference describe— Department of Education, such as the Priority 2, two additional points for (i) Progress towards developing, 21st Century Community Learning applications that meet Competitive launching, and implementing a Centers program and title I of the ESEA, Preference Priority 3, and two longitudinal data system that integrates and from other Federal agencies, such as additional points for applications that student-level data from multiple sources the U.S. Departments of Health and meet Competitive Preference Priority 4. in order to measure progress on Human Services, Housing and Urban Applicants may address more than one educational and family and community Development, Justice, Labor, and of the competitive preference priorities. support indicators for all children in the Treasury. Therefore, an applicant must identify in neighborhood, disaggregated by the (5) Describe the applicant’s the project narrative section of its subgroups listed in section commitment to work with the application the priority or priorities it 1111(b)(3)(C)(xiii) of the ESEA; Department, and with a national wishes the Department to consider for (ii) How the applicant has linked or evaluator for Promise Neighborhoods or purposes of earning the competitive made progress to link the longitudinal another entity designated by the preference priority points. data system to school-based, LEA, and Department, to ensure that data Note: The Department will not review State data systems; made the data collection and program design are or award points under any competitive accessible to parents, families, consistent with plans to conduct a preference priority for an application community residents, program partners, rigorous national evaluation of the that fails to clearly identify the researchers, and evaluators while Promise Neighborhoods program and of competitive preference priority or abiding by Federal, State, and other specific solutions and strategies pursued priorities it wishes the Department to privacy laws and requirements; and by individual grantees. This consider for purposes of earning the managed and maintained the system; commitment must include, but need not competitive preference priority points. (iii) How the applicant has used be limited to— These priorities are: rapid-time (as defined in this notice) (a) Ensuring that, through memoranda Competitive Preference Priority 1— data in prior years and, how it will of understanding with appropriate Improving Early Learning Development continue to use those data once the entities, the national evaluator and the and Outcomes (0 or 2 points). Promise Neighborhood strategy is Department have access to relevant Projects that are designed to improve implemented, for continuous program program and project data sources (e.g., early learning and development improvement; and administrative data and program and outcomes across one or more of the (iv) How the applicant will document project indicator data), including data essential domains of school readiness the implementation process, including on a quarterly basis if requested by the (as defined in this notice) for children by describing lessons learned and best Department; from birth through third grade (or for practices. (b) Developing, in consultation with any age group within this range) (c) Creating and strengthening formal the national evaluator, an evaluation through a focus on improving the and informal partnerships, for such strategy, including identifying a credible coordination and alignment among early purposes as providing solutions along comparison group (as defined in this learning and development systems and the continuum of solutions and notice); and between such systems and elementary committing resources to sustaining and (c) Developing, in consultation with education systems, including scaling up what works. Each applicant the national evaluator, a plan for coordination and alignment in engaging must submit, as part of its application, identifying and collecting reliable and and supporting families and improving a memorandum of understanding, valid baseline data for both program transitions for children along the birth- signed by each organization or agency participants and a designated through-third grade continuum, in with which it would partner in comparison group of non-participants. accordance with applicable privacy implementing the proposed Promise Absolute Priority 2—Promise laws. Neighborhood. The memorandum of Neighborhoods in Rural Communities. Competitive Preference Priority 2— understanding must describe— To meet this priority, an applicant Quality Affordable Housing (0 or 2 (i) Each partner’s financial and must propose to implement a Promise points). programmatic commitment; and Neighborhood strategy that (1) meets all To meet this priority, an applicant (ii) How each partner’s existing of the requirements in Absolute Priority must propose to serve geographic areas vision, theory of change (as defined in 1; and (2) serves one or more rural that were the subject of an affordable this notice), theory of action (as defined communities only. housing transformation pursuant to a in this notice), and current activities Absolute Priority 3—Promise Choice Neighborhoods or HOPE VI grant align with those of the proposed Neighborhoods in Tribal Communities. awarded by the U.S. Department of Promise Neighborhood; and To meet this priority, an applicant Housing and Urban Development during (d) The governance structure must propose to implement a Promise FY 2009 or later years. To be eligible proposed for the Promise Neighborhood, Neighborhood strategy that (1) meets all under this priority, the applicant must including a system for holding partners of the requirements in Absolute Priority either: (1) Be able to demonstrate that it
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has received a Choice Neighborhoods or Promise Neighborhoods NFP. We may ways consistent with the purposes for HOPE VI grant; or (2) provide, in its apply these definitions in any year in which they were designed and application, a memorandum of which this program is in effect. validated; appropriate for the ages and understanding between it and a partner The following definitions apply to other characteristics of the children that is a recipient of a Choice this program: being assessed; designed and validated Neighborhoods or HOPE VI grant. The Children with disabilities or CWD for use with children whose ages, memorandum must indicate a means individuals who meet the cultures, languages spoken at home, commitment on the part of the applicant definition of child with a disability in socioeconomic status, abilities and and partner to coordinate 34 CFR 300.8, infant or toddler with a disabilities, and other characteristics are implementation and align resources to disability in 34 CFR 300.25, similar to those of the children with the greatest extent practicable. handicapped person in 34 CFR 104.3(j), whom the assessments will be used; Competitive Preference Priority 3— or disability as it pertains to an used in conformance with the Promise Zones (0 or 2 points). individual in 42 U.S.C. 12102. recommendations of the National This priority is for projects that are Community of practice means a group Research Council reports on early designed to serve and coordinate with a of grantees that agrees to interact childhood; 7 and used in compliance federally designated Promise Zone. regularly to solve a persistent problem with the measurement standards set Note: As a participant in the or improve practice in an area that is forth by the American Educational Administration’s Promise Zone important to them and the success of Research Association (AERA), the Initiative, the Department is cooperating their projects. Establishment of American Psychological Association with the Departments of Housing and communities of practice under Promise (APA), and the National Council for Urban Development, the Department of Neighborhoods will enable grantees to Measurement in Education (NCME) in Agriculture (USDA), and nine other meet, discuss, and collaborate with each the 1999 Standards for Educational and Federal agencies to support other regarding grantee projects. Psychological Testing. comprehensive revitalization efforts in Continuum of cradle-through-college- Education programs means programs 20 high-poverty urban, rural, and tribal to-career solutions or continuum of that include, but are not limited to— communities across the country. Each solutions means solutions that— (1) High-quality early learning application for Promise Neighborhoods (1) Include programs, policies, programs or services designed to funds that is accompanied by a practices, services, systems, and improve outcomes across multiple Certification of Consistency with supports that result in improving domains of early learning for young Promise Zone Goals and educational and developmental children. Such programs must be Implementation (HUD Form 50153) outcomes for children from cradle specifically intended to align with signed by an authorized representative through college to career; appropriate State early learning and of the lead organization of a Promise (2) Are based on the best available development standards, practices, Zone designated by HUD or USDA evidence, including, where available, strategies, or activities across as broad supporting the application will receive strong or moderate evidence (as defined an age range as birth through third grade two point. An application for Promise in this notice); so as to ensure that young children enter Neighborhoods grant funds that is not (3) Are linked and integrated kindergarten and progress through the accompanied by a signed certification seamlessly (as defined in this notice); early elementary school grades (HUD Form 50153) will receive zero and demonstrating age-appropriate points. To view the list of designated (4) Include both education programs functioning across the multiple Promise Zones and lead organizations and family and community supports. domains; please go to www.hud.gov/ Credible comparison group includes a (2) For children in preschool through promisezones. The certification form is comparison group formed by matching the 12th grade, programs, inclusive of available at//portal.hud.gov/hudportal/ project participants with non- related policies and personnel, that are documents/huddoc?id=HUD_Form_ participants based on key characteristics linked to improved educational 50153.pdf. that are thought to be related to outcomes. The programs— Competitive Preference Priority 4— outcomes. These characteristics include, (a) Must include effective teachers High School and Transition to College but are not limited to: (1) Prior test and effective principals; (0 or 2 points). scores and other measures of academic (b) Must include strategies, practices, Increasing the number and proportion achievement (preferably the same or programs that encourage and of high-need students (as defined in this measures that will be used to assess the facilitate the evaluation, analysis, and notice) who are academically prepared outcomes of the project); (2) use of student achievement, student for, enroll in, or complete on time demographic characteristics, such as growth (as defined in this notice), and college, other postsecondary education, age, disability, gender, English other data by educators, families, and or other career and technical education. proficiency, ethnicity, poverty level, other stakeholders to inform decision- parents’ educational attainment, and making; Definitions single- or two-parent family (c) Must include college- and career- The definitions of ‘‘large sample,’’ background; (3) the time period in ready standards, assessments, and ‘‘logic model,’’ ‘‘multi-site sample,’’ which the two groups are studied (e.g., practices, including a well-rounded ‘‘moderate evidence of effectiveness,’’ the two groups are children entering ‘‘relevant outcomes,’’ ‘‘strong theory,’’ kindergarten in the same year as 7 One example of these reports is referenced here. and ‘‘What Works Clearinghouse (WWC) opposed to sequential years); and (4) National Research Council (2008). Early Childhood Assessment: Why, What, and How. Committee on Evidence Standards’’ are from 34 CFR methods used to collect outcome data Developmental Outcomes and Assessments for 77.1. The definitions of ‘‘essential (e.g., the same test of reading skills Young Children, C.E. Snow and S.B. Van Hemel, domains of school readiness,’’ ‘‘high- administered in the same way to both Editors. Board on Children, Youth, and Families, minority school,’’ ‘‘high-need students,’’ groups). Board on Testing and Assessment, Division of Developmentally appropriate early Behavioral and Social Sciences and Education. and ‘‘regular high school diploma’’ are Washington, DC: The National Academies Press. from the Supplemental Priorities. All learning measures means a range of Available at: www.nap.edu/catalog.php?record_ other definitions are from the 2011 assessment instruments that are used in id=12446.
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curriculum, instructional practices, 1111(b)(3)(C)(xiii) of the ESEA) within school-wide behavior and conduct; strategies, or programs in, at a the school or district; or programs to prevent child abuse and minimum, core academic subjects as (2)(a) Demonstrated success in neglect; programs to prevent truancy defined in section 9101(11) of the ESEA, significantly increasing student and reduce and prevent bullying and that are aligned with high academic academic achievement in the school for harassment; and programs to improve content and achievement standards and all subgroups of students (as identified the physical and emotional security of with high-quality assessments based on in section 1111(b)(3)(C)(xiii) of the the school setting as perceived, those standards; and ESEA) in the school; and (b) made experienced, and created by students, (d) May include creating multiple significant improvements in other areas, staff, and families; pathways for students to earn regular such as graduation rates (as defined in (3) Community stability programs, high school diplomas (e.g., using this notice) or recruitment and such as programs that— schools that serve the needs of over- placement of effective teachers and (a) Increase the stability of families in aged, under-credited, or other students effective principals. communities by expanding access to with an exceptional need for flexibility Eligible organization means an quality, affordable housing, providing regarding when they attend school or organization that: legal support to help families secure the additional supports they require; (1) Is representative of the geographic clear legal title to their homes, and awarding credit based on demonstrated area proposed to be served; providing housing counseling or evidence of student competency; or (2) Is one of the following: housing placement services; offering dual-enrollment options); and (a) A nonprofit organization that (b) Provide adult education and (3) Programs that prepare students for meets the definition of a nonprofit employment opportunities and training college and career success, which may under 34 CFR 77.1(c), which may to improve educational levels, job skills include programs that— include a faith-based nonprofit and readiness in order to decrease (a) Create and support partnerships organization. unemployment, with a goal of with community colleges, four-year (b) An institution of higher education increasing family stability; (c) Improve families’ awareness of, colleges, or universities and that help as defined by section 101(a) of the access to, and use of a range of social instill a college-going culture in the Higher Education Act of 1965, as services, if possible at a single location; neighborhood; amended. (c) An Indian tribe (as defined in this (d) Provide unbiased, outcome- (b) Provide dual-enrollment notice); focused, and comprehensive financial opportunities for secondary students to (3) Currently provides at least one of education, inside and outside the gain college credit while in high school; the solutions from the applicant’s classroom and at every life stage; (c) Provide, through relationships proposed continuum of solutions in the (e) Increase access to traditional with businesses and other organizations, geographic area proposed to be served; financial institutions (e.g., banks and apprenticeship opportunities to and credit unions) rather than alternative students; (4) Operates or proposes to work with financial institutions (e.g., check cashers (d) Align curricula in the core and involve in carrying out its proposed and payday lenders); academic subjects with requirements for project, in coordination with the (f) Help families increase their industry-recognized certifications or school’s LEA, at least one public financial literacy, financial assets, and credentials, particularly in high-growth elementary or secondary school that is savings; and sectors; located within the identified geographic (g) Help families access transportation (e) Provide access to career and area that the grant will serve. to education and employment technical education programs so that English learners or ELs means opportunities; individuals can attain the skills and individuals who meet the definition of (4) Family and community industry-recognized certifications or limited English proficient, as defined in engagement programs that are systemic, credentials for success in their careers; section 9101(25) of the ESEA. integrated, sustainable, and continue (f) Help college students, including Essential domains of school readiness through a student’s transition from K–12 CWD and ELs from the neighborhood to means the domains of language and school to college and career. These transition to college, persist in their literacy development, cognition and programs may include family literacy academic studies in college, graduate general knowledge (including early programs and programs that provide from college, and transition into the mathematics and early scientific adult education and training and workforce; and development), approaches toward opportunities for family members and (g) Provide opportunities for all youth learning (including the utilization of the other members of the community to (both in and out of school) to achieve arts), physical well-being and motor support student learning and establish academic and employment success by development (including adaptive skills), high expectations for student improving educational and skill and social and emotional development. educational achievement; mentorship competencies and providing Family and community supports programs that create positive connections to employers. Such means: relationships between children and activities may include opportunities for (1) Child and youth health programs, adults; programs that provide for the use on-going mentoring, supportive such as physical, mental, behavioral, of such community resources as services, incentives for recognition and and emotional health programs (e.g., libraries, museums, television and radio achievement, and opportunities related home visiting programs; Early Head stations, and local businesses to support to leadership, development, decision- Start; programs to improve nutrition and improved student educational making, citizenship, and community fitness, reduce childhood obesity, and outcomes; programs that support the service. create healthier communities); engagement of families in early learning Effective school means a school that (2) Safety programs, such as programs programs and services; programs that has— in school and out of school to prevent, provide guidance on how to navigate (1) Significantly closed the control, and reduce crime, violence, through a complex school system and achievement gaps between subgroups of drug and alcohol use, and gang activity; how to advocate for more and improved students (as identified in section programs that address classroom and learning opportunities; and programs
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that promote collaboration with Indian tribe means any Indian or graduation from high school) along the educators and community organizations Alaska Native tribe, band, nation, cradle-through-college-to-career to improve opportunities for healthy pueblo, village or community that the continuum, and address time and development and learning; and Secretary of the Interior acknowledges resource gaps that create obstacles for (5) 21st century learning tools, such as to exist as an Indian tribe, 25 U.S.C. students in making academic progress. technology (e.g., computers and mobile 479a and 479a-1 or any Alaska Native Logic model (also referred to as theory phones) used by students in the village or regional or village corporation of action) means a well-specified classroom and in the community to as defined in or established pursuant to conceptual framework that identifies support their education. This includes the Alaska Native Claims Settlement key components of the proposed programs that help students use the Act, 43 U.S.C. 1601, et seq., that is process, product, strategy, or practice tools to develop knowledge and skills in recognized as eligible for the special (i.e., the active ‘‘ingredients’’ that are such areas as reading and writing, programs and services provided by the hypothesized to be critical to achieving mathematics, research, critical thinking, United States to Indians because of their the relevant outcomes) and describes communication, creativity, innovation, status as Indians. The term ‘‘Indian’’ the relationships among the key and entrepreneurship. means a member of an Indian tribe. components and outcomes, theoretically Graduation rate means the four-year Indicators of need means currently and operationally. or extended-year adjusted cohort available data that describe— Low-performing schools means graduation rate as defined by 34 CFR (1) Education need, which means— schools receiving assistance through 200.19(b)(1). (a) All or a portion of the title I of the ESEA, that are in corrective action or restructuring in the State, as Note: This definition is not meant to neighborhood includes or is within the determined under section 1116 of the prevent a grantee from also collecting attendance zone of a low-performing ESEA, and the secondary schools (both information about the reasons why school that is a high school, especially middle and high schools) in the State students do not graduate from the target one in which the graduation rate (as that are equally as low-achieving as high school, e.g., dropping out or defined in this notice) is less than 60 these Title I schools and are eligible for, moving outside of the school district for percent or a school that can be but do not receive Title I funds. non-academic or academic reasons. characterized as low-performing based on another proxy indicator, such as Note: A State that received ESEA High-minority school means a school flexibility was not required to identify as that term is defined by a local students’ on-time progression from grade to grade; and schools in corrective action or educational agency, which is consistent restructuring under Section 1116 of the with its State Teacher Equity Plan, as (b) Other indicators, such as significant achievement gaps between ESEA; rather, the State identified required by section 1111(b)(8)(c) of the priority and focus schools. Moreover, ESEA. The applicant must provide the subgroups of students (as identified in section 1111(b)(3)(C)(xiii) of the ESEA) with the enactment of the ESSA, and definition(s) of high-minority schools State, beginning in the 2017–2018 used in its application. within a school or LEA, high teacher and principal turnover, or high student school year, will no longer identify High-need students means students schools in corrective action or who are at risk of educational failure or absenteeism; and (2) Family and community support restructuring under section 1116 of the otherwise in need of special assistance need, which means— ESEA or identify schools as priority and and support, such as students who are (a) Percentages of children with focus schools under ESEA flexibility. living in poverty, who attend high- preventable chronic health conditions Therefore, consistent with Section minority schools (as defined in this (e.g., asthma, poor nutrition, dental 5(c)(2) of the ESSA, ED will allow notice), who are far below grade level, problems, obesity) or avoidable applicants to consider the following who have left school before receiving a developmental delays; schools as low-performing schools: (1) regular high school diploma (as defined (b) Immunization rates; Elementary and secondary schools in this notice), who are at risk of not (c) Rates of crime, including violent identified, at the time of submission of graduating with a diploma on time, who crime; an application under this competition, are homeless, who are in foster care, (d) Student mobility rates; as in need as in need of corrective who have been incarcerated, who have (e) Teenage birth rates; action or restructuring under the ESEA, disabilities, or who are English learners. (f) Percentage of children in single- as authorized amended by the NCLB; Increased learning time means using parent or no-parent families; (2), elementary and secondary schools a longer school day, week, or year to (g) Rates of vacant or substandard identified, at the time of submission of significantly increase the total number homes, including distressed public and an application under this competition, of school hours. This strategy is used to assisted housing; or as a priority or focus school by a State redesign the school’s program in a (h) Percentage of the residents living under ESEA flexibility; and, (3) manner that includes additional time for at or below the Federal poverty secondary (both middle and high (a) instruction in core academic subjects threshold. schools) in a State that are, at the time as defined in section 9101(11) of the Large sample means an analytic of submission of an application under ESEA; (b) instruction in other subjects sample of 350 or more students (or other this competition, equally as low- and enrichment activities that single analysis units), or 50 or more achieving as these Title I schools above contribute to a well-rounded education, groups (such as classrooms or schools) and are eligible for, but do not receive, including, for example, physical that contain 10 or more students (or Title I funds. education, service learning, and other single analysis units). Moderate evidence means evidence experiential and work-based learning Linked and integrated seamlessly, from previous studies with designs that opportunities that are provided by with respect to the continuum of can support causal conclusions (i.e., partnering, as appropriate, with other solutions, means solutions that have studies with high internal validity) but organizations; and (c) teachers to common outcomes, focus on similar have limited generalizability (i.e., collaborate, plan, and engage in milestones, support transitional time moderate external validity) or from professional development within and periods (e.g., the beginning of studies with high external validity but across grades and subjects. kindergarten, the middle grades, or moderate internal validity.
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Neighborhood assets means— rather, the State identified priority and proposed to be served, and who are low- (1) Developmental assets that allow focus schools. Moreover, consistent income (which means earning less than residents to attain the skills needed to with final regulations issued under the 80 percent of the area’s median income be successful in all aspects of daily life School Improvement Grants program as published by the Department of (e.g., educational institutions, early (80 FR 7223), the definition of Tier I and Housing and Urban Development); learning centers, and health resources); Tier II Schools includes persistently (3) Public officials (as defined in this (2) Commercial assets that are lowest-achieving schools. notice) who serve the geographic area associated with production, Program indicators are indicators that proposed to be served (although not employment, transactions, and sales the Department will use only for more than one-half of the governing (e.g., labor force and retail research and evaluation purposes and board or advisory board may be made establishments); for which an applicant is not required up of public officials); or (3) Recreational assets that create to propose solutions. (4) Some combination of individuals value in a neighborhood beyond work Project indicators are indicators for from the three groups listed in and education (e.g., parks, open space, which an applicant proposes solutions paragraphs (1), (2), and (3) of this community gardens, and arts intended to result in progress on the definition. organizations); indicators. (4) Physical assets that are associated Public officials means elected officials Rural community means a with the built environment and physical (e.g., council members, aldermen and neighborhood that— infrastructure (e.g., housing, commercial women, commissioners, State (1) Is served by an LEA that is buildings, and roads); and legislators, Congressional currently eligible under the Small Rural (5) Social assets that establish well- representatives, members of the school School Achievement (SRSA) program or functioning social interactions (e.g., board), appointed officials (e.g., the Rural and Low-Income School public safety, community engagement, members of a planning or zoning (RLIS) program authorized under Title and partnerships with youth, parents, commission, or of any other regulatory VI, Part B of the ESEA. Applicants may and families). or advisory board or commission), or determine whether a particular LEA is Persistently lowest-achieving school individuals who are not necessarily eligible for these programs by referring means, as determined by the State— public officials, but who have been to information on the following (1) Any school receiving assistance appointed by a public official to serve Department Web sites. For the SRSA through Title I that is in improvement, on the Promise Neighborhoods program: http://www2.ed.gov/programs/ corrective action, or restructuring and governing board or advisory board. reapsrsa/eligible10/index.html. For the that— Rapid-time, in reference to reporting RLIS program: http://www2.ed.gov/ (a) Is among the lowest-achieving five and availability of locally-collected programs/reaprlisp/eligible10/ percent of Title I schools or the lowest- data, means that data are available index.html; or achieving five Title I schools in in the quickly enough to inform current (2) Includes only schools designated State, whichever number of schools is lessons, instruction, and related with a school locale code of 42 or 43. greater; or education programs and family and Applicants may determine school locale (b) Is a high school that has had a community supports. codes by referring to the following graduation rate, that is less than 60 Regular high school diploma means Department Web site: http:// percent over a number of years. the standard high school diploma that is nces.ed.gov/ccd/schoolsearch/. Note: The Department will also awarded to students in the State and School climate needs assessment consider any school a persistently that is fully aligned with the State’s means an evaluation tool that measures lowest-achieving school that, at the time academic content standards or a higher the extent to which the school setting of submission of an application under diploma and does not include a General promotes or inhibits academic this competition, meets the definition of Education Development credential, performance by collecting perception ‘‘lowest-performing schools’’ set out in certificate of attendance, or any data from individuals, which could the Secretary’s Final Supplemental alternative award. include students, staff, or families. Priorities and Definitions for Relevant outcome means the student Segmentation analysis means the Discretionary Grant Programs outcome(s) (or the ultimate outcome if process of grouping and analyzing data (Supplemental Priorities), 79 FR 73425 not related to students) the proposed from children and families in the (Dec. 10, 2014). The definition of process, product, strategy, or practice is geographic area proposed to be served ‘‘lowest-performing schools’’ in the designed to improve; consistent with according to indicators of need (as Supplemental Priorities is as follows: the specific goals of a program. Lowest-performing schools means— Representative of the geographic area defined in this notice) or other relevant For a State with an approved request proposed to be served means that indicators. for flexibility under the Elementary and residents of the geographic area Note: The analysis is intended to Secondary Education Act of 1965, as proposed to be served have an active allow grantees to differentiate and more amended (ESEA), Priority Schools or role in decision-making and that at least effectively target interventions based on Tier I and Tier II Schools that have been one-third of the eligible entity’s what they learn about the needs of identified under the School governing board or advisory board is different populations in the geographic Improvement Grants program. For any made up of— area. other State, Tier I and Tier II Schools (1) Residents who live in the Strong evidence means evidence from that have been identified under the geographic area proposed to be served, studies with designs that can support School Improvement Grants program. 79 which may include residents who are causal conclusions (i.e., studies with FR 73425, 73454 (Dec. 10, 2014). representative of the ethnic and racial high internal validity), and studies that We are providing this flexibility composition of the neighborhood’s in total, include enough of the range of because a State that received ESEA residents and the languages they speak; participants and settings to support flexibility was not required to identify (2) Residents of the city or county in scaling up to the State, regional, or schools in corrective action or which the neighborhood is located but national level (i.e., studies with high restructuring under the ESEA; but who live outside the geographic area external validity).
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Strong theory means a rationale for Requirements, Cost Principles, and Absolute Priority 2—Promise the proposed process, product, strategy, Audit Requirements for Federal Awards Neighborhoods in Rural Communities or or practice that includes a logic model. in 2 CFR part 200, as adopted and Absolute Priority 3—Promise Student achievement means— amended as regulations of the Neighborhoods in Tribal Communities (1) For tested grades and subjects: Department in 2 CFR part 3474. (d) The must obtain matching funds or in-kind (a) A student’s score on the State’s 2011 Promise Neighborhoods NFP. (e) donations equal to at least 50 percent of assessments under the ESEA; and, as The 2014 Promise Zones NFP. (f) The the grant award. appropriate, Supplemental Priorities. Eligible sources of matching include (b) Other measures of student Note: The regulations in 34 CFR part sources of funds used to pay for learning, such as those described in 79 apply to all applicants except solutions within the continuum of paragraph (2) of this definition, federally recognized Indian tribes. solutions, such as Head Start programs, provided they are rigorous and Note: The regulations in 34 CFR part initiatives supported by the LEA, or comparable across classrooms and 86 apply to institutions of higher public health services for children in programs. education only. the neighborhood. At least 10 percent of (2) For non-tested grades and subjects: an implementation applicant’s total alternative measures of student learning II. Award Information match must be cash or in-kind and performance, such as student scores Type of Award: Discretionary grants. contributions from the private sector, on pre-tests and end-of-course tests; Estimated Available Funds: which may include philanthropic student performance on English $29,800,000. organizations, private businesses, or language proficiency assessments; and These estimated available funds are individuals. other measures of student achievement only for Implementation grants under Implementation applicants must that are rigorous and comparable across the Promise Neighborhoods program. demonstrate a commitment of matching classrooms. Contingent upon the availability of funds in the applications. The Student growth means the change in funds and the quality of applications, applicants must specify the source of achievement data for an individual we may make additional awards in the funds or contributions and in the student between two or more points in FY2017 from the list of unfunded case of a third-party in-kind time. Growth may also include other applications from this competition. contribution, a description of how the measures that are rigorous and Estimated Range of Awards: value was determined for the donated or comparable across classrooms. $4,000,000 to $6,000,000. contributed goods or service. Applicants Student mobility rate is calculated by Estimated Average Size of Awards: must demonstrate the match dividing the total number of new $5,000,000. commitment by including letters in student entries and withdrawals at a Maximum Award: $6,000,000. their applications explaining the type school, from the day after the first The maximum award amount is and quantity of the match commitment official enrollment number is collected $6,000,000 per 12-month budget period. with original signatures from the through the end of the academic year, We will not fund an annual budget executives of organizations or agencies by the first official enrollment number exceeding $6,000,000 per 12-month providing the match. The Secretary may of the academic year. budget period. consider decreasing the matching Note: This definition is not meant to Estimated Number of Awards: 3–5. requirement in the most exceptional limit a grantee from also collecting Note: The Department is not bound by circumstances, on a case-by-case basis. information about why students enter or any estimates in this notice. An applicant that is unable to meet withdraw from the school, e.g., Project Period: Up to 60 months. the matching requirement must include transferring to charter schools, moving III. Eligibility Information in its application a request to the outside of the school district for non- Secretary to reduce the matching academic or academic reasons. 1. Eligible Applicants: An applicant requirement, including the amount of Theory of action means an must be an eligible organization (as the requested reduction, the total organization’s strategy regarding how, defined in this notice). For purposes of remaining match contribution, and a considering its capacity and resources, Absolute Priority 3—Promise statement of the basis for the request. it will take the necessary steps and Neighborhoods in Tribal Communities, An applicant should review the measures to accomplish its desired an eligible applicant is an eligible Department’s cost-sharing and cost- results. organization that partners with an matching regulations, which include Theory of change means an Indian tribe or is an Indian tribe that specific limitations, in 2 CFR 200.306 organization’s beliefs about how its meets the definition of an eligible and the cost principles regarding inputs, and early and intermediate organization. donations, capital assets, depreciations outcomes, relate to accomplishing its 2. Cost-Sharing or Matching: To be and allowable costs, set out in subpart long-term desired results. eligible for a grant under this E of 2 CFR part 200. Program Authority: 20 U.S.C. 7243– competition, an applicant must 7243b. demonstrate that it has established a IV. Application and Submission Applicable Regulations: (a) The commitment from one or more entities Information Education Department General in the public or private sector, which 1. Address to Request Application Administrative Regulations (EDGAR) in may include Federal, State, and local Package: You can obtain an application 34 CFR parts 75, 77, 79 81, 82, 84, 86, public agencies, philanthropic package via the Internet, from the 97, 98, and 99. (b) The OMB Office of organizations, private businesses, or Education Publications Center (ED Management and Budget Guidelines to individuals, to provide matching funds Pubs), or from the program office. Agencies on Governmentwide for the implementation process. An To obtain a copy via the Internet, use Debarment and Suspension applicant for an implementation grant the following address: www.ed.gov/ (Nonprocurement) in 2 CFR part 180, as must obtain matching funds or in-kind fund/grant/apply/grantapps/. adopted and amended as regulations of donations equal to at least 100 percent To obtain a copy from ED Pubs, write, the Department in 2 CFR part 3485. of its grant award, except that an fax, or call the following: Education (c) The Uniform Administrative applicant proposing a project that meets Publications Center, P.O. Box 22207,
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Alexandria, VA 22304. Telephone, toll • Double space (no more than three competition must be submitted free: 1–877–433–7827. FAX: (703) 605– lines per vertical inch) all text in the electronically using the Grants.gov 6794. If you use a telecommunications application narrative. Text in charts, Apply site (Grants.gov). For information device for the deaf (TDD) or a text tables, figures, and graphs may be (including dates and times) about how telephone (TTY), call, toll free: 1–877– single-spaced. to submit your application 576–7734. • Use a font that is either 12 point or electronically, or in paper format by You can contact ED Pubs at its Web larger or no smaller than 10 pitch mail or hand delivery if you qualify for site, also: www.EdPubs.gov or at its (characters per inch). an exception to the electronic email address: [email protected]. • Use one of the following fonts is submission requirement, please refer to If you request an application from ED strongly encouraged: Times New Other Submission Requirements in Pubs, be sure to identify this program as Roman, Courier, Courier New, or Arial. section IV of this notice. follows: CFDA number 84.215N. To • Include page numbers at the bottom We do not consider an application obtain a copy from the program office, of each page in your application that does not comply with the deadline contact: Adrienne Hawkins, U.S. narrative. requirements. Please note, due to a Department of Education, 400 Maryland The suggested page limit does not scheduled systems shutdown, Avenue SW., Room 4W256, apply to Part I, the cover sheet; Part II, applicants will not be able to submit Washington, DC 20202–5970. the budget section, including the applications for the Promise Telephone: (202) 453–5638 or by email: narrative budget justification; Part IV, Neighborhoods competition between [email protected]. If you the assurances and certifications; or the 9:00 p.m. on Wednesday, July 20, 2016 use a TDD or TTY, call the Federal one-page abstract, the resumes, the until 6:00 a.m. on Monday, July 25, Relay Service (FRS), toll free, at 1–800– bibliography, or the letters of support. 2016 and from 9:00 p.m. on Wednesday, 877–8339. However, the page limit does apply to July 27, 2016 until 6:00 a.m. on Individuals with disabilities can all of the application narrative section. Monday, August 1, 2016. obtain a copy of the application package 2.b. Submission of Proprietary Individuals with disabilities who in an accessible format (e.g., braille, Information: Given the types of projects need an accommodation or auxiliary aid large print, audiotape, or compact disc) that may be proposed in applications for in connection with the application by contacting the program contact the Promise Neighborhoods program, process should contact the person listed person listed in this section. your application may include business under FOR FURTHER INFORMATION 2.a. Content and Form of Application information that you consider CONTACT in section VII of this notice. If Submission: Requirements concerning proprietary. In 34 CFR 5.11 we define the Department provides an the content of an application, together ‘‘business information’’ and describe the accommodation or auxiliary aid to an with the forms you must submit, are in process we use in determining whether individual with a disability in the application package for this any of that information is proprietary connection with the application competition. and, thus, protected from disclosure process, the individual’s application Notice of Intent to Apply: July 25, under Exemption 4 of the Freedom of remains subject to all other 2016. Information Act (5 U.S.C. 552, as requirements and limitations in this The Department will be able to amended). notice. develop a more efficient process for Because we plan to make successful Deadline for Intergovernmental reviewing grant applications if it has a applications available to the public, you Review: October 26, 2016. better understanding of the number of may wish to request confidentiality of 4. Intergovernmental Review: This entities that intend to apply for funding business information. competition is subject to Executive under this competition. Therefore, the Consistent with Executive Order Order 12372 and the regulations in 34 Secretary strongly encourages each 12600, please designate in your CFR part 79. Information about potential applicant to notify the application any information that you Intergovernmental Review of Federal Department of the applicant’s intent to believe is exempt from disclosure under Programs under Executive Order 12372 submit an application for funding by Exemption 4. In the appropriate is in the application package for this completing a Web-based form. When Appendix section of your application, competition. completing this form, applicants will under ‘‘Other Attachments Form,’’ 5. Funding Restrictions: We specify provide (1) the applicant organization’s please list the page number or numbers unallowable costs in 34 CFR 280.41. We name and address, and (2) information on which we can find this information. reference additional regulations on the competitive preference priority For additional information please see 34 outlining funding restrictions in the or priorities under which the applicant CFR 5.11(c). Applicable Regulations section of this intends to apply. Applicants may access 3. Submission Dates and Times: notice. this form online at https:// Applications Available: July 8, 2016. 6. Data Universal Numbering System innovation.ed.gov/what-we-do/parental- Deadline for Notice of Intent to Number, Taxpayer Identification options/promise-neighborhoods-pn/. Apply: July 25, 2016. Number, and System for Award Applicants that do not complete this Date of Pre-Application Webinar: Management: To do business with the form may still apply for funding. Page Promise Neighborhoods intends to hold Department of Education, you must— Limit: The application narrative (Part III Pre-Application Webinars to provide a. Have a Data Universal Numbering of the application) is where you, the technical assistance to interested System (DUNS) number and a Taxpayer applicant, address the selection criteria applicants. Detailed information Identification Number (TIN); that reviewers use to evaluate your regarding Pre-Application Webinar b. Register both your DUNS number application. You are strongly times will be provided on the Web site and TIN with the System for Award encouraged to limit the application at https://innovation.ed.gov/what-we- Management (SAM) (formerly the narrative to no more than 75 pages, do/parental-options/promise- Central Contract Registry), the using the following standards: neighborhoods-pn/. Government’s primary registrant • A ‘‘page’’ is 8.5″ x 11″, on one side Deadline for Transmittal of database; only, with 1″ margins at the top, bottom, Applications: September 6, 2016. c. Provide your DUNS number and and both sides. Applications for grants under this TIN on your application; and
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d. Maintain an active SAM accordance with the instructions in this • The amount of time it can take to registration with current information section. upload an application will vary while your application is under review a. Electronic Submission of depending on a variety of factors, by the Department and, if you are Applications. including the size of the application and awarded a grant, during the project Applications for grants under Promise the speed of your Internet connection. period. Neighborhoods, CFDA number 84.215N, Therefore, we strongly recommend that You can obtain a DUNS number from must be submitted electronically using you do not wait until the application Dun and Bradstreet at the following the Governmentwide Grants.gov Apply deadline date to begin the submission Web site: http://fedgov.dnb.com/ site at www.Grants.gov. Through this process through Grants.gov. webform. A DUNS number can be site, you will be able to download a • You should review and follow the created within one to two business days. copy of the application package, Education Submission Procedures for If you are a corporate entity, agency, complete it offline, and then upload and submitting an application through institution, or organization, you can submit your application. You may not Grants.gov that are included in the obtain a TIN from the Internal Revenue email an electronic copy of a grant application package for Promise Service. If you are an individual, you application to us. Neighborhoods to ensure that you can obtain a TIN from the Internal We will reject your application if you submit your application in a timely Revenue Service or the Social Security submit it in paper format unless, as manner to the Grants.gov system. You Administration. If you need a new TIN, described elsewhere in this section, you can also find the Education Submission please allow two to five weeks for your qualify for one of the exceptions to the Procedures pertaining to Grants.gov TIN to become active. electronic submission requirement and under News and Events on the The SAM registration process can take submit, no later than two weeks before Department’s G5 system home page at approximately seven business days, but the application deadline date, a written www.G5.gov. In addition, for specific may take upwards of several weeks, statement to the Department that you guidance and procedures for submitting depending on the completeness and qualify for one of these exceptions. an application through Grants.gov, accuracy of the data you enter in to the Further information regarding please refer to the Grants.gov Web site SAM database. Thus, if you think you calculation of the date that is two weeks at: www.grants.gov/web/grants/ might want to apply for Federal before the application deadline date is applicants/apply-for-grants.html. financial assistance under a program provided later in this section under • You will not receive additional administered by the Department, please Exception to Electronic Submission point value because you submit your allow sufficient time to obtain and Requirement. application in electronic format, nor register your DUNS number and TIN. You may access the electronic grant will we penalize you if you qualify for We strongly recommend that you application for the Promise an exception to the electronic register early. submission requirement, as described Note: Once your SAM registration is Neighborhoods program at elsewhere in this section, and submit active, it may be 24 to 48 hours before www.Grants.gov. You must search for the downloadable application package your application in paper format. you can access the information in, and • submit an application through, for this program by the CFDA number. You must submit all documents Grants.gov. Do not include the CFDA number’s electronically, including all information If you are currently registered with alpha suffix in your search (e.g., search you typically provide on the following SAM, you may not need to make any for 84.215, not 84.215N). forms: The Application for Federal changes. However, please make certain Please note the following: Assistance (SF 424), the Department of • that the TIN associated with your DUNS When you enter the Grants.gov site, Education Supplemental Information for number is correct. Also note that you you will find information about SF 424, Budget Information—Non- will need to update your registration submitting an application electronically Construction Programs (ED 524), and all annually. This may take three or more through the site, as well as the hours of necessary assurances and certifications. • business days. operation. You must upload any narrative Information about SAM is available at • Applications received by sections and all other attachments to www.SAM.gov. To further assist you Grants.gov are date and time stamped. your application as files in a read-only, with obtaining and registering your Your application must be fully non-modifiable Portable Document DUNS number and TIN in SAM or uploaded and submitted and must be Format (PDF). Do not upload an updating your existing SAM account, date and time stamped by the interactive or fillable PDF file. If you we have prepared a SAM.gov Tip Sheet, Grants.gov system no later than 4:30:00 upload a file type other than a read- which you can find at: http:// p.m., Washington, DC time, on the only, non-modifiable PDF (e.g., Word, www2.ed.gov/fund/grant/apply/sam- application deadline date. Except as Excel, WordPerfect, etc.) or submit a faqs.html. otherwise noted in this section, we will password-protected file, we will not In addition, if you are submitting your not accept your application if it is review that material. Please note that application via Grants.gov, you must (1) received—that is, date and time this could result in your application not be designated by your organization as an stamped by the Grants.gov system—after being considered for funding because Authorized Organization Representative 4:30:00 p.m., Washington, DC time, on the material in question—for example, (AOR); and (2) register yourself with the application deadline date. We do the project narrative—is critical to a Grants.gov as an AOR. Details on these not consider an application that does meaningful review of your proposal. For steps are outlined at the following not comply with the deadline that reason it is important to allow Grants.gov Web page: www.grants.gov/ requirements. When we retrieve your yourself adequate time to upload all web/grants/register.html. application from Grants.gov, we will material as PDF files. The Department 7. Other Submission Requirements: notify you if we are rejecting your will not convert material from other Applications for grants under Promise application because it was date and time formats to PDF. Neighborhoods must be submitted stamped by the Grants.gov system after • Your electronic application must electronically unless you qualify for an 4:30:00 p.m., Washington, DC time, on comply with any page limit exception to this requirement in the application deadline date. requirements described in this notice.
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• After you electronically submit If you submit an application after or hand delivery instructions described your application, you will receive from 4:30:00 p.m., Washington, DC time, on in this notice. Grants.gov an automatic notification of the application deadline date, please b. Submission of Paper Applications receipt that contains a Grants.gov contact the person listed under FOR by Mail. tracking number. FURTHER INFORMATION CONTACT in If you qualify for an exception to the This notification indicates receipt by section VII of this notice and provide an electronic submission requirement, you Grants.gov only, not receipt by the explanation of the technical problem may mail (through the U.S. Postal Department. Grants.gov will also notify you experienced with Grants.gov, along Service or a commercial carrier) your you automatically by email if your with the Grants.gov Support Desk Case application to the Department. You application met all the Grants.gov Number. We will accept your must mail the original and two copies validation requirements or if there were application if we can confirm that a of your application, on or before the any errors (such as submission of your technical problem occurred with the application deadline date, to the application by someone other than a Grants.gov system and that the problem Department at the following address: registered Authorized Organization affected your ability to submit your U.S. Department of Education, Representative, or inclusion of an application by 4:30:00 p.m., Application Control Center, Attention: attachment with a file name that Washington, DC time, on the (CFDA Number 84.215N), LBJ Basement contains special characters). You will be application deadline date. We will Level 1, 400 Maryland Avenue SW., given an opportunity to correct any contact you after we determine whether Washington, DC 20202–4260. errors and resubmit, but you must still your application will be accepted. You must show proof of mailing meet the deadline for submission of Note: The extensions to which we consisting of one of the following: applications. refer in this section apply only to the (1) A legibly dated U.S. Postal Service Once your application is successfully unavailability of, or technical problems postmark. validated by Grants.gov, the Department with, the Grants.gov system. We will not (2) A legible mail receipt with the will retrieve your application from grant you an extension if you failed to date of mailing stamped by the U.S. Grants.gov and send you an email with fully register to submit your application Postal Service. a unique PR/Award number for your to Grants.gov before the application (3) A dated shipping label, invoice, or application. deadline date and time or if the receipt from a commercial carrier. These emails do not mean that your technical problem you experienced is (4) Any other proof of mailing application is without any disqualifying unrelated to the Grants.gov system. acceptable to the Secretary of the U.S. errors. While your application may have Exception to Electronic Submission Department of Education. been successfully validated by If you mail your application through Requirement: You qualify for an Grants.gov, it must also meet the the U.S. Postal Service, we do not exception to the electronic submission Department’s application requirements accept either of the following as proof requirement, and may submit your as specified in this notice and in the of mailing: application in paper format, if you are application instructions. Disqualifying (1) A private metered postmark. errors could include, for instance, unable to submit an application through (2) A mail receipt that is not dated by the Grants.gov system because— failure to upload attachments in a read- • the U.S. Postal Service. only, non-modifiable PDF; failure to You do not have access to the Note: The U.S. Postal Service does not Internet; or submit a required part of the • uniformly provide a dated postmark. application; or failure to meet applicant You do not have the capacity to Before relying on this method, you eligibility requirements. It is your upload large documents to the should check with your local post responsibility to ensure that your Grants.gov system; and office. • submitted application has met all of the No later than two weeks before the We will not consider applications Department’s requirements. application deadline date (14 calendar postmarked after the application • We may request that you provide us days or, if the fourteenth calendar day deadline date. original signatures on forms at a later before the application deadline date c. Submission of Paper Applications date. falls on a Federal holiday, the next by Hand Delivery. Application Deadline Date Extension business day following the Federal If you qualify for an exception to the in Case of Technical Issues with the holiday), you mail or fax a written electronic submission requirement, you Grants.gov System: If you are statement to the Department, explaining (or a courier service) may deliver your experiencing problems submitting your which of the two grounds for an paper application to the Department by application through Grants.gov, please exception prevents you from using the hand. You must deliver the original and contact the Grants.gov Support Desk, Internet to submit your application. two copies of your application by hand, toll free, at 1–800–518–4726. You must If you mail your written statement to on or before the application deadline obtain a Grants.gov Support Desk Case the Department, it must be postmarked date, to the Department at the following Number and must keep a record of it. no later than two weeks before the address: U.S. Department of Education, If you are prevented from application deadline date. If you fax Application Control Center, Attention: electronically submitting your your written statement to the (CFDA Number 84.215N), 550 12th application on the application deadline Department, we must receive the faxed Street SW., Room 7039, Potomac Center date because of technical problems with statement no later than two weeks Plaza, Washington, DC 20202–4260. the Grants.gov system, we will grant you before the application deadline date. The Application Control Center an extension until 4:30:00 p.m., Address and mail or fax your accepts hand deliveries daily between Washington, DC time, the following statement to: Adrienne Hawkins, U.S. 8:00 a.m. and 4:30:00 p.m., Washington, business day to enable you to transmit Department of Education, 400 Maryland DC time, except Saturdays, Sundays, your application electronically or by Avenue SW., Room 4W256, and Federal holidays. hand delivery. You also may mail your Washington, DC 20202–5970. FAX: Note for Mail or Hand Delivery of application by following the mailing (202) 453–5638. Paper Applications: If you mail or hand instructions described elsewhere in this Your paper application must be deliver your application to the notice. submitted in accordance with the mail Department—
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(1) You must indicate on the envelope quality of the design of the proposed project. In determining the quality of the and—if not provided by the project, the Secretary considers the management plan for the proposed Department—in Item 11 of the SF 424 following factors: project, the Secretary considers the the CFDA number, including suffix (1) The extent to which the applicant following factors: letter, if any, of the competition under describes an implementation plan to (1) Working with the neighborhood which you are submitting your create a complete continuum of and its residents; the schools described application; and solutions, including early learning in paragraph (2)(b) of Absolute Priority (2) The Application Control Center through grade 12, college- and career- 1; the LEA in which those schools are will mail to you a notification of receipt readiness, and family and community located; Federal, State, and local of your grant application. If you do not supports, without time and resource government leaders; and other service receive this notification within 15 gaps, that will prepare all children in providers (2011 Promise Neighborhoods business days from the application the neighborhood to attain an excellent NFP). deadline date, you should call the U.S. education and successfully transition to (2) Collecting, analyzing, and using Department of Education Application college and a career, and that will data for decision-making, learning, Control Center at (202) 245–6288. significantly increase the proportion of continuous improvement, and students in the neighborhood that are accountability, including whether the V. Application Review Information served by the complete continuum to applicant has a plan to build, adapt, or 1. Selection Criteria: The selection reach scale over time (2011 Promise expand a longitudinal data system that criteria are from 34 CFR 75.210 and the Neighborhoods NFP); integrates student-level data from 2011 Promise Neighborhood NFP (76 FR (2) The extent to which the applicant multiple sources in order to measure 39590). All of the selection criteria are documents that proposed solutions are progress while abiding by privacy laws listed in this section and in the based on the best available evidence and requirements (2011 Promise application package. The maximum including, where available, strong or Neighborhoods NFP); and score for all of the selection criteria is moderate evidence (2011 Promise (e) Adequacy of Resources (15 points). 100 points. The maximum score for Neighborhoods NFP); The Secretary considers the adequacy each criterion is included in (3) The extent to which the applicant of resources for the proposed project. In parentheses following the title of the identifies existing neighborhood assets determining the adequacy of resources specific selection criterion. Each and programs supported by Federal, for the proposed project, the Secretary criterion also includes the factors that State, local, and private funds that will considers: reviewers will consider in determining be used to implement a continuum of (1) The extent to which the costs are the extent to which an applicant meets solutions (2011 Promise Neighborhoods reasonable in relation to the number of the criterion. NFP); persons to be served and to the Points awarded under these selection (4) The extent to which the methods anticipated results and benefits (34 CFR criteria are in addition to any points an of evaluation include the use of 75.210). applicant earns under the competitive objective performance measures that are (2) The extent to which the applicant preference priorities in this notice. The clearly related to the intended outcomes demonstrates that it has the resources to maximum score that an application may of the project and will produce operate the project beyond the length of receive under the competitive quantitative and qualitative data to the the grant, including a multi-year preference priorities and the selection extent possible (34 CFR 75.210); and financial and operating model and criteria is 108 points. (5) The extent to which the proposed accompanying plan; the demonstrated (a) Need for the Project (15 points). project is supported by strong theory (as commitment of any partners; evidence The Secretary considers the need for defined in this notice). (34 CFR 75.210) of broad support from stakeholders (e.g., the proposed project. In determining the (c) Quality of Project Services (20 LEAs, city government, other need for the proposed project, the points). nonprofits) critical to the project’s long- Secretary considers: The Secretary considers the quality of term success; or more than one of these (1) The magnitude or severity of the the services to be provided by the types of evidence (34 CFR 75.210). problems to be addressed by the proposed project. In determining the 2. Review and Selection Process: The proposed project as described by quality of the project services, the Department will screen applications indicators of need (as defined in this Secretary considers: submitted in accordance with the notice) and other relevant indicators (1) The likelihood that the services to requirements in this notice, and will identified in part by the needs be provided by the proposed project determine which applications have met assessment and segmentation analysis. will lead to improvement in the eligibility and other statutory (2011 Promise Neighborhoods NFP) achievement of students as measured requirements. (2) The extent to which the against rigorous academic standards. (34 The Department will use independent geographically defined area has been CFR 75.210) reviewers from various backgrounds and described. (2011 Promise (2) Creating formal and informal professions including: Pre-kindergarten- Neighborhoods NFP) partnerships, including the alignment of 12 teachers and principals, college and (3) The extent to which specific gaps the visions, theories of action, and university educators, researchers and or weaknesses in services, theories of change described in its evaluators, social entrepreneurs, infrastructure, or opportunities have memorandum of understanding, and strategy consultants, grant makers and been identified and will be addressed by creating a system for holding partners managers, and others with community the proposed project, including the accountable for performance in development and education expertise. nature and magnitude of those gaps or accordance with the memorandum of The Department will thoroughly screen weaknesses. (34 CFR 75.210); and understanding. (2011 Promise all reviewers for conflicts of interest to (b) Quality of Project Design (30 Neighborhoods NFP); ensure a fair and competitive review points). (d) Quality of the Management Plan process. The Secretary reviews each (20 points). Reviewers will read, prepare a written application to determine the quality of The Secretary considers the quality of evaluation, and score the applications the project design. In determining the the management plan for the proposed assigned to their panel, using the
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selection criteria provided in this circumstances, high-risk conditions on a (a) Project indicators; notice. grant if the applicant or grantee is not (b) Improving systems; and For applications addressing Absolute financially stable; has a history of (c) Leveraging resources. Priority 1, Absolute Priority 2, and unsatisfactory performance; has a All grantees will be required to Absolute Priority 3, the Secretary financial or other management system submit annual performance reports prepares a rank order of applications for that does not meet the standards in 2 documenting their contribution in each absolute priority based solely on CFR part 200, subpart D; has not assisting the Department in measuring the evaluation of their quality according fulfilled the conditions of a prior grant; the performance of the program against to the selection criteria. The Department or is otherwise not responsible. this indicator as well as other may use more than one tier of reviews information requested by the in determining grantees, including VI. Award Administration Information Department. possible site visits for Implementation 1. Award Notices: If your application 5. Continuation Awards: In making a grant applicants. Additional information is successful, we notify your U.S. continuation award, the Secretary about the review process will be posted Representative and U.S. Senators and considers, among other things: Whether on the Department’s Web site. send you a Grant Award Notification a grantee has made substantial progress We remind potential applicants that (GAN); or we may send you an email in achieving the goals and objectives of in reviewing applications in any containing a link to access an electronic the project; whether the grantee has discretionary grant competition, the version of your GAN. We may notify expended funds in a manner that is Secretary may consider, under 34 CFR you informally, also. consistent with its approved application 75.217(d)(3), the past performance of the If your application is not evaluated or and budget; and, if the Secretary has applicant in carrying out a previous not selected for funding, we notify you. established performance measurement award, such as the applicant’s use of 2. Administrative and National Policy requirements, the performance targets in funds, achievement of project Requirements: We identify the grantee’s approved application. objectives, and compliance with grant administrative and national policy In making a continuation award, the conditions. The Secretary may also requirements in the application package Secretary also considers whether the consider whether the applicant failed to and reference these and other grantee is operating in compliance with submit a timely performance report or requirements in the Applicable the assurances in its approved submitted a report of unacceptable Regulations section of this notice. application, including those applicable quality. We reference the regulations outlining to Federal civil rights laws that prohibit In addition, in making a competitive the terms and conditions of an award in discrimination in programs or activities grant award, the Secretary also requires the Applicable Regulations section of receiving Federal financial assistance various assurances including those this notice and include these and other from the Department (34 CFR 100.4, applicable to Federal civil rights laws specific conditions in the GAN. The 104.5, 106.4, 108.8, and 110.23). that prohibit discrimination in programs GAN also incorporates your approved or activities receiving Federal financial application as part of your binding VII. Agency Contact assistance from the Department of commitments under the grant. FOR FURTHER INFORMATION CONTACT: Education (34 CFR 100.4, 104.5, 106.4, 3. Reporting: (a) If you apply for a Adrienne Hawkins, U.S. Department of 108.8, and 110.23). grant under this competition, you must Education, 400 Maryland Avenue SW., We remind potential applicants that ensure that you have in place the Room 4W256, Washington, DC 20202. in reviewing applications in any necessary processes and systems to Telephone: (202) 453–5638 or by email: discretionary grant competition, the comply with the reporting requirements [email protected]. Secretary may consider, under 34 CFR in 2 CFR part 170 should you receive If you use a TDD or TTY, call the FRS, 75.217(d)(3), the past performance of the funding under the competition. This toll free, at 1–800–877–8339. applicant in carrying out a previous does not apply if you have an exception award, such as the applicant’s use of under 2 CFR 170.110(b). VIII. Other Information funds, achievement of project (b) At the end of your project period, Accessible Format: Individuals with objectives, and compliance with grant you must submit a final performance disabilities can obtain this document conditions. The Secretary may also report, including financial information, and a copy of the application package in consider whether the applicant failed to as directed by the Secretary. If you an accessible format (e.g., braille, large submit a timely performance report or receive a multiyear award, you must print, audiotape, or compact disc) on submitted a report of unacceptable submit an annual performance report request to the program contact person quality. that provides the most current listed under FOR FURTHER INFORMATION In addition, in making a competitive performance and financial expenditure CONTACT in section VII of this notice. grant award, the Secretary also requires information as directed by the Secretary Electronic Access to This Document: various assurances including those under 34 CFR 75.118. The Secretary The official version of this document is applicable to Federal civil rights laws may also require more frequent the document published in the Federal that prohibit discrimination in programs performance reports under 34 CFR Register. Free Internet access to the or activities receiving Federal financial 75.720(c). For specific requirements on official edition of the Federal Register assistance from the Department of reporting, please go to www.ed.gov/ and the Code of Federal Regulations is Education (34 CFR 100.4, 104.5, 106.4, fund/grant/apply/appforms/ available via the Federal Digital System 108.8, and 110.23). appforms.html. at: www.gpo.gov/fdsys. At this site you 3. Risk Assessment and Special 4. Performance Measures: The can view this document, as well as all Conditions: Consistent with 2 CFR Secretary has established the following other documents of this Department 200.205, before awarding grants under performance indicator for Promise published in the Federal Register, in this competition the Department Neighborhoods: the percentage of text or PDF. To use PDF you must have conducts a review of the risks posed by implementation grantees that attain or Adobe Acrobat Reader, which is applicants. Under 2 CFR 3474.10, the exceed the annual goals that they available free at the site. Secretary may impose special establish and that are approved by the You may also access documents of the conditions and, in appropriate Secretary for— Department published in the Federal
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Register by using the article search your search to documents published by Dated: July 1, 2016. feature at: www.federalregister.gov. the Department. Nadya Chinoy Dabby, Specifically, through the advanced Assistant Deputy Secretary for Innovation and search feature at this site, you can limit Improvement. [FR Doc. 2016–16130 Filed 7–7–16; 8:45 am] BILLING CODE 4000–01–P
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Reader Aids Federal Register Vol. 81, No. 131 Friday, July 8, 2016
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING JULY
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. 15 CFR Presidential Documents 3 CFR Proposed Rules: Executive orders and proclamations 741–6000 Proclamations: 801...... 43126 The United States Government Manual 741–6000 9466...... 44127 Other Services Executive Orders: 17 CFR 13732...... 44485 Electronic and on-line services (voice) 741–6020 201...... 43042 232...... 43047 Privacy Act Compilation 741–6064 6 CFR Public Laws Update Service (numbers, dates, etc.) 741–6043 Proposed Rules: 27...... 42987 229...... 43130 230...... 43130 7 CFR ELECTRONIC RESEARCH 240...... 43130 1590...... 43006 275...... 43530 World Wide Web 1942...... 43927 18 CFR Full text of the daily Federal Register, CFR and other publications 8 CFR 250...... 43937 is located at: www.fdsys.gov. 270...... 42987 385...... 43937 Federal Register information and research tools, including Public 274a...... 42987 Proposed Rules: Inspection List, indexes, and Code of Federal Regulations are 280...... 42987 375...... 43557 located at: www.ofr.gov. 388...... 43557 9 CFR E-mail Proposed Rules: 19 CFR FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 94...... 43115 Proposed Rules: an open e-mail service that provides subscribers with a digital 102...... 44555 form of the Federal Register Table of Contents. The digital form 10 CFR 149...... 43961 of the Federal Register Table of Contents includes HTML and 2...... 43019 20 CFR PDF links to the full text of each document. 13...... 43019 404...... 43048 To join or leave, go to http://listserv.access.gpo.gov and select 429...... 43404 430...... 43404 655...... 43430 Online mailing list archives, FEDREGTOC-L, Join or leave the list 702...... 43430 (or change settings); then follow the instructions. Proposed Rules: 20...... 43959 725...... 43430 PENS (Public Law Electronic Notification Service) is an e-mail 726...... 43430 service that notifies subscribers of recently enacted laws. 12 CFR 21 CFR To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 19...... 43021 101...... 43061 and select Join or leave the list (or change settings); then follow 109...... 43021 the instructions. 1209...... 43028 Proposed Rules: 1...... 43155 FEDREGTOC-L and PENS are mailing lists only. We cannot 1217...... 43031 1250...... 43028 1005...... 43155 respond to specific inquiries. 1271...... 43155 Reference questions. Send questions and comments about the Proposed Rules: Federal Register system to: [email protected] 1232...... 43530 24 CFR The Federal Register staff cannot interpret specific documents or 14 CFR Proposed Rules: 982...... 44100 regulations. 1...... 43463 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 11...... 43463 25 CFR longer appears in the Federal Register. This information can be 13...... 43463 575...... 43941 found online at http://bookstore.gpo.gov/. 23...... 43469 25...... 43471 26 CFR FEDERAL REGISTER PAGES AND DATE, JULY 39 ...... 43037, 43472, 43475, 1...... 44508 43479, 43481, 43483, 44207, 301...... 43488 42983–43462...... 1 44489, 44492, 44494, 44496, Proposed Rules: 43463–43926...... 5 44499, 44503 1...... 43567, 44557 43927–44206...... 6 71...... 43038 301...... 44557 121...... 43463 44207–44488...... 7 125...... 43463 27 CFR 44489–44758...... 8 135...... 43463 16...... 43062 382...... 43463 406...... 43463 28 CFR 1214...... 43040 0...... 43065 Proposed Rules: 11...... 43942 39 ...... 43120, 43122, 44232, 94...... 44515 44235, 44238, 44241, 44244, 44246 29 CFR 71...... 43124 5...... 43430
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500...... 43430 576...... 43071 88...... 43510 214...... 43105 501...... 43430 588...... 43071 401...... 44456 215...... 43105 503...... 42983 592...... 43071 Proposed Rules: 216...... 43105 530...... 43430 593...... 43071 8...... 44576 217...... 43105 570...... 43430 594...... 43071 401...... 43790 218...... 43105 578...... 43430 595...... 43071 405...... 43790 219...... 43105 579...... 43430 597...... 43071 409...... 43714 220...... 43105 801...... 43430 598...... 43071 422...... 43790 221...... 43105 825...... 43430 423...... 43790 32 CFR 222...... 43105 1902...... 43430 478...... 43790 223...... 43105 1903...... 43430 706...... 43077 484...... 43714 224...... 43105 2560...... 43430 33 CFR 44 CFR 225...... 43105 2575...... 43430 227...... 43105 27...... 42987 2590...... 43430 Proposed Rules: 228...... 43105 100 ...... 43079, 43488, 43947 67...... 43568 229...... 43105 30 CFR 117...... 43947, 44541 230...... 43105 100...... 43430 147...... 43947 46 CFR 231...... 43105 550...... 43066 165 ...... 43079, 43085, 43087, 1...... 43950, 44230 232...... 43105 553...... 43066 43089, 43947, 44209 10...... 43950, 44230 233...... 43105 723...... 44535 Proposed Rules: 11...... 43950, 44230 724...... 44535 165...... 43178 12...... 43950, 44230 234...... 43105 845...... 44535 13...... 43950, 44230 235...... 43105 846...... 44535 39 CFR 14...... 44230 236...... 43105 1202...... 43338 Proposed Rules: 15...... 43950, 44230 237...... 43105 1206...... 43338 111...... 43965 238...... 43105 47 CFR 239...... 43105 31 CFR 40 CFR Ch. I ...... 43956 240...... 43105 356...... 43069 Ch. I ...... 43492 1...... 43523, 44414 241...... 43105 501...... 43071 19...... 43091 54...... 44414 242...... 43105 535...... 43071 52 ...... 43096, 43490, 43894, 73 ...... 43101, 43955, 44231 243...... 43105 536...... 43071 44210, 44542 244...... 43105 537...... 43071 60...... 43950, 44212 48 CFR 272...... 43105 538...... 43071 81...... 44210 538...... 43956 392...... 43957 539...... 43071 180...... 43097 552...... 43956 578...... 43524 541...... 43071 228...... 44220 Proposed Rules: 1503...... 42987 542...... 43071 1065...... 43101 915...... 43971 543...... 43071 Proposed Rules: 934...... 43971 50 CFR 544...... 43071 51...... 43180 942...... 43971 546...... 43071 52...... 43180, 43568 944...... 43971 648...... 43957 547...... 43071 945...... 43971 Proposed Rules: 548...... 43071 41 CFR 952...... 43971 17...... 43972 549...... 43071 50–201...... 43430 223...... 43979 560...... 43071 49 CFR 224...... 43979 561...... 43071 42 CFR 209...... 43101, 43105 665...... 44249 566...... 43071 8...... 44712 213...... 43105 679...... 44251
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in ‘‘slip law’’ (individual veterans and members of the enacted public laws. To pamphlet) form from the Armed Forces to assist the subscribe, go to http:// LIST OF PUBLIC LAWS Superintendent of Documents, Corps with curation and listserv.gsa.gov/archives/ U.S. Government Publishing historic preservation activities, publaws-l.html This is a continuing list of Office, Washington, DC 20402 and for other purposes. (July public bills from the current (phone, 202–512–1808). The 6, 2016; 130 Stat. 613) session of Congress which text will also be made Last List July 7, 2016 Note: This service is strictly have become Federal laws. available on the Internet from for E-mail notification of new This list is also available GPO’s Federal Digital System laws. The text of laws is not online at http:// (FDsys) at http://www.gpo.gov/ Public Laws Electronic available through this service. www.archives.gov/federal- fdsys. Some laws may not yet Notification Service PENS cannot respond to register/laws. be available. (PENS) specific inquiries sent to this The text of laws is not H.R. 3114/P.L. 114–189 address. published in the Federal To provide funds to the Army PENS is a free electronic mail Register but may be ordered Corps of Engineers to hire notification service of newly
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