Vol. 81 Wednesday, No. 12 January 20, 2016

Pages 2967–3288

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 81, No. 12

Wednesday, January 20, 2016

Agricultural Marketing Service NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals, 3148–3153 Submissions, and Approvals: Local Food Directories and Survey, 3094–3095 Commerce Department See Foreign-Trade Zones Board Agriculture Department See International Trade Administration See Agricultural Marketing Service See National Institute of Standards and Technology See Animal and Plant Health Inspection Service See National Oceanic and Atmospheric Administration See Commodity Credit Corporation Commodity Credit Corporation See Farm Service Agency NOTICES See Food and Nutrition Service Agency Information Collection Activities; Proposals, See Forest Service Submissions, and Approvals: See Rural Housing Service Noninsured Crop Disaster Assistance Program and Report Animal and Plant Health Inspection Service of Acreage, 3095–3097 RULES Comptroller of the Currency Exportation of Live Animals, Hatching Eggs, and Animal NOTICES Germplasm From the United States, 2967–2986 Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals: Importation of Fresh Apple and Pear Fruit Into the Leasing, 3236–3237 Continental United States From Certain Countries in Securities Exchange Act Disclosure Rules and Securities the European Union, 3033–3038 of Federal Savings Associations, 3237–3238 Army Department Defense Department NOTICES See Army Department Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals, 3121 Federal Acquisition Regulations: FAR Case 2014–004, Payment of Subcontractors, 3087– Bureau of Consumer Financial Protection 3093 NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals, 3120 Submissions, and Approvals, 3121–3122 Agency Information Collection Activities; Proposals, Centers for Disease Control and Prevention Submissions, and Approvals: NOTICES Contractors’ Purchasing Systems Reviews, 3135–3136 Agency Information Collection Activities; Proposals, Value Engineering Requirements, 3134–3135 Submissions, and Approvals, 3136–3146 Meetings: U.S. Court of Appeals for the Armed Forces Code Centers for Medicare & Medicaid Services Committee, 3121 NOTICES Agency Information Collection Activities; Proposals, Drug Enforcement Administration Submissions, and Approvals, 3146–3147 NOTICES Decisions and Orders: Children and Families Administration Irwin August, D.O., 3158–3159 NOTICES Agency Information Collection Activities; Proposals, Energy Department Submissions, and Approvals, 3147 See Federal Energy Regulatory Commission Single-Source Program Expansion Supplement Grant NOTICES Awards: Intents To Grant Exclusive Licenses, 3122 BCFS Health and Human Services in San Antonio, TX, 3147–3148 Environmental Protection Agency RULES Coast Guard Air Quality State Implementation Plans; Approvals and RULES Promulgations: Safety Zones: California; San Joaquin Valley; Reclassification as Serious Upper Mississippi River and Illinois River, MO and IL, Nonattainment for the 2006 PM2.5 NAAQS, 2993– 2989–2991 3001 PROPOSED RULES Pennsylvania; Allegheny County’s Adoption of Control Safety Zones: Techniques Guidelines for Four Industry Categories Annual Events in the Captain of the Port Lake Michigan for Control of Volatile Organic Compound Emissions, Zone, 3069–3078 2991–2993

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Tolerance Requirements; Exemptions: Initial Market-Based Rate Filings Including Requests for VNT1 Protein in Potato, 3001–3003 Blanket Section 204 Authorizations: PROPOSED RULES Current Power and Gas Inc., 3123 Air Quality State Implementation Plans; Approvals and Kingbird Solar B, LLC, 3125–3126 Promulgations: Meetings: Pennsylvania; Attainment Plan for the Lower Beaver PJM Interconnection, LLC; Technical Conference, 3126– Valley Nonattainment Area for the 2008 Lead 3127 National Ambient Air Quality Standard, 3078–3082 Meetings; Sunshine Act, 3123–3125 NOTICES Human Health and Ecological Risk Assessments: Federal Housing Finance Agency Tetrachlorvinphos Registration Review, 3128–3130 RULES Meetings: Members of Federal Home Loan Banks, 3246–3288 Good Neighbor Environmental Board, 3130 Federal Reserve System Farm Service Agency NOTICES NOTICES Changes in Bank Control: Agency Information Collection Activities; Proposals, Acquisitions of Shares of a Bank or Bank Holding Submissions, and Approvals: Company, 3134 Noninsured Crop Disaster Assistance Program and Report of Acreage, 3095–3097 Federal Retirement Thrift Investment Board NOTICES Federal Aviation Administration Meetings; Sunshine Act, 3134 RULES Modification of VOR Federal Airway V–443: Fish and Wildlife Service North Central United States, 2987–2988 NOTICES Revocation and Establishment of Class E Airspace: Maintenance of Annual Taking Limit for the Alaska- Bowman, ND, 2986–2987 Chukotka Polar Bear Population, 3153–3154 PROPOSED RULES Airworthiness Directives: Food and Nutrition Service Airbus Airplanes, 3045–3051, 3053–3056, 3061–3069 NOTICES Bombardier, Inc. Airplanes, 3038–3042 Agency Information Collection Activities; Proposals, Fokker Services B.V. Airplanes, 3042–3045, 3051–3053, Submissions, and Approvals: 3056–3061 Review of Child Nutrition Data and Analysis for Program NOTICES Management, 3097–3099 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Foreign-Trade Zones Board Damage Tolerance and Fatigue Evaluation of Composite NOTICES Rotorcraft Structures, 3234–3235 Establishments of Foreign-Trade Zones Under the FAA Acquisition Management System, 3235–3236 Alternative Site Framework: FAA Airport Master Record, 3235 Central Pennsylvania, 3100 Petitions for Exemptions; Summaries: Proposed Production Activities: Freeport-McMoRan, Inc., 3234 Klaussner Furniture Industries, Inc., Subzone 230D, Asheboro and Candor, NC, 3100–3101 Subzone Expansion Applications: Federal Communications Commission Black and Decker U.S., Inc., Foreign-Trade Zone 243, PROPOSED RULES Victorville, CA, 3100 Petitions for Rulemaking: IDT Telecom, Inc., Regarding Interstate Forest Service Telecommunications Relay Service Fund NOTICES Contribution, 3085–3086 Meetings: Wireline Competition Bureau Extends Comment and Reply Forestry Research Advisory Council, 3099 Comment Deadlines in Business Data Services (Special Access) Rulemaking Proceeding, 3086–3087 General Services Administration NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, Federal Acquisition Regulations: Submissions, and Approvals, 3130–3134 FAR Case 2014–004, Payment of Subcontractors, 3087– 3093 Federal Emergency Management Agency NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, Establishing a Deductible for FEMA’s Public Assistance Submissions, and Approvals: Program, 3082–3085 Contractors’ Purchasing Systems Reviews, 3135–3136 Value Engineering Requirements, 3134–3135 Federal Energy Regulatory Commission NOTICES Health and Human Services Department Combined Filings, 3125, 3127–3128 See Centers for Disease Control and Prevention Filings See Centers for Medicare & Medicaid Services United Illuminating Co., 3126 See Children and Families Administration United Illuminating Co. et al., 3123 See National Institutes of Health

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RULES North Dakota, 3155–3156 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards: Legal Services Corporation Technical Amendments, 3004–3023 NOTICES Homeland Security Department Request for Letters of Intent To Apply for 2015 Technology See Coast Guard Initiative Grant Funding, 3162–3165 See Federal Emergency Management Agency Mine Safety and Health Administration Institute of Museum and Library Services NOTICES NOTICES Petitions for Modifications of Applications of Existing Agency Information Collection Activities; Proposals, Mandatory Safety Standards, 3160–3162 Submissions, and Approvals: Guidelines for Grants to States Program Five-Year National Aeronautics and Space Administration Evaluations, 3165 PROPOSED RULES Federal Acquisition Regulations: Interior Department FAR Case 2014–004, Payment of Subcontractors, 3087– See Fish and Wildlife Service 3093 See Land Management Bureau NOTICES Internal Revenue Service Agency Information Collection Activities; Proposals, Submissions, and Approvals: PROPOSED RULES Contractors’ Purchasing Systems Reviews, 3135–3136 Treatment of Certain Transfers of Property of Foreign Value Engineering Requirements, 3134–3135 Corporations; Hearing, 3069 NOTICES Agency Information Collection Activities; Proposals, National Foundation on the Arts and the Humanities Submissions, and Approvals, 3238–3240 See Institute of Museum and Library Services Credit for Indian Coal Production and Inflation Adjustment Factor for Calendar Year 2015, 3238 National Institute of Standards and Technology NOTICES International Trade Administration Meetings: NOTICES Advisory Committee on Earthquake Hazards Reduction, Antidumping or Countervailing Duty Investigations, Orders, 3117–3118 or Reviews: Certain Uncoated Paper From Indonesia, 3104–3105 Certain Uncoated Paper From the People’s Republic of National Institutes of Health China, 3110–3112 NOTICES Sales at Less Than Fair Value: Meetings: Certain Uncoated Paper From Australia, 3108–3110 National Institute of Dental and Craniofacial Research, Certain Uncoated Paper From Brazil, 3115–3117 3148 Certain Uncoated Paper From Indonesia, 3101–3104 Certain Uncoated Paper From Portugal, 3105–3108 National Oceanic and Atmospheric Administration Certain Uncoated Paper From the People’s Republic of RULES China, 3112–3115 Endangered and Threatened Wildlife and Plants: Banggai Cardinalfish and Harrisson’s Dogfish; Final International Trade Commission Listing Determinations on Proposal To List, 3023– NOTICES 3031 Antidumping or Countervailing Duty Investigations, Orders, Fisheries of the Caribbean, Gulf of Mexico, and South or Reviews: Atlantic: Certain Biaxial Integral Geogrid Products From China, South Atlantic Greater Amberjack; Commercial 3157–3158 Accountability Measure and Closure, 3031–3032 NOTICES Justice Department Requests for Nominations: See Drug Enforcement Administration General Advisory Committee and the Scientific Advisory NOTICES Subcommittee to the United States Delegation to the Agency Information Collection Activities; Proposals, Inter-American Tropical Tuna Commission, 3118– Submissions, and Approvals, 3159–3160 3120 Labor Department National Science Foundation See Mine Safety and Health Administration NOTICES Land Management Bureau Meetings: NOTICES Astronomy and Astrophysics Advisory Committee, 3165– Applications for Withdrawals of Public Lands: 3166 Yuma, AZ, 3155–3156 Meetings: Nuclear Regulatory Commission Dakotas Resource Advisory Council, 3154–3155 NOTICES Plats of Surveys: Concentration Averaging and Encapsulation Branch New Mexico, 3157 Technical Position, 3166–3167

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Personnel Management Office Susquehanna River Basin Commission NOTICES NOTICES Excepted Service: Projects Approved for Consumptive Uses of Water, 3232– Consolidated Listing of Schedules A, B, and C 3234 Exceptions, 3167–3195 Transportation Department Rural Housing Service See Federal Aviation Administration NOTICES Solicitations of Applications: Treasury Department Section 533 Housing Preservation Grants for Fiscal Year See Comptroller of the Currency 2016, 3099–3100 See Internal Revenue Service See United States Mint Securities and Exchange Commission NOTICES United States Mint Meetings; Sunshine Act, 3205–3206, 3224–3225 Self-Regulatory Organizations; Proposed Rule Changes: NOTICES BATS Exchange, Inc., 3195–3203, 3218 Pricing Changes for 2016 Products, 3240 Chicago Board Options Exchange, Inc., 3203–3205, 3210– 3213 Veterans Affairs Department Depository Trust Co., 3218–3220 NOTICES International Securities Exchange, LLC, 3217–3218 Agency Information Collection Activities; Proposals, ISE Gemini, LLC, 3213 Submissions, and Approvals: Miami International Securities Exchange, LLC, 3206–3207 Application for Adaptive Sports Grant, VA Form 10096, NASDAQ Stock Market, LLC, 3220–3224 3242–3243 NYSE Arca, Inc., 3213–3217 Application for Benefits for Certain Children With NYSE MKT, LLC, 3225–3229 Disabilities Born of Vietnam and Certain Korea Options Clearing Corp., 3208–3210 Service Veterans, 3241–3242 Claim for Repurchase of Loan, 3240–3241 Small Business Administration Income Verification, 3241 NOTICES Pre-Discharge Compensation Claim, 3244 Disaster Declarations: VA/DOD Joint Disability Evaluation Claim, 3243 Kansas, 3229 Verification of VA Benefits, 3243 Meetings: State Department MyVA Federal Advisory Committee, 3242 RULES Privacy Act; Systems of Records, 2988–2989 NOTICES Separate Parts In This Issue Agency Information Collection Activities; Proposals, Submissions, and Approvals: Part II Application for Employment as a Locally Employed Staff Federal Housing Finance Agency, 3246–3288 or Family Member, 3230–3231 Culturally Significant Objects Imported for Exhibition: A Japanese Constellation: Toyo Ito, SANAA and Beyond Exhibition, 3231 Reader Aids Asia in Amsterdam Exhibition, 3231 Consult the Reader Aids section at the end of this issue for Peter Fischli David Weiss: How To Work Better phone numbers, online resources, finding aids, and notice Exhibition, 3230 of recently enacted public laws. Van Dyck, Rembrandt, and the Portrait Print Exhibition, To subscribe to the Federal Register Table of Contents 3231 LISTSERV electronic mailing list, go to http:// Meetings: listserv.access.gpo.gov and select Online mailing list Department of State Advisory Committee on Private archives, FEDREGTOC-L, Join or leave the list (or change International Law, 3229–3230 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.

7 CFR 45 CFR Proposed Rules: 16...... 3004 319...... 3033 63...... 3004 75...... 3004 9 CFR 87...... 3004 91...... 2967 95...... 3004 12 CFR 98...... 3004 1263...... 3246 261...... 3004 262...... 3004 14 CFR 263...... 3004 71 (2 documents) ....2986, 2987 265...... 3004 Proposed Rules: 286...... 3004 39 (9 documents) ...3038, 3042, 287...... 3004 3045, 3051, 3053, 3056, 301...... 3004 3059, 3061, 3066 302...... 3004 303...... 3004 22 CFR 304...... 3004 171...... 2988 309...... 3004 26 CFR 400...... 3004 Proposed Rules: 1000...... 3004 1...... 3069 1301...... 3004 1304...... 3004 33 CFR 1309...... 3004 165...... 2989 1321...... 3004 Proposed Rules: 1326...... 3004 165...... 3069 1328...... 3004 1336...... 3004 40 CFR 1355...... 3004 52 (2 documents) ....2991, 2993 1357...... 3004 81...... 2993 174...... 3001 47 CFR Proposed Rules: Proposed Rules: 52...... 3078 64...... 3085 42 CFR 69...... 3086 38...... 3004 48 CFR 50...... 3004 Proposed Rules: 51...... 3004 19...... 3087 51a...... 3004 42...... 3087 51b...... 3004 52...... 3087 51c ...... 3004 51d...... 3004 50 CFR 52...... 3004 223...... 3023 52a...... 3004 622...... 3031 52b...... 3004 52c ...... 3004 52d...... 3004 52e...... 3004 55a...... 3004 56...... 3004 57...... 3004 59...... 3004 59a...... 3004 62...... 3004 63a...... 3004 64...... 3004 65...... 3004 65a...... 3004 66...... 3004 67...... 3004 124...... 3004 136...... 3004 403...... 3004 417...... 3004 430...... 3004 433...... 3004 434...... 3004 435...... 3004 436...... 3004 438...... 3004 440...... 3004 441...... 3004 456...... 3004 457...... 3004 1001...... 3004 44 CFR Proposed Rules: 206...... 3082

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Rules and Regulations Federal Register Vol. 81, No. 12

Wednesday, January 20, 2016

This section of the FEDERAL REGISTER competent veterinary authority of the Agriculture (USDA). Pursuant to this contains regulatory documents having general United States for any animal other than authority, APHIS has issued the applicability and legal effect, most of which livestock, including pets, or for any regulations in 9 CFR part 91, are keyed to and codified in the Code of hatching eggs or animal germplasm, we ‘‘Inspection and Handling of Livestock Federal Regulations, which is published under are requiring that the animal, hatching for Exportation’’ (‘‘the regulations’’). 50 titles pursuant to 44 U.S.C. 1510. eggs, or animal germplasm have such a We had not substantively amended The Code of Federal Regulations is sold by health certificate to be eligible for export these regulations for many years and the Superintendent of Documents. Prices of from the United States. This change will some revisions were needed. Some new books are listed in the first FEDERAL help ensure that all animals, hatching provisions, such as those that require REGISTER issue of each week. eggs, and animal germplasm exported pre-export inspection of livestock at an from the United States meet the health export inspection facility associated requirements of the countries to which with the port of embarkation and those DEPARTMENT OF AGRICULTURE they are destined. Finally, we are that set forth specific construction and making editorial amendments to the maintenance standards for export Animal and Plant Health Inspection regulations to make them easier to inspection facilities and ocean vessels, Service understand and comply with. sometimes interfered with exports. DATES: Effective February 19, 2016. Other requirements, particularly those 9 CFR Part 91 FOR FURTHER INFORMATION CONTACT: Dr. that required certain tests and [Docket No. APHIS–2012–0049] Jack Taniewski, Director for Animal certifications for all livestock intended Export, National Import Export Services, for export from the United States, were RIN 0579–AE00 VS, APHIS, 4700 River Road, Unit 39, not always required by importing countries or necessary for us to have Exportation of Live Animals, Hatching Riverdale, MD 20737–1231; (301) 851– assurances regarding the health and Eggs, and Animal Germplasm From 3300. welfare of the livestock at the time of the United States SUPPLEMENTARY INFORMATION: export. AGENCY: Animal and Plant Health Background For these reasons, on February 26, Inspection Service, USDA. Under the Animal Health Protection 2015, we published in the Federal Register (80 FR 10398–10417, Docket ACTION: Final rule. Act (AHPA, 7 U.S.C. 8301 et seq.), the Secretary of Agriculture may prohibit or No. APHIS–2012–0049) a proposed SUMMARY: We are revising the restrict the exportation of any animal, rule 1 to remove requirements that we regulations pertaining to the exportation article, or means of conveyance if the determined to be unnecessary or overly of livestock from the United States. Secretary determines that the prescriptive from the regulations in Among other things, we are removing prohibition or restriction is necessary to order to provide exporters and APHIS most of the requirements for export prevent the dissemination of any pest or with more options for inspecting and health certifications, tests, and disease of livestock from or within the handling livestock intended for export. treatments from the regulations, and United States. The AHPA also Additionally, we proposed to amend instead directing exporters to follow the authorizes the Secretary to prohibit: (1) the regulations so that, when an requirements of the importing country The exportation of any livestock if the importing country is known to require regarding such processes and Secretary determines that the livestock an export health certificate for any procedures. We are retaining only those is unfit to be moved; (2) the use of any animal other than livestock or for any export health certification, testing, and means of conveyance or facility in animal semen, animal embryos, treatment requirements that we consider connection with the exportation of any hatching eggs, other embryonated eggs, necessary to have assurances regarding animal or article if the Secretary or gametes intended for export to that the health and welfare of livestock determines that the prohibition or country, the animal or other commodity exported from the United States. We restriction is necessary to prevent the would have to have an export health also are allowing pre-export inspection dissemination of any pest or disease of certificate in order to be eligible for of livestock to occur at facilities other livestock from or within the United export from the United States. than an export inspection facility States; and (3) the use of any means of Finally, we proposed to group certain associated with the port of embarkation, conveyance in connection with the provisions that were located in under certain circumstances, and exportation of livestock if the Secretary disparate sections of the regulations, replacing specific standards for export determines that the prohibition or and to make certain other editorial inspection facilities and ocean vessels restriction is necessary because the changes to make the regulations easier with performance standards. These means of conveyance has not been to read. changes will provide exporters and the maintained in a clean and sanitary We solicited comments concerning Animal and Plant Health Inspection condition or does not have our proposal for 60 days ending April Service (APHIS) with more flexibility in accommodations for the safe and proper 27, 2015. We received 48 comments by arranging for the export of livestock movement and humane treatment of that date. They were from exporters, from the United States while continuing livestock. brokers, non-profit animal welfare to ensure the health and welfare of the The Secretary has delegated this 1 To view the proposed rule, its supporting livestock. Additionally, if APHIS knows authority to the Animal and Plant documents, or the comments that we received, go that an importing country requires an Health Inspection Service (APHIS) of to http://www.regulations.gov/ export health certificate endorsed by the the United States Department of #!docketDetail;D=APHIS-2012-0049.

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organizations, and private citizens. We maintained in a clean and sanitary regulations that were exacerbated by the discuss the comments that we received condition or does not have recent increase in the volume of below, grouped by topic in the accommodations for the safe and proper livestock exports from the United States. following order: movement and humane treatment of For example, we pointed out that the • General comments on the proposed livestock. The section of the AHPA that regulations required all animals offered rule; contains these authorizations, 7 U.S.C. for exportation to undergo pre-export • Comments regarding specific 8304, does not limit our authority in the inspections within 24 hours of sections of the proposed rule; and manner suggested by the commenter. embarkation at an export inspection • Comment regarding the Program Additionally, we disagree with the facility associated with the port of Handbook. commenter that the Congressional embarkation and additionally required General Comments on the Proposed findings in section 8301 of the AHPA most animals to be afforded 5 hours of Rule necessarily imply such limitations. In rest at this export inspection facility. We addition to the findings cited by the also stated that, in our experience, it can One commenter stated that we had commenter, Congress also finds in that take more than 24 hours to unload a issued the proposed rule based on the section that ‘‘the health of animals is large lot of animals into an export erroneous assumption that the AHPA affected by the methods by which inspection facility for inspection. We allows APHIS to regulate exports of animals are transported in interstate stated that this sometimes creates a tight livestock solely in order to protect and commerce or foreign commerce.’’ We timeframe for unloading the animals promote the welfare of the animals to be note, in that regard, that the AHPA does into the facility and subsequently exported. The commenter stated that the not define the term ‘‘health,’’ either loading the animals for export, AHPA does not delegate such authority explicitly or contextually. increased the possibility of hastened to APHIS. In the commenter’s opinion, The same commenter asserted that loading and unloading, and increased the AHPA limits the scope of APHIS’ APHIS had overstated the rigidity of the the likelihood that the animals could regulation of livestock exports to those previous regulations in part 91. The become injured or distressed because of requirements that are necessary to commenter pointed out that, at the time this haste. Finally, we pointed out that ensure that livestock arrive in the the proposed rule was issued, § 91.4 of some export inspection facilities importing country in acceptable the regulations provided that the associated with ports of embarkation condition and do not disseminate Administrator may permit the simply lack the ability to accommodate diseases or pests of livestock within or exportation of livestock not otherwise a large lot of livestock. from the United States. Moreover, the permitted under the regulations, under Several commenters stated that we commenter stated that, within these such conditions as the Administrator should prohibit the export of livestock, parameters, APHIS may only issue may prescribe to prevent the spread of prohibit the use of shipping containers regulations with the intent of protecting livestock diseases and to insure the to transport livestock, set an annual and promoting international markets for humane treatment of the animals while limit on the number of livestock U.S. livestock. The commenter stated in transit. The commenter also pointed exported from the United States, that this is reflected in section 8301 of out that paragraph (b) of § 91.14 had prohibit the export of livestock for the AHPA, which provides that allowed for the use of temporarily slaughter, or prohibit any movement of regulation of exports pursuant to the Act designated ports of embarkation in animals to slaughter. Similarly, a is necessary in order to ‘‘prevent and conjunction with such exports. Because number of commenters suggested that eliminate . . . burdens on foreign of these two provisions, the commenter we prohibit the export of horses for commerce’’ and to ‘‘protect the asserted that the regulations allowed for slaughter purposes. economic interests of the livestock and any variances APHIS saw necessary to Such prohibitions are outside the related industries of the United States.’’ implement, that there was, accordingly, scope of our statutory authority. The commenter concluded that the rule no need for the proposed rule, and that One commenter stated that we should should be withdrawn on the grounds APHIS should therefore withdraw it. make an inquiry regarding the use of the that APHIS had exceeded its statutory The provisions of § 91.4 and livestock to be exported. The authority in issuing it. paragraph (b) of § 91.14 were intended commenter pointed out that, under We agree with the commenter that the for specific unusual or unforeseen section 8314 of the AHPA, APHIS may primary purpose of the AHPA is to situations. They were not intended as a ‘‘gather and compile information’’ that ensure that livestock that are imported means to establish generally applicable APHIS ‘‘considers to be necessary for into, exported from, or moved interstate exemptions from the regulations or the administration and enforcement’’ of within the United States do not alternate conditions for the exportation the AHPA, and that such an inquiry contribute to the dissemination of pests of livestock from the United States. would be consistent with this statutory or diseases of livestock within or from Given that we considered numerous authority. the United States. However, we disagree revisions to the regulations to be We disagree with the commenter that with the commenter’s interpretation of necessary, and given the scope of the such an inquiry is within our statutory the AHPA with regard to livestock revisions that we proposed, we consider authority. With regard to livestock exports. it to have been appropriate and exports, the section of the AHPA that As we noted earlier in this document, necessary to issue a proposed rule. the commenter cited allows APHIS to the AHPA authorizes the Secretary to The same commenter stated that, gather and collect information in order prohibit the exportation of any livestock while we had cited a recent and to administer the section of the AHPA if the Secretary determines that the appreciable increase in the volume of that pertains to live animal exports and livestock is unfit to be moved and to livestock exports from the United States the inspections related to such exports. prohibit the use of any means of as part of the reason for the rule, we had Accordingly, we can collect and gather conveyance in connection with the provided no evidence that the previous information in order to have assurances exportation of livestock if the Secretary regulations could not accommodate this that: (1) Animals exported from the determines that the prohibition or increase. United States will not disseminate pests restriction is necessary because the The proposed rule pointed to several of diseases of livestock within or from means of conveyance has not been inefficiencies in the previous the United States; (2) livestock exported

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from the United States are fit to be The regulations in part 91 do not APHIS personnel. We will, however, moved; (3) the means of conveyance or pertain to the export of livestock or adhere to these provisions. facilities used in conjunction with the other animals for a temporary show or Comments Regarding Specific Sections exportation of such livestock will not exhibition. However, requirements for of the Proposed Rule contribute to the dissemination of pests the temporary export and subsequent and diseases of livestock within or from reimportation of several species of Comments Regarding Proposed § 91.1 the United States; and (4) the means of animals are contained in 9 CFR part 93. (‘‘Definitions’’) conveyance used in conjunction with For example, paragraph (b) of § 93.317 In proposed § 91.1, we proposed the export of such livestock has been of the 9 CFR contains requirements for definitions of terms that would be used maintained in a clean and sanitary horses exported to Canada for in the revised regulations. We received condition and has accommodations for subsequent reimportation into the several comments on our proposed the safe and proper movement and United States within a period of 30 definitions. humane treatment of the livestock. days, and paragraph (f) of § 93.101 of the We proposed to define date of export Inquiring regarding the intended use of 9 CFR contains requirements for U.S.- as ‘‘the date animals intended for export the livestock in the importing country origin birds intended for reimportation are loaded onto an ocean vessel or does not further any of these goals and into the United States following a aircraft, or if moved by land to Canada is, accordingly, outside the scope of our particular theatrical performance or or Mexico, the date the animals cross statutory authority. exhibition in Canada or Mexico. That being said, many countries have One commenter suggested that the the border.’’ different importation requirements for regulations in part 91 should state that One commenter pointed out that various classes of livestock. To facilitate APHIS may collaborate with other several foreign countries define the term the export of livestock to those Federal agencies to implement and differently in their import requirements. countries, as part of our export health enforce the regulations. In such instances, the commenter asked certification processes, we inquire Since section 8310 of the AHPA whether exporters should abide by the regarding the intended use of the explicitly authorizes such collaboration, importing country’s understanding of livestock in the importing country. It is we do not consider it necessary to the term or APHIS’. important to note, however, that in such include this statement in part 91. In such instances, exporters should instances, this inquiry is a service that One commenter suggested modifying abide by the importing country’s we provide at the behest of the the proposed rule to require exporters to understanding of the term. However, importing country. maintain contingency plans to respond APHIS continues to collaborate with our Several commenters asked us to to adverse events that may befall a trading partners to harmonize their modify the proposed rule to prohibit the shipment of livestock during movement definitions regarding U.S. livestock export by sea of horses for slaughter. from their premises of export to the port exports with our own. One commenter pointed out that, under of embarkation. We proposed to define livestock as 15 CFR 754.5, the Department of We see merit in such a requirement, ‘‘horses, cattle (including American Commerce (DOC) prohibits the export particularly when pre-export inspection bison), captive cervids, sheep, swine, by sea of horses for slaughter, and states of the livestock intended for export is and goats, regardless of intended use.’’ that they will consult with USDA in conducted at a facility other than the One commenter pointed out that the order to enforce this prohibition. export inspection facility associated AHPA defines livestock as ‘‘all farm- While APHIS is committed to with the port of embarkation. raised animals,’’ and that our proposed coordinating with DOC to enforce this Accordingly, in this final rule, we definition was significantly more prohibition, we do not consider it require that, in order for us to authorize restrictive than the AHPA’s definition. necessary to modify the proposal in pre-export inspection at such facilities, The commenter asked whether our such a manner. This is due to the among other requirements, the exporter definition should be considered a manner in which DOC enforces 15 CFR must maintain contact information for a statement of Agency policy regarding 754.5. Under the section, exporters who veterinarian licensed in the State of the animals APHIS considers to be wish to export horses for slaughter must embarkation to perform emergency livestock. If so, the commenter obtain a short supply license from DOC. medical services, as needed, on the expressed concern that it could One of the conditions on the license animals intended for export. adversely impact ongoing domestic itself prohibits the exportation by sea of The same commenter also suggested surveillance and disease control efforts horses for slaughter, and makes the modifying the proposed rule to specify in other species of animals that APHIS licensee subject to possible revocation that APHIS personnel must visually has traditionally considered to be of his or her license, as well civil and monitor aircraft and ocean vessels as livestock. criminal penalties, for noncompliance they depart from the port of The definition of livestock that we with this prohibition. Based on our embarkation. proposed in § 91.1 pertains solely to the interaction with DOC and knowledge of The commenter did not explain how regulations in part 91, and is not the slaughter horse industry, these such monitoring would promote or intended as a statement of general conditions have proven to be successful, safeguard the health and safety of the APHIS policy. The restrictive definition and slaughter horses are currently livestock aboard the aircraft or ocean of livestock reflects the classes of exported from the United States via vessels, nor is the purpose of such livestock that can feasibly be inspected aircraft or overland conveyance. monitoring readily apparent to us. at an export inspection facility Several commenters asked us whether Finally, one commenter stated that associated with a port of embarkation. the rule pertains to animals temporarily APHIS had insufficient resources to Moreover, these are the primary classes exported from the United States for a implement the rule. The commenter’s of livestock exported from the United particular event or exhibition. If it did assertion, however, was based in large States. not, they asked that provisions part on the stated assumption that We proposed to replace premises of regarding temporary exportation of APHIS would not abide by provisions of origin, used in the previous part 91, livestock and other animals be added to the rule that make certain of our with premises of export. We stated that this final rule. services contingent on the availability of this was because premises of origin is

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often used in common speech to mean country without an export health foreign countries have import the premises where animals were born certificate, pursuant to the AHPA, we requirements for animals other than and/or raised, whereas we meant the need assurances that the livestock were livestock, germplasm, and hatching eggs premises where the animals are fit to be moved for export from their that were not established through export assembled for pre-export isolation (if premises of export at the time that protocols negotiated with APHIS. The such isolation is required by the movement occurred, and the export commenter also pointed out that export importing country) or, if the importing health certificate provides such protocols for animals other than country does not require pre-export assurances. livestock, animal germplasm, and isolation, the premises where the The commenter also asked whether hatching eggs sometimes do not require animals are assembled for pre-export this general requirement means that export health certification. inspection and/or testing, or the APHIS no longer intends to maintain We acknowledge that many export germplasm is collected and stored, IRegs, our Web site containing protocols do not require export health before being moved to a port of information regarding the animal and certification for animals other than embarkation or land border port. animal product import requirements of livestock, germplasm, and hatching One commenter stated that exporters foreign countries. eggs. The reference to export protocols do not construe premises of origin to We intend to the maintain IRegs. was intended to illustrate one of the mean the premises where animals are In proposed paragraph (a)(2) of § 91.3, means by which APHIS becomes aware born and/or raised. For this reason, the we proposed that, if an importing of such requirements. We also learn of country is known to require an export commenter stated that we should retain them through routine dialogue with health certificate for any animal other the term premises of origin within the foreign countries, exporters, and than livestock or for any animal semen, regulations. brokers, among other means. animal embryos, hatching eggs, other While it may be true that, in the Several commenters pointed out that embryonated eggs, or gametes intended commenter’s experience, exporters do our authority under the AHPA with for export to that country, the animal, not construe the term premises of origin regard to exports of animals other than animal semen, animal embryos, to mean the premises where animals are livestock, as well as animal germplasm hatching eggs, other embryonated eggs, born and/or raised, this is a and hatching eggs, is limited to or gametes would have to have an misconstrual that we do encounter as an determining that the animals, animal export health certificate in order to be Agency from time to time. germplasm, or hatching eggs will not The same commenter stated that, if eligible for export from the United present a risk of disseminating diseases we retain the term premises of origin, States. We stated that this requirement or pests of livestock within or from the we should also retain the term origin was necessary because several countries United States. In instances when the health certificate, which we proposed to have entered into export protocols with importing country requires export replace with the term export health the United States for animals other than health certificates but has not certificate. Since we have decided not to livestock or animal germplasm in which demonstrated such a risk, the retain premises of origin, however, we these countries require export health commenters questioned our authority are also not retaining the term origin certificates, and we have operationally under the AHPA to impose a Federal health certificate. required such export health certificates requirement requiring export health out of deference to these export Comments Regarding Proposed § 91.3 certificates for such animals and protocols for many years. (‘‘General Requirements’’) One commenter stated that it was not commodities. The commenters In proposed § 91.3, we proposed long-standing APHIS operational policy acknowledged that, in the absence of general requirements for the export of to require such certificates. such certificates, the animals and livestock, animals other than livestock, This policy has been in effect for 9 commodities could not be validly and animal germplasm. years. exported to the country, but stated that Paragraph (a) of proposed § 91.3 Several commenters pointed out that export health certificates are more aptly concerned the issuance of export health ‘‘known to require’’ is passive voice, characterized in such instances as a certificates. In proposed paragraph (a)(1) and asked whether APHIS or the discretionary service to facilitate trade. of § 91.3, we proposed that livestock exporter would be expected to know One of these commenters construed the would have to have an export health whether an importing country required proposed rule to suggest that we were certificate in order to be eligible for an export health certificate for animals issuing the provisions pursuant to the export from the United States. other than livestock, animal semen, World Trade Organization’s Agreement One commenter suggested that we animal embryos, hatching eggs, other on Sanitary and Phytosanitary Measures should instead require export health embryonated eggs, or gametes. (SPS Agreement), and pointed out that certificates for livestock when either While it is the responsibility of the the SPS Agreement is not a statute and APHIS or the exporter is aware that the exporter to make a reasonable effort to does not provide APHIS with authority importing country requires such determine the requirements of the to regulate exports. certificates. If APHIS is not aware of importing country for particular animals In a similar vein, one commenter such a requirement, the commenter and commodities, for purposes of the stated that we should require export suggested that we should authorize the proposed requirement, we meant when health certificates for animals other than export of the animals based on a good- APHIS knows the importing country to livestock, animal germplasm, and faith effort by the exporter to determine require export health certificates. hatching eggs only when we consider whether the importing country requires One commenter understood ‘‘known the animals or commodities to be export health certificates for the to require’’ in the sense that we potential vectors of pests and diseases of animals. intended it, but also understood the livestock. The commenter also asked We are making no revisions in proposed rule to suggest that the only whether APHIS has any efforts response to this comment. As we stated way by which APHIS learns of such underway or planned in the future to in the proposed rule, regardless of requirements is through export encourage trading partners to relieve whether a foreign country allows protocols with foreign countries. The restrictions on the importation of livestock to be imported into their commenter pointed out that many animals and articles that we do not

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consider to be potential vectors of pests We will do so to the extent possible. importing country. If the importing and diseases of livestock. The commenter should contact the country does not specify a timeframe, Several foreign countries consider any National Import Export Services staff in we proposed that the samples would animal, germplasm, or hatching egg APHIS’ Veterinary Services program. have to be taken and tests made within offered for importation to their country A commenter pointed out that the 30 days prior to export, except that without an export health certificate paragraph would not regulate exports of tuberculin tests could be conducted issued by the competent veterinary animal products. The commenter stated within 90 days prior to the date of authority of the exporting country to that such products can disseminate export. present a risk of disseminating pests or pests and diseases of livestock, and that One commenter pointed out that diseases of livestock within their importing countries sometimes require APHIS representatives, as we proposed country, and accordingly prohibit such export health certificates for such to define them, could include importation. commodities. individuals without doctorates of Because of this, if we are aware that The regulations in part 91 have veterinary medicine. The commenter the importing country has such historically pertained to live animals. stated that the AHPA requires animal requirements, we consider it necessary The proposed rule sought to extend health certificates to be issued by to require export health certificates for their scope to germplasm and hatching veterinarians, and that allowing non- the animals, germplasm, or hatching eggs. Such commodities are potentially veterinarians to do so is outside the eggs in order to provide assurances to viable. Animal products, however, are scope of our statutory authority. the importing country that, in our not viable. Thus, we are not adding The AHPA does not set such limits on determination as the competent provisions for the certification of such the issuance of certificates. veterinary authority of the United commodities to part 91. Additionally, as we mentioned in the Finally, in light of the comments States, we do not consider the animals, proposed rule, for certain species of received on proposed paragraph (a)(2) of germplasm, or hatching eggs to present aquaculture, we consider employees of § 91.3 discussed above, we are the United States Fish and Wildlife a risk of disseminating pests or diseases modifying its provisions from those in Service best qualified to provide such of livestock. In other words, the export the proposed rule. In this final rule, it certification. health certificate functions as a requires that, if APHIS knows that an One commenter pointed out that an requirement that we impose in order to import country requires an export importing country could specify a communicate our determination that the health certificate endorsed by the timeframe for sampling and testing that animals or articles do not present a risk competent veterinary authority of the allows the samples to be taken and tests of disseminating pests or diseases of United States for any animal other than made outside the period of time that livestock from the United States. livestock or for any animal semen, APHIS considers the samples or tests to Accordingly, while we acknowledge animal embryos, hatching eggs, other reliably indicate the animals’ freedom that issuing such export health embryonated eggs, or gametes intended from disease at the time of export. The certificates is consistent with the SPS for export to that country, the animal or commenter suggested that this could Agreement, insofar as it respects the other commodity must have an result in diseased animals being measures that other countries impose on endorsed export health certificate in exported from the United States. For the importation of animals other than order to be eligible for export from the that reason, the commenter stated that livestock, animal germplasm, or United States. we should instead require all samples to hatching eggs in order to protect animal Paragraph (b) of proposed § 91.3 be taken and tests made 30 days prior health within their country, we also concerned the content of export health to the date of export, except for consider it consistent with our statutory certificates. In paragraph (b)(1) of tuberculin tests, which could be authority under the AHPA. proposed § 91.3, we proposed minimum conducted 90 days prior to export. We disagree that such certification requirements for export health We disagree with the commenter that should more accurately be considered a certificates for livestock. In paragraph allowing the tests to be taken outside of discretionary service offered by APHIS, (b)(2) of proposed § 91.3, we proposed the period of time that we consider to rather than a Federal requirement. Such that, in addition to such minimum reliably indicate the animals’ freedom an approach could be construed to requirements, the export health from disease at the time of export could suggest that APHIS has evaluated all certificate would have to meet any other result in diseased animals being classes of animals or articles subject to information or issuance requirements exported from the United States. Testing such certification requirements by specified by the importing country. is not the sole requirement for export. importing countries and determined Some commenters construed these The livestock must also be visually that they present no risk of two paragraphs to mean that the inspected by an APHIS veterinarian disseminating pests or diseases of requirements of the importing country prior to embarkation for fitness to travel. livestock from the United States. We would supersede our own requirements. This includes inspecting the animal for have not done so. Other commenters understood the signs and symptoms of infection with a Finally, when we have concerns information or issuance requirements disease of livestock. Any animals with regarding the risk basis for a foreign specified by the importing country to be signs or symptoms of such infection are country’s import requirements, we in addition to our minimum subject to a full veterinary examination. dialogue with the country to encourage requirements. One commenter suggested that we them to revise the requirements. The latter interpretation is correct. should require follow-up tests for One commenter asked whether the Paragraph (d) of proposed § 91.3 Program diseases, which we proposed to proposed provisions mean that APHIS concerned testing requirements for define as ‘‘diseases for which there are will provide export health certification livestock intended for export from the cooperative State-Federal programs and for invertebrate animals, if required by United States. Among other provisions, domestic regulations in subchapter C of an importing country. If so, the we proposed that samples must be taken the 9 CFR,’’ at the port of embarkation commenter asked which staff in APHIS and tests made by an accredited in order to ensure that diseased he should contact regarding such veterinarian or APHIS representative livestock are not exported from the certification. within the timeframe allowed by the United States.

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We do not consider such testing to be order to prevent the dissemination of and facilities used during movement of necessary in order to ensure that pests and diseases of livestock that are livestock to ports of embarkation. diseased livestock are not exported from under official control at the Federal, Among other requirements, we the United States; as we mentioned State, or local level. proposed that the means of conveyance, above, this is one of the primary Comments Regarding Proposed § 91.5 containers, and facilities would have to purposes of pre-export inspection. (‘‘Identification of Livestock Intended be cleaned and disinfected with a Additionally, we note that many tests for Export’’) disinfectant approved by the for Program diseases must be Administrator for purposes of the In proposed § 91.5, we proposed administered at set intervals in order to section. Whereas the regulations had identification requirements for livestock produce statistically reliable results, and previously required disinfectants listed that certain tests, such as the tuberculin intended for export. With one exception, we proposed to require the in § 71.10 of the 9 CFR to be used, we test, can lead to anergy, i.e., erroneous proposed to list all approved results due to a lack of sensitivity to a livestock to be identified in accordance disinfectants in the Program Handbook test brought about by overtesting, if they with 9 CFR part 86. That part contains that accompanied the proposed rule. are administered too frequently. national identification standards for Finally, one commenter suggested livestock moving in interstate Several commenters expressed that we should also require testing for commerce. We considered this concern that, by moving the list of chemical residues that would make the requirement to be necessary in order to approved disinfectants to the Program livestock unsuitable for human align our export requirements with our Handbook, we could change the list consumption. domestic regulations, and to facilitate arbitrarily and without notifying the APHIS does not have statutory the interstate movement of animals public. intended for export from their premises authority to require such tests. We note, Section 91.6 sets forth the criteria we of export to an export inspection however, that most foreign countries will use for amending the list of facility, port of embarkation, or land have regulatory bodies that specify the approved disinfectants. APHIS will border port. maximum chemical residues that may approve a disinfectant if we determine be present in food for human The exception that we proposed to that the disinfectant is effective against consumption in that country. this general requirement was for horses. We proposed to allow horses to be pathogens that can be spread by the Comments Regarding Proposed § 91.4 identified by an individual animal animals intended for export and, if the (‘‘Prohibited Exports’’) tattoo alone, without an accompanying disinfectant is a chemical disinfectant, if In proposed § 91.4, we proposed to description of the horse, if allowed by it is registered or exempted for the prohibit the export of any animal, the importing country. We stated that specified use by the U.S. Environmental animal semen, animal embryos, this was because the United States has Protection Agency (EPA) pursuant to the hatching eggs, other embryonated eggs, several long-standing export protocols Federal Insecticide, Fungicide, and or gametes under Federal, State, or local with other countries that allow horses to Rodenticide Act (7 U.S.C. 135 et seq., government quarantine or movement be identified solely by individual FIFRA). We will remove a disinfectant restrictions for animal health reasons animal tattoos. from the list if it no longer meets these unless the importing country issues an One commenter stated that movement conditions for approval. We will notify import permit or other written for export differs from movement in the public of any changes to the list of instruction allowing that animal or interstate commerce, that the movement disinfectants approved for use. other commodity to enter its country channels are understood by States and Several commenters stated that the and APHIS concurs with the export of localities to be distinct, and that such criteria for approval of a disinfectant in the animal, animal semen, animal identification would not substantially § 71.10 are significantly more stringent embryos, hatching eggs, other facilitate the movement of livestock than those that we proposed in § 91.6, embryonated eggs, or gametes. from their premises of export. The and that the former should be used to One commenter asked us what the commenter suggested that, for export ensure the safety and efficacy of all term ‘‘under quarantine’’ meant. The purposes, livestock only need to be disinfectants used to disinfect means of commenter pointed to various scenarios uniquely identified in a manner which conveyances, containers, and facilities under which an exporter may allows the animals intended for export used in conjunction with the export of voluntarily place movement restrictions to be correlated to the animals listed on livestock from the United States. on animals or commodities prior to the export health certificate. The export, such as to fulfill animal isolation commenter stated that, while Section 71.10 contains no criteria for requirements of the importing country. identification in accordance with part approving or withdrawing approval of For purposes of this section, a 86 would allow for such correlation, it disinfectants. The absence of such Federal, State, or local animal health was not the only means of ensuring it. criteria in § 71.10 was, in fact, our stated authority must place the movement We agree with the commenter, and purpose for proposing criteria in § 91.6. restrictions on the animal or commodity have revised the section accordingly. As One commenter suggested that we in order for it to be considered under a result of this revision, the exception should ensure that chemical quarantine. for horses is no longer necessary, and disinfectants used for purposes of § 91.6 The same commenter pointed out that has not been finalized. do not pose a risk to the health of the definition of the term ‘‘quarantine’’ livestock. can vary from State to State and locality Comments Regarding Proposed § 91.6 to locality, and that a State or locality (‘‘Cleaning and Disinfection of Means of When such disinfectants are may impose a ‘‘quarantine’’ for purposes Conveyance, Containers, and Facilities registered with EPA under FIFRA, or other than to prevent the dissemination Used During Movement; Approved EPA grants an FIFRA exemption for a of pests and diseases of livestock. Disinfectants’’) specified use, EPA takes the risks to the For the purposes of the section, we In proposed § 91.6, we proposed environment, including to livestock, consider a quarantine to be the cleaning and disinfection requirements associated with the use of that imposition of movement restrictions in for means of conveyance, containers, disinfectant into consideration.

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Comments Regarding Proposed § 91.7 The commenters provided no of infectious disease as a condition that (‘‘Pre-Export Inspection’’) evidence in support of this assertion. In renders an animal unfit to travel. Sick livestock, which we proposed to In proposed § 91.7, we proposed contrast, in our experience, animals are be unfit to travel, include livestock with requirements regarding pre-export at an increased risk of stress or injury if evidence of infection with a disease of inspection of livestock intended for they are offloaded or inspected hastily. livestock. export from the United States. Several commenters stated that a One commenter asked whether a The regulations had previously visual health inspection was insufficient navel with a dried remnant of an required livestock offered for to detect signs or symptoms of diseases umbilicus would be considered exportation to any country other than and pests of livestock, and suggested that we should require full veterinary unhealed. Mexico or Canada to be inspected by an In some instances, such a navel could APHIS veterinarian within 24 hours of examinations of all livestock destined for export from the United States in be considered healed. It will be at the embarkation of the animals at an export discretion of the APHIS veterinarian inspection facility associated with the order to ensure that no diseased animals are exported from the United States. whether to consider a particular navel port of embarkation. In proposed healed. paragraph (a) of § 91.7, we proposed that Similarly, one commenter asked us what a visual health inspection entails. The commenter also asked when all livestock intended for export by air APHIS considers wounds from a or sea would have to receive a visual A visual health inspection entails careful examination of livestock for medical procedure to be healed. health inspection from an APHIS APHIS veterinarians determine on a veterinarian within 48 hours prior to signs and symptoms that the livestock may not be fit to travel. Signs and case-by-case basis whether a wound is embarkation. We proposed to extend the healed. This determination is based on period of time within which livestock symptoms include, but are not limited to, warts, growths, rashes, abscesses, the age and general health status of the would have to receive pre-export animal, the nature of the medical inspection from 24 to 48 hours prior to abrasions, unhealed wounds, or unusual discharge of fluid. procedure performed, the usual embarkation based on the fact that we recovery period associated with the proposed to allow such inspection to APHIS veterinarians are trained to identify signs and symptoms of procedure, and the nature of the wound. take place at a facility other than the A commenter asked how APHIS infection with a disease of livestock, export inspection facility associated determines that animals other than and perform a full veterinary with the port of embarkation, under livestock, animal gerplasm, or hatching examination on any animal that exhibits certain circumstances. We also did so eggs are fit to travel for export from the such signs or symptoms during pre- out of recognition that, even when such United States. inspection occurs at the export export inspection. If the animals or commodities meet inspection facility associated with the We consider this protocol, coupled the conditions for importation specified port of embarkation, it can take more with the testing prescribed in § 91.3 of by the importing country, APHIS than 24 hours to load a large lot of the regulations, to be sufficient to considers them to be fit to travel. animals safely into an ocean vessel. ensure that diseased livestock are not Finally, in paragraph (a) of § 91.7, we One commenter pointed out that, exported from the United States. proposed that the owner of animals or unlike the previous regulations, the In proposed paragraph (a) of § 91.7, the owner’s agent would have to make proposed regulations would not require we also proposed a list of conditions arrangements for any livestock found pre-export inspection for livestock that, if discovered during pre-export unfit to travel. destined for overland export through inspection, would make an animal unfit Several commenters suggested that we Mexico. to travel. We proposed that the specify what type of arrangements the The commenter is correct; we did not following classes of animals are unfit to owner must make for livestock found propose to retain this requirement. This travel: unfit to travel. One of the commenters is because the Secretariat of Agriculture, • Livestock that are sick, injured, suggested that humane euthanasia Livestock, Rural Development, weak, disabled, or fatigued. should be listed as a type of approved Fisheries, and Food, the competent • Livestock that are unable to stand arrangement, while another suggested veterinary authority of Mexico, inspects unaided or bear weight on each leg. that we should require humane both livestock destined for overland • Livestock that are blind in both euthanasia of all livestock considered importation into Mexico and livestock eyes. unfit to travel. destined for overland transit through • Livestock that cannot be moved If an APHIS veterinarian determines Mexico at the U.S./Mexico border. The without causing additional suffering. that an animal is unfit to travel for previous regulations were written in a • Newborn livestock with an export, the owner of the animal or manner which took into consideration unhealed navel. owner’s agent must make arrangements the inspection afforded to livestock • Livestock that have given birth to remove the animal from the lot of intended for overland importation into within the previous 48 hours and are animals intended for export. Unless we Mexico, but not that afforded to traveling without their offspring. consider the animal unfit to travel livestock intended for overland transit • Pregnant livestock that would be in because we consider it a risk of through Mexico. We additionally note the final 10 percent of their gestation disseminating a pest or disease of that overland exports of livestock from period at the planned time of unloading livestock, we do not have authority to the United States through Mexico are in the importing country. specify the manner of arrangements minimal. • Livestock with unhealed wounds which must be made. Several commenters stated that from recent surgical procedures, such as Accordingly, while we recommend extending the time period within which dehorning. euthanasia of certain animals that we livestock must receive pre-export Several commenters stated that consider unfit to travel, such as animals inspection from 24 to 48 hours prior to evidence of infection with a disease of that cannot be moved without further embarkation increased the likelihood livestock was not included among the suffering or animals that are unable to that livestock unfit to travel would be proposed conditions, and suggested that stand unaided, we cannot require such exported from the United States. the list be modified to include evidence euthanasia.

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Finally, we do not recommend that all up to 28 hours of continuous travel wellbeing if the animals are moved for classes of animals that we consider unfit were, in fact, why we proposed that the more than 28 hours within the United to travel be euthanized. Certain livestock would need at least 48 hours States without rest, feed, and water. conditions that render an animal unfit of rest, with sufficient feed and water Accordingly, we used the statute as one to travel, such as pregnancy, are not during that time period, prior to of our reference points in determining terminal, and should not be considered movement to the port of embarkation. It what maximum allowable driving as such. is also, in part, why we proposed distance to propose between the facility In proposed paragraph (b) of § 91.7, conditions that would limit the use of at which pre-export inspection is we proposed that the APHIS facilities other than an export inspection conducted and the port of embarkation. veterinarian conducting pre-export facility associated with the port of Another reference point was importer inspection would either have to do so at embarkation to conduct pre-export requests to date for pre-export the export inspection facility associated inspections. inspection of livestock at facilities other with the port of embarkation of the However, if livestock are properly than an export inspection facility livestock; at an export isolation facility rested, fed, and watered and if the associated with the port of embarkation. approved by APHIS, when use of such means of conveyance transporting the A 28 hour maximum driving distance a facility is authorized by the livestock is equipped for such travel, between the facility at which the pre- Administrator in accordance with with APHIS exercising monitoring and export inspection is conducted and the proposed paragraph (c) of § 91.7; or at oversight, we do not consider a port of embarkation would an export inspection facility other than significant driving distance between the accommodate all such requests to date. the export inspection facility associated facility at which pre-export inspection One commenter suggested that, with the port of embarkation, when use takes place and the port of embarkation instead of a mandatory 48 hour rest of such a facility is authorized by the to present an intrinsic and irresolvable period for livestock inspected at a Administrator in accordance with risk to livestock health. We have, on facility other than an export inspection proposed paragraph (d) of § 91.7. We occasion, authorized pre-export facility associated with the port of also proposed that, if the facility used to inspection of livestock at a facility a embarkation prior to movement from conduct the inspection is a facility other considerable distance from the port of the facility, the rest period should be than the export inspection facility embarkation in order to facilitate the tiered to the class of livestock being associated with the port of embarkation, timely export of the animals, and have moved and the distance between the it would have to be located within 28 not encountered significant adverse facility and the port of embarkation. hours driving distance under normal impacts to the health or wellbeing of the Alternatively, the commenter asked us driving conditions from the port of livestock transported due to the distance to explain our rationale for the 48 hour embarkation, and livestock would have traveled. Rather, in our experience, as rest period. to be afforded at least 48 hours rest, well as the experience of several We intended to propose a 48 hour rest with sufficient feed and water during commenters, it is frequent loading and period prior to the pre-export inspection that time period, prior to movement unloading, rather than travel itself, of the livestock. This rest period was from the facility. We proposed that the which puts animals at the greatest intended to serve in lieu of a rest period facility would have to be located within likelihood of sustaining injury or other at the export inspection facility 28 hours driving distance because we significant adverse impacts to their associated with the port of embarkation, could not foresee any instances which health or wellbeing. so that livestock inspected at a facility would suggest authorizing inspections For these reasons, we do not consider other than the export inspection facility at an export isolation facility located it necessary to lessen the maximum associated with the port of embarkation more than 28 hours driving distance allowable driving distance between the could be loaded directly into aircraft or from the port of embarkation, and facility at which pre-export inspection ocean vessels at the port of embarkation. because, pursuant to the 28 hour law (49 is conducted and the port of Since there would not be visual health U.S.C. 80502), the maximum amount of embarkation from that in the proposed inspection of the animals at the export time that most livestock may be rule. In this regard, we note that a inspection facility associated with the transported in interstate commerce maximum driving distance of 60 miles port of embarkation, and since the without rest, feed, and water is 28 or 90 minutes could impede the orderly animals could travel a significant hours. export of certain lots of livestock and is distance from the facility at which the Several commenters stated that a 28 not necessary to ensure the health and pre-export inspection is conducted to hour driving distance under normal wellbeing of the livestock exported. the port of embarkation, it would be conditions would allow pre-export One commenter pointed out that the commensurately important for us to be inspection to be done at a significant 28 hour law allows livestock to be assured that the livestock are fit for distance from the port of embarkation. transported more than 28 hours without travel before they leave the facility at The commenters expressed concern that rest, feed, and water, if the animals have which the pre-export inspection is such travel could be stressful to the food, water, space, and an opportunity conducted. Therefore, we considered a livestock and increase the risk of injury for rest aboard the means of conveyance. somewhat prolonged rest period or illness befalling the animals being The commenter stated that, if our intent warranted. exported, and asked us to set a was to have the regulations in § 91.7 However, we did not clarify that significantly lower maximum driving align with the provisions of the 28 hour livestock inspected at a facility other distance between the location at which law, then we should provide an than the export inspection facility pre-export inspection takes place and exemption from the maximum associated with the port of embarkation the port of embarkation. One of these allowable driving distance for livestock would be exempt from requirements for commenters suggested a maximum provided such food, water, space, and rest, feed, and water at the export driving distance of 60 miles or 90 opportunity for rest. inspection facility associated with the minutes, whichever is further. Our reference to the 28 hour law was port of embarkation. We agree that, under certain to illustrate that a long-standing statute In this final rule, we have amended conditions, such travel could be considers there to be potential adverse both paragraph (b) of § 91.7 and § 91.8, stressful to the livestock. The rigors of impacts to livestock health and which contains our rest, feed, and water

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requirements for livestock inspected at States, or, if they are under 30 days of and that will be inspected for export at an export inspection facility associated age, within 24 hours after they were last an export inspection facility associated with the port of embarkation, to clarify fed and watered in the United States. with the port of embarkation must be our intent. A number of commenters stated that allowed a period of at least 2 hours rest As we mentioned earlier in this our proposed minimum rest period was at an export inspection prior to being document, in proposed paragraphs (c) too short. Several of these commenters loaded onto an ocean vessel or aircraft and (d) of § 91.7, we proposed suggested that we maintain a rest period for export. Adequate food and water conditions under which we may of at least 5 hours. One of the must be available to the livestock during authorize pre-export inspection at an commenters suggested a 3 hour the rest period. An inspector may export isolation facility, or an export minimum rest period. Another cited a extend the required rest period up to 5 inspection facility not associated with peer-reviewed study that, in the hours, at his or her discretion and based the port of embarkation, respectively. In commenter’s opinion, suggested the on a determination that more rest is both paragraphs, we proposed that such need for a minimum rest period of 8 needed in order to have assurances that authorization could occur if the exporter hours for livestock destined for export.2 the animals are fit to travel prior to could show, to the satisfaction of the We are making no change in response loading. Pre-export inspection of the Administrator, that the livestock would to these comments. As several animals must take place at the suffer undue hardship if they had to be commenters pointed out, movement conclusion of this rest period. inspected at the export inspection from the premises of export to the port facility associated with the port of of embarkation may be of relatively Comments Regarding Proposed § 91.11 embarkation. short duration. If, for example, livestock (‘‘Export Isolation Facilities’’) One commenter stated that this have traveled 90 minutes to the port of In proposed § 91.11, we proposed condition was subjective. embarkation, a mandatory rest period standards for APHIS approval of While we agree that the condition that is two to four times as long as this isolation facilities associated with the relies on a subjective determination, the travel time appears excessive. For export of livestock from the United factors that we will consider in making livestock that have traveled a longer States. We stated that we considered this determination are objective. For distance, as we stated in the proposed such standards necessary because example, we will consider the species to rule, it is not generally our experience several importing countries require an be inspected, the size of the lot, the that they appear taxed by movement ‘‘officially approved’’ or ‘‘APHIS- likelihood of adverse climatic from the premises of export to the port approved’’ period of isolation for conditions that could affect loading the of embarkation, and usually need time livestock. animals into and unloading the animals merely to become limber for the rigors One commenter stated that such from the export inspection facility, and of sea or air travel. isolation is solely a requirement of an the resources that would be available at We disagree with the commenter who importing country, rather than an the facility the day that the livestock cited Knowles that the article suggests APHIS requirement, and that would be expected to arrive. an 8-hour rest period is necessary for all establishing standards for export ruminants. The article states that it isolation facilities could be construed to Comments Regarding § 91.8 (‘‘Rest, pertains only to sheep destined to suggest that APHIS has identified a need Feed, and Water Prior to Export’’) slaughter, and notes that, for other for such requirements to prevent the In proposed § 91.8, we proposed that livestock moved for breeding or dissemination of pests and diseases of all livestock intended for export by air production purposes, ‘‘welfare problems livestock within the United States. The or sea would have to be allowed a rarely arise’’ that would suggest the commenter also pointed out that the period of at least 2 hours of rest prior need for significant rest, feed, and isolation required for livestock destined to being loaded onto an ocean vessel or water. It also is worth noting that the for export differs from importing aircraft for export. We also proposed article is from 1998, and examines country to importing country, and that an inspector could extend the conditions governing the transport of sometimes from species to species, is required rest period up to 5 hours, at his sheep to slaughter as these existed in usually highly prescriptive, and is or her discretion and based on a the European Union during the 1990s. subject to change. For these reasons, the determination that more rest is needed We do not consider the article commenter questioned the need for in order for the inspector to have applicable to current livestock export standards for export isolation facilities assurances that the animals are fit to practices in the United States. and suggested that we not finalize the travel prior to loading. Finally, we One commenter asked us whether a section. proposed that adequate food and water rest period of less than 5 hours would We agree with the commenter that would have to be available to the violate the 28 hour law. pre-export isolation is conducted solely livestock during this rest period. This rest period is distinct from any to fulfill the requirements of an In the previous regulations in part 91, rest period that must be afforded to importing country, and is not required we had required livestock intended for livestock under the 28 hour law. by APHIS for animal health purposes. export from the United States by sea or Finally, as we mentioned in our We also agree with the commenter that air to be allowed a period of at least 5 discussion of the comments received on the variety of export isolations required hours for rest at the export inspection proposed § 91.7, we have modified by foreign countries, as well as the facility associated with the port of § 91.8, including its title, to clarify that prescriptive nature and mutability of embarkation, with adequate feed and it pertains only to animals inspected at those requirements, are significant water available, before movement to an an export inspection facility associated impediments to establishing general ocean vessel or aircraft for loading for with the port of embarkation. standards for approval of export export, unless the livestock had food As modified, it states that all livestock isolation facilities. Accordingly, we and water in the carrier that transported that are intended for export by air or sea have decided not to finalize the section, them to the export inspection facility, as proposed. 2 and they will reach the destination See: Knowles, T.G. 1998. A review of road However, we do consider it necessary transport of slaughter sheep. Veterinary Record country within 36 hours after they were 143:212–219. We refer to this article later in this to specify in the section that, if an last fed and watered in the United document as Knowles. importing country requires export

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isolation for livestock, such isolation operator must document the number of 28 hour law. The commenter suggested must occur before the animals may be each species that died and provide an that, in this final rule, we should specify moved to a port of embarkation, and explanation for those mortalities. The that livestock aboard an ocean vessel both the manner in which this isolation owner or operator must also document must be fed and watered within 36 occurs and the facility at which it whether a major life support system hours of departure from the port of occurs must meet the requirements failed during the voyage. embarkation. specified by the importing country. If a significant number of the livestock In light of the concerns raised, we As a result of this revision, § 91.11 aboard the vessel died during the have modified paragraph (c) of § 91.12 does not contain conditions for APHIS voyage, and either the report indicates to specify that livestock aboard the approval of export isolation facilities. or APHIS has reason to believe that vessel must be fed and watered within Accordingly, we have removed a failure of a major life support system 28 hours of the time they were last fed reference to such approval that was in aboard the vessel directly contributed to and watered within the United States. proposed § 91.7. the death of the livestock, the vessel This provision is generally consistent We have, however, retained the will need to be recertified before it can with the 28 hour law. guidance in the Program Handbook be used again to export livestock from A commenter stated that proposed regarding construction and operational the United States. paragraph (c) of § 91.12 does not require standards for export isolation facilities. In proposed paragraph (c) of § 91.12, ocean vessels to maintain a surplus of While this guidance is no longer tiered we proposed feed and water feed in the event that the voyage takes to a requirement of the regulations, it requirements for livestock exported significantly longer than expected. may aid exporters in fulfilling the from the United States aboard ocean In the Program Handbook that requirements of an importing country vessels. We proposed that sufficient accompanied the proposed rule, we regarding such isolation. feed and water would have to be stated that, in order for us to consider provided to livestock aboard the ocean feed maintained aboard an ocean vessel Comments Regarding Proposed § 91.12 vessel, taking into consideration the to be sufficient for a voyage, it would (‘‘Ocean Vessels’’) livestock’s species, body weight, the have to include a 15 percent surplus for In proposed § 91.12, we proposed expected duration of the voyage, and the unforeseen circumstances. requirements regarding the ocean likelihood of adverse climatic In proposed paragraph (d) of § 91.12, vessels on which livestock are exported conditions during transport. we proposed general requirements for from the United States. One commenter stated that we did not the accommodations for livestock In proposed paragraph (a) of § 91.12, require that livestock must be fed during exported from the United States by we proposed that such vessels would the voyage. Similarly, two commenters ocean vessel. need to be inspected and certified prior pointed out that the previous In proposed paragraph (d)(1) of to initial use to transport any livestock regulations in part 91 had required § 91.12, we proposed requirements for from the United States. ocean vessels to provide livestock with pens for livestock. We proposed that this certification feed and water immediately after the One commenter expressed concern would be valid for up to 3 years; livestock are loaded onto the vessel that these proposed requirements did however, the ocean vessel would have unless an APHIS representative not require the pens to house species to be recertified prior to transporting determines that all of the livestock are that are compatible with each other. The livestock any time significant changes 30 days of age or older and the vessel commenter pointed out that the World are made to the vessel, including to will arrive in the country of destination Organisation for Animal Health’s (OIE’s) livestock transport spaces or life support within 36 hours after the livestock were standards for the transport of animals by systems; any time a major life support last fed and watered within the United sea recommend that animals that are system fails; any time species of States, or, if any of the livestock in the likely to be hostile to other animals that livestock not covered by the existing shipment are younger than 30 days, that are housed in the same pen should not certification are to be transported; and the vessel will arrive in the country of be commingled. any time the owner or operator of the destination within 24 hours after the We have modified paragraph (d)(1) of ocean vessel changes. livestock were last fed and watered § 91.12 to specify that animals that may Several commenters suggested that we within the United States. be hostile to each other may not be should also require a vessel to be One of the commenters acknowledged housed in the same pen. recertified if there is a significant our rationale for proposing to remove In proposed paragraph (d)(2) of mortality rate of livestock transported this requirement from the regulations— § 91.12, we proposed that livestock aboard the vessel during a particular that we have discovered that livestock would have to be positioned during voyage. can sometimes go more than 36 hours transport so that an animal handler or The purpose of the inspection and without feed or water without suffering other responsible person could observe certification is to determine whether an duress—but also pointed out that we each animal regularly and clearly to ocean vessel is suitable for the export of proposed to require livestock to have ensure the livestock’s safety and livestock. High livestock mortality rates adequate access to feed and water welfare. during a particular voyage do not during the voyage, and suggested that it A commenter suggested that we necessarily suggest that a vessel is is difficult to discern what adequate modify the paragraph to require the unsuitable for the export of livestock. access to feed and water constitutes if animals to be observed at least once For example, they could be the result of livestock can go an indefinite amount of every 12 hours. significant and unforeseen adverse time aboard an ocean vessel without In our experience, in order to provide weather conditions. being fed or watered. routine care to livestock aboard ocean However, we do note that, under The other commenter pointed out that vessels, handlers observe the animals paragraph (f) of § 91.12, the owner or the previous regulations ensured that several times a day. Therefore, we do operator of an ocean vessel is required livestock over 30 days old would be fed not consider it necessary to modify the to submit a written report to APHIS at least once within a 36 hour period, paragraph to specify that the livestock within 5 business days after completing and that this previous requirement was must be observed at least once every 12 a voyage. In the report, the owner or itself significantly less stringent than the hours.

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In proposed paragraph (d)(7) of assigned to inspect the vessel prior to The OIE standards suggest that a § 91.12, we proposed that the vessel loading will determine whether the ‘‘major adverse event’’ constitutes an must have a system or arrangements, personnel aboard the vessel are emergency, but the standards do not including a backup system in working sufficient and possess adequate define this term nor delineate the order or alternate arrangements, for experience, including, if necessary, content of such plans. An ocean vessel managing waste to prevent excessive veterinary experience, to ensure proper may experience what we consider to be buildup in livestock transport spaces care of the livestock. a major adverse event for any number of during the voyage. A number of commenters suggested reasons, from adverse weather to system A commenter suggested modifying the additional general requirements for malfunctions to human error, and paragraph to require the waste ocean vessels. asking the vessel owner or operator to management system to have an alarm if Several commenters suggested that we develop standard procedures for any the system malfunctions. should require ocean vessels to major adverse event that could occur Malfunctions to waste management maintain a means of humanely would place a significant paperwork systems tend to be easily detectable euthanizing sick or injured livestock burden on ocean vessel owners and because of the odor of the waste. aboard the vessel, and should require at operators. Provided that the vessel maintains a least one of the personnel aboard the Accordingly, we consider it backup system in working order or has ship to be trained in humanely appropriate, instead, to require ocean alternate arrangements, we do not euthanizing livestock by using the vessel owners or operators to document consider it necessary that it also means of euthanasia carried by the major adverse events that led to maintain an alarm in the event of a vessel. livestock deaths aboard a particular system malfunction. We have added such a requirement. voyage. Additionally, when the major In proposed paragraph (d)(8) of Several commenters suggested that we adverse event was a failure to a major § 91.12, we proposed that the vessel should require ocean vessels to life support system, the vessel will have must have adequate illumination to maintain an alarm system when major to be inspected and recertified by allow clear observation of the livestock life support systems aboard the vessel APHIS before it may be used to export during loading, unloading, and malfunction. livestock from the United States again. transport. In proposed paragraph (e) of § 91.12, Malfunctioning major life support A commenter suggested that we we proposed that an inspector could systems are usually easy to detect. modify the paragraph to require the exempt an ocean vessel that uses However, we have added a requirement vessel to maintain a back-up lighting shipping containers to transport that the vessel must have replacement system. livestock to an importing country from Ocean vessels are constructed with parts for major life support systems and the requirements in proposed paragraph back-up lighting systems. Therefore, we the means, including qualified (d) of § 91.12, if the inspector do not consider it necessary to require personnel, to make the repairs or determines that the containers them. replacements. themselves are designed, constructed, In proposed paragraph (d)(12) of Several commenters suggested that we and managed in a manner to reasonably § 91.12, we proposed that the owner or require ocean vessels to have a system assure the livestock are protected from operator of the ocean vessel must have that monitors ammonia levels aboard injury and remain healthy during on board during loading, transport, and the vessel and alerts personnel aboard loading, unloading, and transport to the unloading at least 3 persons (or at least the ship if the levels exceed certain importing country. 1 person if fewer than 800 head of thresholds. Several commenters understood that livestock will be transported) with Excessive ammonia is easily the intent of the rule was to previous experience with ocean vessels detectable; therefore we do not consider acknowledge that certain of the that have handled the kind(s) of such a requirement to be necessary. requirements in paragraph (d) of § 91.12 livestock to be carried, as well as a Several commenters suggested that we are not applicable to ocean vessels that sufficient number of attendants with the require ocean vessels to maintain a use shipping containers. However, they appropriate experience to be able to system to monitor temperature, questioned the breadth of the ensure proper care of the livestock. humidity, and carbon monoxide levels exemption, and stated that certain of the Several commenters suggested that we aboard the vessel. requirements in paragraph (d) of § 91.12 require at least one of these personnel Ocean vessels are constructed with are necessary to ensure that livestock to be a licensed veterinarian. One of such monitoring systems. Therefore, we exported from the United States remain these commenters asked us to delineate do not consider such requirements to be healthy during the voyage to the what we meant by ‘‘a sufficient number necessary. importing country. Several of these of attendants with the appropriate A commenter suggested that we commenters stated that, at a minimum, experience to be able to ensure proper require ocean vessels to have fire the requirements pertaining to feed and care of the livestock,’’ and asked extinguishers on each level that water, ventilation, and lighting, appear whether we intended one of these contains livestock. to be generally applicable to all ocean attendants to be a veterinarian. In 46 CFR 95.05–10, the United States vessels used to export livestock. We can foresee instances, such as a Coast Guard requires shipping vessels to In proposed paragraph (e) of § 91.12, particularly short voyage to the have fire extinguishers installed in all we stated that guidance regarding the importing country, when it may not be cargo compartments, unless they carry paragraph could be found in the necessary for the vessel to have a exclusively coal or grain in bulk. Program Handbook that accompanied veterinarian on board. However, we do Finally, one commenter suggested the proposed rule. In the Program agree that, for certain voyages, having a that ocean vessels that export livestock Handbook, we provided guidance veterinarian on board may be necessary maintain contingency plans for regarding the manner in which APHIS to ensure proper care of the livestock. emergencies. The commenter pointed representatives would inspect ocean Accordingly, in this final rule, we have out that the OIE’s standards for the vessels that use shipping containers to modified paragraph (d)(12) of § 91.12 to transport of animals by sea suggest that transport livestock. We provided four specify that the APHIS representative ocean vessels maintain such plans. areas that would be subject to particular

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scrutiny: The size of the containers; the rule: Animals that sustained injuries or the Program Handbook provided a materials used to construct the exhibited symptoms of illness that were means of meeting that performance or containers; the waste management and significant enough to require medical construction standard. ventilation systems in the containers; attention from the personnel entrusted One commenter expressed concern and the manner in which potable water with care of the animals. Information that we would change the guidance in would be provided to the livestock. regarding the number of such animals, the Program Handbook arbitrarily, and Accordingly, it was not our intent to as well as the nature of their injuries or without an opportunity for public suggest that an inspector could exempt illnesses, helps us interpret other participation. an ocean vessel that uses shipping aspects of the report accurately. It is Agency policy to take public containers from any of the requirements Additionally, we have reason to believe comment on proposed substantive of paragraph (d) of § 91.12 that he or she that ocean vessels already maintain changes to Program standards and so chooses. The inspector could only such information as part of their daily similar policy documents. exempt the vessel after determining that logs. We have modified paragraph (f) it had in place an alternate means of accordingly to specify that this Miscellaneous meeting the aim of the requirements in information must be included in the In paragraph (e) of § 91.3, we paragraph (d), which is to provide report. proposed that an original signed export reasonable assurances that livestock are health certificate would have to protected from injury and remain Comments Regarding Proposed § 91.13 (‘‘Aircraft’’) accompany livestock destined for export healthy during loading, unloading, and for the entire duration of movement transport to the importing country. In proposed § 91.13, we proposed from the premises of export to their port However, we do agree with the requirements regarding aircraft used to of embarkation or land border port, commenters that the paragraph should export livestock from the United States. except when the export health mention the particular areas that an A number of commenters pointed out certificate had been issued and inspector will evaluate as part of his or that, unlike ocean vessels, we did not endorsed electronically. Similarly, we her inspection of ocean vessels that use propose general requirements regarding also proposed that, except when an shipping containers to transport accommodations for the humane export health certificate had been issued livestock. Accordingly, we have transport of livestock aboard aircraft. and endorsed electronically, the original modified paragraph (e) of § 91.12 to The commenters suggested that we signed export health certificate would specify that particular attention will be should add such requirements in this have to accompany animals other than paid to the manner in which the final rule. livestock, animal semen, animal containers are constructed, the space the Unlike ocean vessels, an international embryos, hatching eggs, other containers afford to livestock trade association stringently regulates embryonated eggs, or gametes destined transported within them, the manner in aircraft. The International Air Transport for export to their port of embarkation which the owner or operator of the Association (IATA) represents more or land border port. vessel would provide feed and water to than 250 commercial airlines The intent of these provisions was to the animals in the containers, and the worldwide, including those used to clarify that the means of issuing and manner in which air and effluent are export livestock from the United States. endorsing an electronic export health managed within the containers. IATA’s ‘‘Live Animals Regulations’’ set certificate differs from the means of As we mentioned earlier in this forth minimum space requirements, issuing and endorsing a paper-based document, in proposed paragraph (f) of feed and water requirements, ambient export health certificate. However, we § 91.12, we proposed that the owner or temperature requirements, ventilation realize that the provisions could also be operator of any ocean vessel used to requirements, and handling construed to mean that, if an export export livestock (including vessels that requirements for aircraft that transport health certificate is issued and endorsed use shipping containers) from the livestock. These requirements are at electronically, no export health United States would have to submit a least as stringent as our requirements for certificate needs to accompany the written report to APHIS within 5 ocean vessels. business days after completing a voyage. Additionally, we note that, in 14 CFR animals or commodities destined for Among other information requirements, part 25, the Federal Aviation export or otherwise be available for we proposed that the report would have Administration has its own Federal review when the animals or to include the number of each species requirements for airworthiness of commodities arrive at their port of that died and an explanation for those aircraft used to transport people, embarkation or land border port. mortalities. animals, or cargo. This is not necessarily the case. Some A commenter suggested that the Because of these existing regulations, importing countries require a paper- report should also include the number we did not consider it necessary to based export health certificate to of livestock injured during the voyage, propose our own regulations regarding accompany the animals or commodities and the nature of these injuries. accommodations for the humane destined for export, even if the export Injuries could include minor wounds transport of livestock aboard aircraft. health certificate was issued and or abrasions from which the livestock endorsed electronically. Other countries recovered quickly during the voyage. Comment Regarding the Program recognize electronically issued and Conversely, animals that suffered Handbook endorsed export health certificates, but significant or debilitating injuries As we mentioned earlier in this require them to accompany the animals during the voyage are likely to have document, we made a draft Program or commodities destined for export. died or been humanely euthanized. Handbook available along with the Additionally, some importing Accordingly, we do not consider it proposed rule. The Program Handbook countries allow the export health necessary to maintain a report regarding provided guidance and other certificate for certain commodities to be all animals injured aboard the vessel. information regarding the proposed issued and endorsed at the port of However, the commenter does regulations. In instances in which the embarkation or land border port, identify a third category of animals that proposed regulations specified a regardless of the means of issuance and we did not consider in our proposed performance or construction standard, endorsement.

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Accordingly, we have modified Rather, we coordinate with a licensed APHIS has assurances regarding their paragraph (e) of § 91.3 in this final rule. veterinarian; it is this veterinarian who health and welfare at the time of export. The paragraph now provides that an provides the treatment. In this final rule, Entities directly affected by this rule export health certificate for livestock we have modified paragraph (b) of include exporters of live animals, must be issued and endorsed before the § 91.7 to make this clear. hatching eggs, and animal germplasm. livestock move from the premises of Therefore, for the reasons given in the While we do not know the size export, and an export health certificate proposed rule and in this document, we distribution of these exporters, we for animals other than livestock or other are adopting the proposed rule as a final expect that the majority are small by commodities must be issued and, if rule, with the changes discussed in this Small Business Administration required by the importing country, document. standards, given the prevalence of small endorsed by an APHIS representative entities among livestock producers. prior to departure of the animals from Executive Order 12866 and Regulatory Operators of export inspection facilities, the port of embarkation or the crossing Flexibility Act export isolation facilities within 28 of the land border port. This final rule has been reviewed hours driving distance from a port of In light of this modification, we have under Executive Order 12866. This rule embarkation, and ocean vessels would also modified paragraph (a)(1) of § 91.3 has been determined to be not also be directly affected. These to specify that livestock must have an significant for the purposes of Executive industries are also largely composed of endorsed export health certificate in Order 12866 and, therefore, has not small businesses. The provisions of the order to be eligible for export from the been reviewed by the Office of rule would facilitate the export process United States. In the proposed rule, we Management and Budget. for affected parties. did not indicate that the export health In accordance with 5 U.S.C. 604, we Executive Order 12372 certificate needs to be endorsed. have performed a final regulatory In proposed paragraph (b) of § 91.6, flexibility analysis, which is This program/activity is listed in the we proposed that livestock for export summarized below, regarding the Catalog of Federal Domestic Assistance could be unloaded only into a facility economic effects of this rule on small under No. 10.025 and is subject to which has been cleaned and disinfected entities. Copies of the full analysis are Executive Order 12372, which requires in the presence of an APHIS available on the Regulations.gov Web intergovernmental consultation with representative or an accredited site (see footnote 1 in this document for State and local officials. (See 2 CFR veterinarian. We also proposed that a a link to Regulations.gov) or by chapter IV.) statement certifying to such action contacting the person listed under FOR would have to be attached to the export Executive Order 12988 FURTHER INFORMATION CONTACT. health certificate by the APHIS This final rule has been reviewed representative or accredited This rule amends 9 CFR part 91, under Executive Order 12988, Civil veterinarian. which contains requirements for the Justice Reform. This rule: (1) Preempts While this proposed requirement was inspection and handling of livestock all State and local laws and regulations also in the previous regulations in part (cattle, horses, captive cervids, sheep, that are inconsistent with this rule; (2) 91, operationally we have long allowed goats, and swine) to be exported from has no retroactive effect; and (3) does facilities to be cleaned and disinfected the United States. Among other things, not require administrative proceedings without the presence of an APHIS the rule removes some prescriptive before parties may file suit in court representative or accredited requirements applicable to livestock, challenging this rule. veterinarian, provided that an APHIS either completely or by replacing them representative or accredited veterinarian with performance standards, and makes Paperwork Reduction Act inspects the cleaned and disinfected other adjustments in inspection and In accordance with section 3507(d) of facility, certifies that he or she has handling requirements to assist the Paperwork Reduction Act of 1995 conducted this inspection, and attaches exporters. These changes will provide (44 U.S.C. 3501 et seq.), the information a statement certifying to this action. APHIS and exporters more flexibility in collection or recordkeeping Whether an APHIS representative or arranging for the export of livestock requirements included in this final rule, accredited veterinarian conducts this from the United States while continuing which were filed under 0579–0432, inspection depends on the requirements to ensure the animals’ health and have been submitted for approval to the of the importing country. In this final welfare. Office of Management and Budget rule, we have revised paragraph (b) of The rule also adds requirements for (OMB). When OMB notifies us of its § 91.6 to reflect this long-standing individual identification of livestock decision, if approval is denied, we will operational practice. intended for export. The rule also publish a document in the Federal In proposed paragraph (b) of § 91.7, specifies that, if APHIS knows that an Register providing notice of what action we proposed that, if, as a result of pre- importing country requires an export we plan to take. export inspection, the APHIS health certificate endorsed by the veterinarian inspecting the animals competent veterinary authority of the E-Government Act Compliance deems clinical examination to be United States for any animal other than The Animal and Plant Health necessary to determine the animal’s livestock, including pets, or for any Inspection Service is committed to health, any testing or treatment related hatching eggs or animal germplasm, the compliance with the E-Government Act to this clinical examination would have animal, hatching eggs, or animal to promote the use of the Internet and to be conducted by an APHIS germplasm must have such a health other information technologies, to veterinarian or an accredited certificate to be eligible for export from provide increased opportunities for veterinarian. the United States. These changes will citizen access to Government In reviewing the proposed rule, we help ensure that all live animals, information and services, and for other realized that this requirement could be hatching eggs, and animal germplasm purposes. For information pertinent to construed to suggest that APHIS exported from the United States meet E-Government Act compliance related provides treatment as part of our the health requirements of the countries to this final rule, please contact Ms. clinical examinations. We do not. to which they are destined and that Kimberly Hardy, APHIS’ Information

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Collection Coordinator, at (301) 851– Health Inspection Service of the United § 91.3 General requirements. 2727. States Department of Agriculture. (a) Issuance of export health APHIS representative. An individual certificates. (1) Livestock must have an List of Subjects in 9 CFR Part 91 who is authorized by APHIS to perform endorsed export health certificate in Animal diseases, Animal welfare, the function involved. order to be eligible for export from the Exports, Livestock, Reporting and Date of export. The date animals United States. recordkeeping requirements, intended for export are loaded onto an (2) If APHIS knows that an import Transportation. ocean vessel or aircraft or, if moved by country requires an export health Accordingly, we are revising 9 CFR land to Canada or Mexico, the date the certificate endorsed by the competent part 91 to read as follows: animals cross the border. veterinary authority of the United States Export health certificate. An official for any animal other than livestock or PART 91—EXPORTATION OF LIVE document issued in the United States for any animal semen, animal embryos, ANIMALS, HATCHING EGGS OR that certifies that animals or other hatching eggs, other embryonated eggs, OTHER EMBRYONATED EGGS, commodities listed on the certificate or gametes intended for export to that ANIMAL SEMEN, ANIMAL EMBRYOS, meet the export requirements of this country, the animal or other commodity AND GAMETES FROM THE UNITED part and the importing country. must have an endorsed export health STATES Export inspection facility. A facility certificate in order to be eligible for that is affiliated with a port of export from the United States. Subpart A—General Provisions embarkation and that has been approved (b) Content of export health Sec. by the Administrator as the location certificates—(1) Livestock; minimum 91.1 Definitions. where APHIS will conduct health requirements. Regardless of the 91.2 Applicability. inspections of livestock before they are requirements of the importing country, 91.3 General requirements. loaded onto ocean vessels or aircraft for 91.4 Prohibited exports. at a minimum, the following export from the United States. information must be contained on an Subpart B—Livestock Export isolation facility. A facility export health certificate for livestock: 91.5 Identification of livestock intended for where animals intended for export are (i) The species of each animal. export. isolated from other animals for a period (ii) The breed of each animal. 91.6 Cleaning and disinfection of means of of time immediately before being moved (iii) The sex of each animal. conveyance, containers, and facilities for export. (iv) The age of each animal. used during movement; approved Horses. Horses, mules, and asses. (v) The individual identification of disinfectants. Inspector. An individual authorized the animals as required by § 91.5. 91.7 Pre-export inspection. by APHIS to inspect animals and/or (vi) The importing country. 91.8 Rest, feed, and water at an export animal products intended for export (vii) The consignor. inspection facility associated with the from the United States. (viii) The consignee. port of embarkation prior to export. (ix) A certification that an accredited 91.9 Ports. Livestock. Horses, cattle (including 91.10 Export inspection facilities. American bison), captive cervids, sheep, veterinarian inspected the livestock and 91.11 Export isolation. swine, and goats, regardless of intended found them to be fit for export. 91.12 Ocean vessels. use. (x) A signature and date by an 91.13 Aircraft. Premises of export. The premises accredited veterinarian. 91.14 Other movements and conditions. where the animals intended for export (xi) An endorsement by the APHIS Authority: 7 U.S.C. 8301–8317; 19 U.S.C. are isolated as required by the importing veterinarian responsible for the State of 1644a(c); 21 U.S.C. 136, 136a, and 618; 46 country prior to export or, if the origin. U.S.C. 3901 and 3902; 7 CFR 2.22, 2.80, and importing country does not require pre- (2) Livestock; additional 371.4. export isolation, the farm or other requirements. In addition to the premises where the animals are minimum requirements in paragraph Subpart A—General Provisions assembled for pre-export inspection (b)(1) of this section, the export health certificate must meet any other § 91.1 Definitions. and/or testing, or the germplasm is collected or stored, before being moved information or issuance requirements As used in this part, the following to a port of embarkation or land border specified by the importing country. terms will have the meanings set forth port. (3) Animals other than livestock, in this section: Program diseases. Diseases for which animal semen, animal embryos, Accredited veterinarian. A there are cooperative State-Federal hatching eggs, other embryonated eggs, veterinarian approved by the programs and domestic regulations in and gametes. Export health certificates Administrator in accordance with part subchapter C of this chapter. for animals other than livestock, animal 161 of this chapter to perform functions Program Handbook. A document that semen, animal embryos, hatching eggs, specified in parts 1, 2, 3, and 11 of contains guidance and other other embryonated eggs, and gametes subchapter A, and subchapters B, C, and information related to the regulations in must meet any information D of this chapter, and to perform this part. The Program Handbook is requirements specified by the importing functions required by cooperative State- available on APHIS’ import-export Web country. Federal disease control and eradication site (http://www.aphis.usda.gov/import_ (c) Inspection requirements for programs. export/index.shtml). livestock. In order to be eligible for Administrator. The Administrator, State of origin. The State in which the export, livestock must be inspected Animal and Plant Health Inspection premises of export is located. within the timeframe required by the Service, or any person authorized to act importing country. If the importing for the Administrator. § 91.2 Applicability. country does not specify a timeframe, Animal. Any member of the animal You may not export any animal or the livestock must be inspected within kingdom (except a human). animal germplasm from the United 30 days prior to the date of export. Animal and Plant Health Inspection States except in compliance with this (d) Testing requirements for livestock. Service (APHIS). The Animal and Plant part. All samples for tests of livestock that are

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required by the importing country must importing country, the export health such action must be attached to the be taken by an APHIS representative or certificate is valid for 30 days from the export health certificate by the APHIS accredited veterinarian. The samples date of issuance. representative or accredited must be taken and tests made within the (Approved by the Office of Management veterinarian. timeframe allowed by the importing and Budget under control number 0579– (c) Approved disinfectants. The country and, if specified, at the location 0432) Administrator will approve a required by the importing country. If the disinfectant for purposes of this section importing country does not specify a § 91.4 Prohibited exports. upon determining that the disinfectant timeframe, the samples must be taken No animal, animal semen, animal is effective against pathogens that may and tests made within 30 days prior to embryos, hatching eggs, other be spread by the animals intended for the date of export, except that embryonated eggs, or gametes under export and, if the disinfectant is a tuberculin tests may be conducted Federal, State, or local government chemical disinfectant, that it is within 90 days prior to the date of quarantine or movement restrictions for registered or exempted for the specified export. All tests for program diseases animal health reasons may be exported use by the U.S. Environmental must be made in laboratories and using from the United States unless the Protection Agency. The Program methods approved by the Administrator importing country issues an import Handbook provides access to a list of for those diseases. The Program permit or other written instruction disinfectants approved by the Handbook contains a link to an APHIS allowing entry of the animal, animal Administrator for use as required by this Web site that lists laboratories approved semen, animal embryos, hatching eggs, section. Other disinfectants may also be to conduct tests for specific diseases. other embryonated eggs, or gametes, and approved by the Administrator in Approved methods are those specified APHIS concurs with the export of the accordance with this paragraph. The or otherwise incorporated within the animal, animal semen, animal embryos, Administrator will withdraw approval domestic regulations in subchapter C of hatching eggs, other embryonated eggs, of a disinfectant, and remove it from the this chapter. or gametes. list of approved disinfectants, if the (e) Movement of livestock, animals disinfectant no longer meets the other than livestock, animal semen, Subpart B—Livestock conditions for approval in this section. animal embryos, hatching eggs, other embryonated eggs, or gametes with an § 91.5 Identification of livestock intended (Approved by the Office of Management export health certificate—(1) Livestock. for export. and Budget under control number 0579– An export health certificate for livestock Livestock that are intended for export 0432) must be issued and endorsed before the must be identified in a manner that § 91.7 Pre-export inspection. livestock move from the premises of allows individual animals to be (a) All livestock intended for export export. correlated to the animals listed in the by air or sea must receive a visual health (2) Animals other than livestock, export health certificate. If the inspection from an APHIS veterinarian animal semen, animal embryos, importing country requires a specific or within 48 hours prior to embarkation, hatching eggs, other embryonated eggs, an additional form of identification, the unless the importing country specifies and gametes. When an export health livestock must also bear that form of otherwise. The purpose of the certificate is required by the importing identification. inspection is to determine whether the country for any animal other than (Approved by the Office of Management livestock are sound, healthy, and fit to livestock or for animal semen, animal and Budget under control number 0579– travel. The APHIS veterinarian will embryos, hatching eggs, other 0432) reject for export any livestock that he or embryonated eggs, or gametes, it must she finds unfit to travel. The owner of be issued and, if required by the § 91.6 Cleaning and disinfection of means the animals or the owner’s agent must importing country, endorsed by an of conveyance, containers, and facilities make arrangements for any livestock APHIS representative prior to departure used during movement; approved found unfit to travel. Livestock that are of the animal or other commodity from disinfectants. unfit to travel include, but are not the port of embarkation or the crossing (a) All export health certificates for livestock must be accompanied by a limited to: of the land border port. When presented (1) Livestock that are sick, injured, for endorsement, the health certificate statement issued by an APHIS representative and/or accredited weak, disabled, or fatigued; must be accompanied by reports for all (2) Livestock that are unable to stand veterinarian that the means of laboratory tests specifically identified unaided or bear weight on each leg; on the certificate. The laboratory reports conveyance or container in which the (3) Livestock that are blind in both must either be the originals prepared by livestock will be transported from the eyes; the laboratory that performed the tests premises of export has been cleaned and (4) Livestock that cannot be moved or must be annotated by the laboratory disinfected prior to loading the livestock without causing additional suffering; that performed the test to indicate how with a disinfectant approved by the (5) Newborn livestock with an the reports may be verified. Administrator for purposes of this unhealed navel; (f) Validity of export health section or by a statement that the means (6) Livestock that have given birth certificate—(1) Livestock. Unless of conveyance or container was not within the previous 48 hours and are specified by the importing country, the previously used to transport animals. traveling without their offspring; export health certificate is valid for 30 (b) Livestock moved for export may be (7) Pregnant livestock that would be days from the date of issuance, provided unloaded only into a facility which has in the final 10 percent of their gestation that the inspection and test results been cleaned and disinfected prior to period at the planned time of unloading under paragraphs (c) and (d) of this such unloading with a disinfectant in the importing country; and section are still valid. approved by the Administrator for (8) Livestock with unhealed wounds (2) Animals other than livestock, purposes of this section, and has from recent surgical procedures, such as animal semen, animal embryos, subsequently been inspected by an dehorning. hatching eggs, other embryonated eggs, APHIS representative or accredited (b) The APHIS veterinarian must and gametes. Unless specified by the veterinarian. A statement certifying to conduct the inspection at the export

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inspection facility associated with the inspections. The Program Handbook air or sea may be exported only through port of embarkation of the livestock; at contains guidance on ways to meet ports designated as ports of embarkation an export isolation facility, when these requirements. Owners and by the Administrator. Any port that has authorized by the Administrator in operators may submit alternative plans an export inspection facility that meets accordance with paragraph (c) of this for meeting the requirements to APHIS the requirements of § 91.10 permanently section; or at an export inspection for evaluation and approval. associated with it is designated as a port facility other than the facility associated Alternatives must be at least as effective of embarkation. The Program Handbook with the port of embarkation, when in meeting the requirements as those contains a list of designated ports of authorized by the Administrator in described in the Program Handbook in embarkation. A list may also be accordance with paragraph (d) of this order to be approved. Alternate plans obtained from a Veterinary Services area section. Unless APHIS has authorized must be approved by APHIS before the office. Information on area offices is otherwise, any sorting, grouping, facility may be used for purposes of this available on APHIS’ import-export Web identification, or other handling of the section. site (http://www.aphis.usda.gov/import_ livestock by the exporter must be done (d) The Administrator may allow pre- export/index.shtml). before this inspection. The APHIS export inspection of livestock to be (b) The Administrator may approve veterinarian may also conduct clinical conducted at an export inspection other ports for the exportation of examination, including testing, of any facility other than the export inspection livestock on a temporary basis with the livestock during or after this inspection facility associated with the port of concurrence of the port director. The if he or she deems it necessary in order embarkation when the exporter can Administrator will grant such temporary to determine the animal’s health. Any show to the satisfaction of the approvals only for a specific shipment treatment related to this clinical Administrator that the livestock would of livestock, and only if pre-export examination performed on the animal suffer undue hardship if they had to be inspection of that shipment has must be performed by a licensed inspected at the export inspection occurred at an export isolation facility veterinarian. Finally, if the facility used facility associated with the port of or an export inspection facility not to conduct the inspection is a facility embarkation, when inspection at this associated with the port of embarkation, other than the export inspection facility different export inspection facility as provided in § 91.7. associated with the port of embarkation, would be a more efficient use of APHIS (c) Temporarily approved ports of it must be located within 28 hours resources, or for other reasons embarkation will not be added to the list driving distance under normal driving acceptable to the Administrator. of designated ports of embarkation and conditions from the port of embarkation; (e) The APHIS veterinarian will are only approved for the time period livestock must be afforded at least 48 maintain an inspection record that and shipment conditions specified by hours rest, with sufficient feed and includes the date and place of the pre- APHIS at the time of approval. water during that time period, prior to export inspection, species and number (Approved by the Office of Management the pre-export inspection; and the of animals inspected, the number of and Budget under control number 0579– exporter must maintain contact animals rejected, a description of those 0432) information for a veterinarian licensed animals, and the reasons for rejection. in the State of embarkation to perform (f) If requested by the importing § 91.10 Export inspection facilities. emergency medical services, as needed, country or an exporter, the APHIS on the animals intended for export. (a) Export inspection facilities must veterinarian who inspects the livestock be approved by the Administrator before (c) Conditions for approval of pre- will issue a certificate of inspection for export inspection at an export isolation they may be used for any livestock livestock he or she finds to be sound, intended for export. The Administrator facility. (1) The Administrator may healthy, and fit to travel. allow pre-export inspection of livestock will approve an export inspection to be conducted at an export isolation § 91.8 Rest, feed, and water at an export facility upon determining that it meets facility, rather than at an export inspection facility associated with the port the requirements in paragraph (b) of this inspection facility, when the exporter of embarkation prior to export. section. This approval remains in effect can show to the satisfaction of the All livestock that are intended for unless it is revoked in accordance with Administrator that the livestock would export by air or sea and that will be paragraph (c) of this section, or unless suffer undue hardship if they had to be inspected for export at an export any of the following occur, in which inspected at the export inspection inspection facility associated with the case reapproval must be sought: facility, when the distance from the port of embarkation must be allowed a (1) The owner of the facility changes. export isolation facility to the port of period of at least 2 hours rest at an (2) Significant damage to the facility embarkation is significantly less than export inspection facility prior to being occurs or significant structural changes the distance from the export isolation loaded onto an ocean vessel or aircraft are made to the facility. facility to the export inspection facility for export. Adequate food and water (b)(1) Export inspection facilities must associated with the port of embarkation, must be available to the livestock during be constructed, equipped, and managed when inspection at the export isolation the rest period. An inspector may in a manner that prevents transmission facility would be a more efficient use of extend the required rest period up to 5 of disease to and from livestock in the APHIS resources, or for other reasons hours, at his or her discretion and based facilities, provides for the safe and acceptable to the Administrator. on a determination that more rest is humane handling and restraint of (2) The Administrator’s approval is needed in order to have assurances that livestock, and provides sufficient contingent upon APHIS having the animals are fit to travel prior to offices, space, and lighting for APHIS personnel available to provide services loading. Pre-export inspection of the veterinarians to safely conduct required at that location. Approval is also animals must take place at the health inspections of livestock and contingent upon the Administrator conclusion of this rest period. related business. The Program determining that the facility has space, Handbook contains guidance on ways to lighting, and humane means of handling § 91.9 Ports. meet these requirements. Owners and livestock sufficient for the APHIS (a) Except as provided in paragraph operators may submit alternative plans personnel to safely conduct required (b) of this section, livestock exported by for meeting the requirements to APHIS

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for evaluation and approval; the address may be moved to a port of embarkation, (iii) The species of livestock that the to which to submit such alternatives is and both the manner in which this vessel would transport; contained in the Program Handbook. isolation occurs and the facility at (iv) Scale drawings that provide Alternatives must be at least as effective which it occurs must meet the details of the design, materials, and in meeting the requirements as the requirements specified by the importing methods of construction and methods described in the Program country. arrangement of fittings for the Handbook in order to be approved. containment and movement of Alternatives must be approved by § 91.12 Ocean vessels. livestock; provisions for the storage and APHIS before being used for purposes of (a) Inspection of the ocean vessel—(1) distribution of feed and water; drainage this section. Certification to carry livestock. Ocean arrangements; primary and secondary (2) For the purposes of approval or a vessels must be certified by APHIS prior sources of power; and lighting; subsequent audit, APHIS to initial use to transport any livestock (v) A photograph of the rails and gates representatives must have access to all from the United States. The owner or of any pens; areas of the facility during the facility’s the operator of the ocean vessel must (vi) A description of the flooring business hours to evaluate compliance make arrangements prior to the vessel’s surface on the livestock decks; and with the requirements of this section. arrival at a designated port of (vii) The following measurements: (3) The application for approval of an embarkation in the United States for an Width of the ramps; the clear height export inspection facility must be APHIS representative to inspect the from the ramps to the lowest overhead accompanied by a certification from the vessel while it is at that port of structures; the incline between the authorities having jurisdiction over embarkation. Alternatively, at the ramps and the horizontal plane; the environmental affairs in the locality of discretion of the Administrator and distance between footlocks on the the facility. The certification must state upon request of the exporter, ramps; the height of side fencing on the that the facility complies with any transporting company, or their agent, ramps; the height of the vessel’s side applicable requirements of the State and the inspection may be done at a foreign doors through which livestock are local governments, and the U.S. port. If APHIS determines that the ocean loaded; the width of alleyways running Environmental Protection Agency vessel meets the requirements of fore and aft between livestock pens; and regarding disposal of animal wastes. paragraph (d) of this section, APHIS will the distance from the floor of the (c) The Administrator will deny or certify the vessel to transport livestock livestock pens to the beams or lowest revoke approval of an export inspection from the United States. APHIS may structures overhead. facility for failure to meet the certify a vessel that does not meet all of (2) Prior to each voyage. Prior to requirements in paragraph (b) of this the requirements in paragraph (d), loading any livestock intended for section. provided that an exemption from the export from the United States, an APHIS (1) APHIS will conduct site requirements the vessel does not meet representative must inspect the vessel to inspections of approved export has been granted to the vessel pursuant confirm that the ocean vessel has been inspection facilities at least once a year to paragraph (e) of this section. The adequately cleaned and disinfected as for continued compliance with the certification will specify the species of required by paragraph (b) of this section, standards. If a facility fails to pass the livestock for which the vessel is has sufficient food and water for the inspection, the Administrator may approved. The certification will be valid voyage as required by paragraph (c) of revoke its approval. If the Administrator for up to 3 years; however, the ocean this section, and continues to meet the revokes approval for a facility that vessel must be recertified prior to requirements of paragraph (d) of this serves a designated port of embarkation, transporting livestock any time section. APHIS will schedule the the Administrator may also remove that significant changes are made to the inspection after the owner or operator of port from the list of designated ports of vessel, including to livestock transport the ocean vessel provides the following embarkation. spaces or life support systems; any time information: (2) APHIS will provide written notice a major life support system fails; any (i) The name of the ocean vessel; of any proposed denial or revocation to time species of livestock not covered by (ii) The port, date, and time the ocean the operator of the facility, who will be the existing certification are to be vessel will be available for inspection, given an opportunity to present his or transported; and any time the owner or and estimated time that loading will her views on the issues before a final operator of the ocean vessel changes. begin; decision is made. The notice will list The owner or operator of the vessel (iii) A description of the livestock to any deficiencies in detail. APHIS will must present the following be transported, including the type, provide notice of pending revocations at documentation to APHIS prior to its number, and estimated average weight least 60 days before the revocation is initial inspection for certification and of the livestock; (iv) Stability data for the ocean vessel scheduled to take effect, but may when requested by APHIS prior to suspend facility operations before that with livestock on board; subsequent inspections for (v) The port of discharge; and date and before any consideration of recertification: objections by the facility operator if the (vi) The route and expected length of Administrator determines the (i) General information about the the voyage. suspension is necessary to protect vessel, including year built, length and (3) The information in paragraphs animal health or public health, interest, breadth, vessel name history, port of (a)(2)(i) through (a)(2)(vi) must be or safety. The operator of any facility registry, call sign, maximum and provided at least 72 hours before the whose approval is denied or revoked average speed, fresh water tank capacity vessel will be available for inspection. may request another inspection after and fresh water generation rate, and (b) Cleaning and disinfection. (1) Any remedying the deficiencies. feed silo capacity (if the vessel has a ocean vessel intended for use in silo); exporting livestock, and all fittings, § 91.11 Export isolation. (ii) A notarized statement from an utensils, containers, and equipment If an importing country requires engineer concerning the rate of air (unless new) used for loading, stowing, export isolation for livestock, such exchange in each compartment of the or other handling of livestock aboard the isolation must occur before the animals vessel; vessel must be thoroughly cleaned and

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disinfected to the satisfaction of an described in the Program Handbook in (5) Feed and water. The feeding and APHIS representative prior to any order to be approved. Alternatives must watering system must be designed to livestock being loaded. The disinfectant be approved by APHIS before being permit all livestock in each pen must be approved by the Administrator. used for purposes of this section. adequate access to feed and water. The Guidance on cleaning and disinfecting (1) Pens. All pens, including gates and system must also be designed to ocean vessels may be found in the portable rails used to close access ways, minimize soiling of pens and to prevent Program Handbook. must be designed and constructed of animal waste from contaminating feed (2) The Administrator will approve a material of sufficient strength to and water. Similarly, feed must be disinfectant for the purposes of this securely contain the livestock. They loaded and stored aboard the vessel in paragraph upon determining that the must be properly formed, closely fitted, a manner that protects it from weather disinfectant is effective against and rigidly secured in place. They must and sea water and, if kept under animal pathogens that may be spread by the have smooth finished surfaces free from transport spaces, protects it from animals and, if the disinfectant is a sharp protrusions. They must not have spillage from animal watering and chemical disinfectant, that it is worn, decayed, unsound, or otherwise feeding and from animal waste. If the registered or exempted for the specified defective parts. Flooring must be strong normal means of tending, feeding, and use by the U.S. Environmental enough to support the livestock to be watering of livestock on board the ocean Protection Agency. The Program transported and provide a satisfactory vessel is wholly or partially by Handbook provides access to a list of non-slip foothold. Pens on exposed automatic means, the vessel must have disinfectants approved by the upper decks must protect the livestock alternative arrangements for the Administrator. Other disinfectants may from the weather. Pens next to engine or satisfactory tending, feeding, and also be approved by the Administrator boiler rooms or similar sources of heat watering of the animals in the event of in accordance with this paragraph. The must be fitted to protect the livestock a malfunction of the automatic means. Administrator will withdraw approval from injury due to transfer of heat to the (6) Ventilation. Ventilation during of a disinfectant, and remove it from the livestock or livestock transport spaces. loading, unloading, and transport must list of approved disinfectants in the Any fittings or protrusions from the provide fresh air and remove excessive Program Handbook, if the disinfectant vessel’s sides that abut pens must be heat, humidity, and noxious fumes no longer meets the conditions for covered to protect the livestock from (such as ammonia and carbon dioxide). approval in this section. injury. Pens must be of appropriate size Ventilation must be adequate for (3) All ocean vessels, upon docking at for the species, size, weight, and variations in climate and weather and to a U.S. port to load livestock, must have condition of the livestock being meet the needs of the livestock being disinfectant foot baths at entryways transported and take into consideration transported. Ventilation must be where persons board and exit the ocean the vessel’s route. Animals that may be effective both when the vessel is vessel, and require such baths before hostile to each other may not be housed stationary and when it is moving and allowing any person to disembark. must be turned on when the first animal in the same pen. (c) Feed and water. Sufficient feed is loaded. The vessel must have on (2) Positioning. Livestock must be and water must be provided to livestock board a back-up ventilation system positioned during transport so that an aboard the ocean vessel, taking into (including emergency power supply) in animal handler or other responsible consideration the livestock’s species, good working order or replacement person can observe each animal body weight, the expected duration of parts and the means, including qualified regularly and clearly to ensure the the voyage, and the likelihood of personnel, to make the repairs or livestock’s safety and welfare. adverse climatic conditions during replacements. transport. Guidance on this requirement (3) Resources for sick or injured (7) Waste management. The vessel may be found in the Program Handbook. animals. The vessel must have an must have a system or arrangements, Livestock aboard the vessel must be adequate number of appropriately sized including a backup system in working provided feed and water within 28 and located pens set aside to segregate order or alternate arrangements, for hours of the time they were last fed and livestock that become sick or injured managing waste to prevent excessive watered within the United States. from other animals. It must also have buildup in livestock transport spaces (d) Accommodations for the humane adequate veterinary medical supplies, during the voyage. transport of livestock; general including medicines, for the species, (8) Lighting. The vessel must have requirements. Ocean vessels used to condition, and number of livestock adequate illumination to allow clear transport livestock intended for export transported. observation of livestock during loading, must be designed, constructed, and (4) Ramps, doors, and passageways. unloading, and transport. managed to reasonably assure the Ramps, doors, and passageways used for (9) Bedding. Bedding must be loaded livestock are protected from injury and livestock must be of sufficient width and stored aboard the vessel in a remain healthy during loading and and height for their use and allow the manner that protects it from weather transport to the importing country. safe passage of the species transported. and sea water and, if kept under animal Except as provided below in paragraph They must have secure, smooth fittings transport spaces, protects it from (e) of this section, no livestock may be free from sharp protrusions and non-slip spillage from animal watering and loaded onto an ocean vessel unless, in flooring, and must not have worn, feeding and from animal waste. the opinion of an APHIS representative, decayed, unsound, or otherwise (10) Cleaning. The vessel must be the ocean vessel meets the requirements defective parts. Ramps must not have an designed and constructed to allow of this section. The Program Handbook incline that is excessive for the species thorough cleaning and disinfection and contains guidance on ways to meet the of livestock transported and must be to prevent feces and urine from requirements. Owners and operators fitted with foot battens to prevent livestock on upper levels from soiling may submit alternative means and slippage at intervals suitable for the livestock or their feed or water on lower methods for meeting the requirements to species. The sides of ramps must be of levels. APHIS for evaluation and approval. sufficient height and strength to prevent (11) Halters and ropes. Halters, ropes, Alternatives must be at least as effective escape of the species of livestock or other equipment provided for the in meeting the requirements as those transported. handling and tying of horses or other

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livestock must be satisfactory to ensure inspections, particular attention will be (Approved by the Office of Management the humane treatment of the livestock. paid to the manner in which containers and Budget under control number 0579– (12) Personnel. The owner or operator are constructed, the space the containers 0432) of the ocean vessel must have on board afford to livestock transported within § 91.13 Aircraft. during loading, transport, and them, the manner in which the vessel unloading at least 3 persons (or at least would provide feed and water to the (a) Prior to loading livestock aboard 1 person if fewer than 800 head of animals in the containers, and the aircraft, the stowage area of the aircraft livestock will be transported) with manner in which air and effluent are and any loading ramps, fittings, and previous experience with ocean vessels managed within the containers. The equipment to be used in loading the that have handled the kind(s) of Program Handbook contains exemption animals must be cleaned and then livestock to be carried, as well as a guidance. disinfected with a disinfectant approved sufficient number of personnel with the by the Administrator, to the satisfaction appropriate experience to be able to (f) Operator’s report. (1) The owner or of an APHIS representative, unless the ensure proper care of the livestock. The operator of any ocean vessel used to representative determines that the APHIS representative assigned to export livestock (including vessels that aircraft has already been cleaned and inspect the ocean vessel prior to loading use shipping containers) from the disinfected to his or her satisfaction. will determine whether the personnel United States must submit a written (1) The Administrator will approve a aboard the vessel are sufficient and report to APHIS within 5 business days disinfectant for purposes of this section possess adequate experience, including, after completing a voyage. The report upon determining that the disinfectant if necessary, veterinary experience, to must include the name of the ocean is effective against pathogens that may ensure proper care of the livestock. vessel; the name and address of all be spread by the animals and, if the (13) Vessel stability. The vessel must exporters of livestock transported on the disinfectant is a chemical disinfectant, have adequate stability, taking into vessel; the port of embarkation; dates of that it is registered or exempted for the consideration the weight and the voyage; the port where the livestock specified use by the U.S. Environmental distribution of livestock and fodder, as were discharged; the number of each Protection Agency. well as effects of high winds and seas. species of livestock loaded; the number (2) The Program Handbook provides If requested by APHIS, the owner or of each species that died and an access to a list of disinfectants approved operator of the vessel must present explanation for those mortalities; and by the Administrator for use as required stability calculations for the voyage that the number of animals that sustained by this section. Other disinfectants may have been independently verified for injuries or sustained illnesses that were also be approved by the Administrator accuracy. significant enough to require medical in accordance with paragraph (a)(1) of (14) Means of humane euthanasia. attention from the personnel entrusted this section. Ocean vessels must maintain a means of with the care of the animals, as well as (3) The Administrator will withdraw humanely euthanizing sick or injured the nature of these injuries or illnesses. approval of a disinfectant, and remove livestock aboard the vessel. One of the The report must also document any it from the list of approved disinfectants personnel aboard the vessel must be failure of any major life support system in the Program Handbook, if the trained in humanely euthanizing for the livestock, including, but not disinfectant no longer meets the livestock by using the means of limited to, systems for providing feed conditions for approval in this section. euthanasia carried by the vessel. and water, ventilation systems, and (b) The time at which the cleaning (15) Life support systems. The ocean livestock waste management systems. and disinfection are to be performed vessel must maintain replacement parts Any such failure must be documented, must be approved by the APHIS for major life support systems aboard regardless of the duration or whether representative, who will give approval the vessel, and the means, including the failure resulted in any harm to the only if he or she determines that the qualified personnel, to make the repairs livestock. The report must include the cleaning and disinfection will be or replacements. name, telephone number, and email effective up to the projected time the (16) Additional conditions. The vessel address of the person who prepared the livestock will be loaded. If the livestock must meet any other condition the report and the date of the report. The are not loaded by the projected time, the Administrator determines is necessary report must be submitted to APHIS by APHIS representative will determine for approval, as dictated by specific facsimile or email. Contact numbers and whether further cleaning and circumstances and communicated to the addresses, as well as an optional disinfection are necessary. owner and operator of the vessel, to template for the report, are provided in (c) The cleaning must remove all protect the livestock and keep them the Program Handbook. garbage, soil, manure, plant materials, healthy during loading, unloading, and insects, paper, and other debris from the transport to the importing country. (2) If an ocean vessel used to export stowage area. The disinfectant solution (e) Accommodations for the humane livestock experiences any failure of a must be applied with a device that transport of livestock; vessels using major life support system for livestock creates an aerosol or mist that covers shipping containers. An inspector may during the voyage, the owner or 100 percent of the surfaces in the exempt an ocean vessel that uses operator of the ocean vessel must notify stowage area, except for any loaded shipping containers to transport APHIS immediately by telephone, cargo and deck surface under it that, in livestock to an importing country from facsimile, or other electronic means. the opinion of the APHIS representative, requirements in paragraph (d) of this Contact numbers and addresses are do not contain material, such as garbage, section that he or she specifies, if the provided in the Program Handbook. soil, manure, plant materials, insects, inspector determines that the containers (3) Failure to provide timely reports waste paper, or debris, that may harbor themselves are designed, constructed, as required by this section may result in animal disease pathogens. and managed in a manner to reasonably APHIS disapproving future livestock (d) After cleaning and disinfection is assure the livestock are protected from shipments by the responsible owner or performed, the APHIS representative injury and remain healthy during operator or revoking the vessel’s will sign and deliver to the captain of loading, unloading, and transport to the certification under paragraph (a) of this the aircraft or other responsible official importing country. During such section to carry livestock. of the airline involved a document

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stating that the aircraft has been ACTION: Final rule. Subtitle VII, Aviation Programs, properly cleaned and disinfected, and describes in more detail the scope of the stating further the date, the carrier, the SUMMARY: This action establishes Class agency’s authority. This rulemaking is flight number, and the name of the E airspace extending upward from 700 promulgated under the authority airport and the city and state in which feet above the surface at Bowman described in Subtitle VII, Part A, it is located. If an aircraft is cleaned and Regional Airport, Bowman, ND, to Subpart I, Section 40103. Under that disinfected at one airport, then flies to accommodate new standard instrument section, the FAA is charged with a subsequent airport, with or without approach procedures for the safety and prescribing regulations to assign the use stops en route, to load animals for management of Instrument Flight Rules of airspace necessary to ensure the export, an APHIS representative at the (IFR) operations at the airport. Class E safety of aircraft and the efficient use of subsequent airport will determine, airspace extending upward from 700 airspace. This regulation is within the based on examination of the cleaning feet above the surface would be scope of that authority as it establishes and disinfection documents, whether removed at Bowman Municipal Airport, controlled airspace at Bowman Regional the previous cleaning and disinfection Bowman, ND, due to closure of the air Airport, Bowman, ND and removes is adequate or whether to order a new traffic control tower. The FAA found it Class E airspace at Bowman Municipal cleaning and disinfection. If the aircraft necessary to establish airspace at Airport, Bowman, ND. Bowman Regional Airport to has loaded any cargo in addition to History animals, the APHIS representative at the accommodate standard instrument subsequent airport will determine approach procedures (SIAPs) at the On September 15, 2015, The FAA whether to order a new cleaning and airport. The FAA is taking this action to published in the Federal Register a disinfection, based on both examination enhance the safety and management of notice of proposed rulemaking (NPRM) of the cleaning and disinfection Instrument Flight Rules (IFR) operations to establish Class E airspace extending documents and on the inspection of the at the Bowman Regional Airport. upward from 700 feet above the surface stowage area for materials, such as DATES: Effective 0901 UTC, March 31, at Bowman Regional Airport, Bowman, garbage, soil, manure, plant materials, 2016. The Director of the Federal ND (80 FR 55275) and remove Class E insects, waste paper, or debris, that may Register approves this incorporation by airspace extending upward from 700 harbor animal disease pathogens. reference action under Title 1, Code of feet above the surface at Bowman (e) Cargo containers used to ship Federal Regulations, part 51, subject to Municipal Airport, Bowman, ND (80 FR livestock must be designed and the annual revision of FAA Order 55275, September 15, 2015). Interested constructed of a material of sufficient 7400.9 and publication of conforming parties were invited to participate in strength to securely contain the animals amendments. this rulemaking effort by submitting written comments on the proposal to the and must provide sufficient space for ADDRESSES: FAA Order 7400.9Z, FAA. No comments were received. the species being transported given the Airspace Designations and Reporting Class E airspace designations are duration of the trip, as determined by Points, and subsequent amendments can published in paragraph 6005 of FAA APHIS. be viewed on line at http:// Order 7400.9Z, dated August 6, 2015, www.faa.gov/air_traffic/publications. § 91.14 Other movements and conditions. and effective September 15, 2015, which For further information, you can contact is incorporated by reference in 14 CFR The Administrator may, upon request the Airspace Policy Group, Federal 71.1. The Class E airspace designations in specific cases, permit the exportation Aviation Administration, 800 listed in this document will be of livestock not otherwise provided for Independence Avenue SW., published subsequently in the Order. in this part under such conditions as he Washington, DC 29591; telephone: 202– or she may prescribe in each specific 267–8783. The order is also available for Availability and Summary of case to prevent the spread of livestock inspection at the National Archives and Documents for Incorporation by diseases and to ensure the humane Records Administration (NARA). For Reference treatment of the animals during information on the availability of FAA transport to the importing country. This document amends FAA Order Order 7400.9Z at NARA, call 202–741– 7400.9Z, airspace Designations and Done in Washington, DC, this 13th day of 6030, or go to http://www.archives.gov/ Reporting Points, dated August 6, 2015, _ _ _ January 2016. federal register/code of federal- and effective September 15, 2015. FAA _ Kevin Shea, regulations/ibr locations.html. Order 7400.9Z is publicly available as Administrator, Animal and Plant Health FAA Order 7400.9, Airspace listed in the ADDRESSES section of this Inspection Service. Designations and Reporting Points, is final document. FAA Order 7400.9Z [FR Doc. 2016–00962 Filed 1–19–16; 8:45 am] published yearly and effective on lists Class A, B, C, D, and E airspace BILLING CODE 3410–34–P September 15. areas, air traffic service routes, and FOR FURTHER INFORMATION CONTACT: reporting points. Rebecca Shelby, Central Service Center, The Rule DEPARTMENT OF TRANSPORTATION Operations Support Group, Federal Aviation Administration, Southwest This amendment to Title 14, Code of Federal Aviation Administration Region, 10101 Hillwood Parkway, Fort Federal Regulations (14 CFR) Part 71 Worth, TX 76177; telephone: 817–222– establishes Class E airspace extending 14 CFR Part 71 5857. upward from 700 feet above the surface SUPPLEMENTARY INFORMATION: within a 6-mile radius, at Bowman [Docket No. FAA–2015–1834; Airspace Regional Airport, Bowman, ND. New Docket No. 15–AGL–8] Authority for This Rulemaking standard instrument approach Revocation and Establishment of The FAA’s authority to issue rules procedures were developed for the Class E Airspace; Bowman, ND regarding aviation safety is found in safety of IFR operations at the airport. Title 49 of the United States Code. Additionally, this action removes Class AGENCY: Federal Aviation Subtitle I, Section 106 describes the E airspace extending upward from 700 Administration (FAA), DOT. authority of the FAA Administrator. feet above the surface at Bowman

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Municipal Airport, Bowman, ND, due to Authority: 49 U.S.C. 106(f), 106(g); 40103, Points, and subsequent amendments can closure of the airport. This action 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, be viewed online at http://www.faa.gov/ accommodates new standard instrument 1959–1963 Comp., p. 389. air_traffic/publications/. For further approach procedures at Bowman § 71.1 [Amended] information, you can contact the Regional Airport and enhances the ■ Airspace Policy Group, Federal Aviation safety and management of IFR 2. The incorporation by reference in Administration, 800 Independence operations at the airport. 14 CFR 71.1 of FAA Order 7400.9Z, Avenue SW., Washington, DC 20591; Airspace Designations and Reporting telephone: (202) 267–8783. The Order is Regulatory Notices and Analyses Points, dated August 6, 2015, and also available for inspection at the effective September 15, 2015, is The FAA has determined that this National Archives and Records amended as follows: regulation only involves an established Administration (NARA). For body of technical regulations for which Paragraph 6005 Class E Airspace Areas information on the availability of FAA frequent and routine amendments are Extending Upward From 700 Feet or More Order 7400.9Z at NARA, call (202) 741– necessary to keep them operationally Above the Surface of the Earth. 6030, or go to http://www.archives.gov/ _ _ _ current, is non-controversial and * * * * * federal register/code of federal- unlikely to result in adverse or negative regulations/ibr_locations.html. comments. It, therefore: (1) Is not a AGL ND E5 Bowman, ND [New] FAA Order 7400.9, Airspace ‘‘significant regulatory action’’ under Bowman Regional Airport, ND Designations and Reporting Points, is ° ′ ″ ° ′ ″ Executive Order 12866; (2) is not a (Lat. 46 09 56 N., long. 103 18 03 W.) published yearly and effective on ‘‘significant rule’’ under DOT That airspace extending upward from 700 September 15. Regulatory Policies and Procedures (44 feet above the surface within a 6-mile radius of the Bowman Regional Airport. FOR FURTHER INFORMATION CONTACT: FR 11034; February 26, 1979); and (3) Colby Abbott, Airspace Policy Group, does not warrant preparation of a AGL ND E5 Bowman, ND [Removed] Office of Airspace Services, Federal Regulatory Evaluation as the anticipated Bowman Municipal Airport, ND Aviation Administration, 800 impact is so minimal. Since this is a Issued in Fort Worth, TX, on January 6, Independence Avenue SW., routine matter that only affects air traffic 2016. Washington, DC 20591; telephone: (202) procedures and air navigation, it is Robert W. Beck, 267–8783. certified that this rule, when Manager, Operations Support Group, ATO SUPPLEMENTARY INFORMATION: promulgated, does not have a significant Central Service Center. economic impact on a substantial Authority for This Rulemaking number of small entities under the [FR Doc. 2016–00627 Filed 1–19–16; 8:45 am] BILLING CODE 4910–13–P The FAA’s authority to issue rules criteria of the Regulatory Flexibility Act. regarding aviation safety is found in Environmental Review Title 49 of the United States Code. DEPARTMENT OF TRANSPORTATION Subtitle I, Section 106 describes the The FAA issued a Federal Finding of authority of the FAA Administrator. No Significant Impact/Record of Federal Aviation Administration Subtitle VII, Aviation Programs, Decision (FONSI/ROD) for the proposed describes in more detail the scope of the relocation of the Bowman County 14 CFR Part 71 agency’s authority. This rulemaking is Airport and associated actions at promulgated under the authority Bowman County, North Dakota on [Docket No. FAA–2015–7611; Airspace described in Subtitle VII, Part A, August 2, 2010. This action to establish Docket No. 15–AGL–20] Subpart I, Section 40103. Under that Class E airspace extending upward from RIN 2120–AA66 section, the FAA is charged with 700 feet above the surface at Bowman prescribing regulations to assign the use Regional Airport, Bowman, ND, and to Modification of VOR Federal Airway V– of the airspace necessary to ensure the remove Class E airspace extending 443; North Central United States safety of aircraft and the efficient use of upward from 700 feet above the surface AGENCY: Federal Aviation airspace. This regulation is within the at Bowman Municipal Airport, Administration (FAA), DOT. scope of that authority as it modifies the Bowman, ND, due to closure of the ACTION: Final rule. air traffic service route structure in the airport is a part of the associated actions north central United States to maintain covered in the FONSI/ROD and SUMMARY: This action modifies VOR the efficient flow of air traffic. evaluated in the Environmental Federal airway V–443, which extends Assessment dated June 2010. across the United States/Canadian History border, in the north central United List of Subjects in 14 CFR Part 71 In 1962, the FAA published in the States. The FAA is taking this action to Federal Register a rule that extended V– Airspace, Incorporation by reference, reflect and accommodate route changes 443 from the Cleveland, OH, VHF Navigation (air). made in Canadian airspace as part of Omnidirection Range Tactical Air Adoption of the Amendment Canada’s Windsor-Toronto-Montreal Navigation (VORTAC) navigation aid (WTM) airspace redesign project. In consideration of the foregoing, the (NAVAID) over the Aylmer, Ontario, DATES: Effective date 0901 UTC, March Canada, Omnidirection Range/Distance Federal Aviation Administration 31, 2016. The Director of the Federal amends 14 CFR part 71 as follows: Measuring Equipment (VOR/DME) Register approves this incorporation by NAVAID to the Toronto, Ontario, reference action under title 1, Code of PART 71—DESIGNATION OF CLASS A, Canada, VOR/DME NAVAID, excluding Federal Regulations, part 51, subject to B, C, D, AND E AIRSPACE AREAS; AIR the airspace within Canada (27 FR the annual revision of FAA, Order TRAFFIC SERVICE ROUTES; AND 11497, November 22, 1962). The route 7400.9 and publication of conforming REPORTING POINTS extension was established in concert amendments. with the Canadian Department of ■ 1. The authority citation for part 71 ADDRESSES: FAA Order 7400.9Z, Transport to provide a more direct route continues to read as follows: Airspace Designations and Reporting between Cleveland and Toronto.

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In 1989, the FAA published in the part 71 by removing the route segment PART 71—DESIGNATION OF CLASS A, Federal Register a rule to amend V–443 of V–443 that extends from Aylmer, ON, B, C, D, AND E AIRSPACE AREAS; AIR (54 FR 39166, September 25, 1989). The Canada, to Toronto, ON, Canada. The TRAFFIC SERVICE ROUTES; AND amendment inserted an intersection fix remaining portion of V–443 is REPORTING POINTS between the Aylmer, ON, Canada, VOR/ unchanged. This action responds to the ■ DME and the Toronto, ON, Canada, route changes made by Canada as part 1. The authority citation for part 71 VOR/DME NAVAIDs to adjust the of their WTM airspace redesign project. continues to read as follows: arrival/departure routes to/from Canada has subsequently removed this Authority: 49 U.S.C. 106(f), 106(g); 40103, Toronto, ON, Canada, and alleviate the route segment and it no longer exists on 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, congestion and compression of air aeronautical charts. Therefore, notice 1959–1963 Comp., p. 389. traffic in that area. As a result, the V– and public procedure under 5 U.S.C. 433 description was amended to reflect § 71.1 [Amended] 553(b) are unnecessary. the route being realigned from the ■ 2. The incorporation by reference in Aylmer, Ontario, Canada, VOR/DME, to All radials in the route description 14 CFR 71.1 of FAA Order 7400.9Z, an intersection fix defined by the below are unchanged and stated in True Airspace Designations and Reporting ° ° Aylmer 051 and Toronto 210 radials, degrees. Points, dated August 6, 2015 and to the Toronto, ON, Canada, VOR/DME. Regulatory Notices and Analyses effective September 15, 2015, is In November 2014, Canada removed amended as follows: the V–443 route segment from the The FAA has determined that this Aylmer, ON, Canada, VOR/DME, to the regulation only involves an established Paragraph 2010(a) Domestic VOR Federal Toronto, ON, Canada, VOR/DME, as Airways. body of technical regulations for which part of their WTM airspace redesign frequent and routine amendments are * * * * * program; however, corresponding action necessary to keep them operationally amending the FAA’s V–443 legal V–443 [Amended] description was not accomplished. This current. It, therefore: (1) Is not a From INT Newcomerstown, OH, 099° and ‘‘significant regulatory action’’ under Bellaire, OH, 044° radials; Newcomerstown; disconnect led to the charted depiction ° of V–443 being amended in the Executive Order 12866; (2) is not a Tiverton, OH; Dryer, OH; INT Dryer 049 and ‘‘significant rule’’ under Department of Aylmer, ON, Canada, 205° radials; to Aylmer. Instrument Flight Rules (IFR) low The airspace within Canada is excluded. altitude enroute charts and the FAA Transportation (DOT) Regulatory National Airspace System Repository Policies and Procedures (44 FR 11034; * * * * * (NASR) database being updated, but the February 26, 1979); and (3) does not Issued in Washington, DC, on January 7, V–443 legal description published in warrant preparation of a regulatory 2016. FAA Order 7400.9, Airspace evaluation as the anticipated impact is Gary A. Norek, Designations and Reporting Points, so minimal. Since this is a routine Manager, Airspace Policy Group. which is incorporated by reference in 14 matter that only affects air traffic [FR Doc. 2016–00521 Filed 1–19–16; 8:45 am] CFR part 71, remaining unchanged. procedures and air navigation, it is BILLING CODE 4910–13–P Since the basis for establishing the V– certified that this rule, when 443 route segment between the Alymer, promulgated, does not have a significant ON, Canada, VOR/DME to the Toronto, economic impact on a substantial DEPARTMENT OF STATE ON, Canada, VOR/DME no longer exists, number of small entities under the the FAA is amending the route criteria of the Regulatory Flexibility Act. 22 CFR Part 171 description in FAA Order 7400.9 and 14 CFR part 71. Environmental Review [Public Notice: 9405] VOR Federal airways are published in RIN 1400–AD86 paragraph 2010 of FAA Order 7400.9Z The FAA has determined that this dated August 6, 2015, and effective action qualifies for categorical exclusion Privacy Act; STATE–09, Records September 15, 2015, which is under the National Environmental Maintained by the Office of Civil Rights incorporated by reference in 14 CFR Policy Act in accordance with FAA AGENCY: Department of State. 71.1. The VOR Federal airway listed in Order 1050.1F, Environmental Impacts: this document will be subsequently Policies and Procedures, paragraph 5– ACTION: Final rule. amended in the Order. 6.5a. This airspace action consists of SUMMARY: The Department of State is modifying an airway and it is not Availability and Summary of issuing a final rule to amend its Privacy expected to cause any potentially Documents for Incorporation by Act regulation exempting portions of a Reference significant environmental impacts, and system of records from certain no extraordinary circumstances exists provisions of the Privacy Act of 1974. This document amends FAA Order that warrant preparation of an Certain portions of the Records 7400.9Z, Airspace Designations and environmental assessment. Maintained by the Office of Civil Rights, Reporting Points, dated August 6, 2015, STATE–09, contain investigatory and effective September 15, 2015. FAA List of Subjects in 14 CFR Part 71 material for law enforcement purposes, Order 7400.9Z is publicly available as and testing or examination material. listed in the ADDRESSES section of this Airspace, Incorporation by reference, document. FAA Order 7400.9Z lists Navigation (air). DATES: This final rule is effective January 20, 2016. Class A, B, C, D, and E airspace areas, The Amendment air traffic service routes, and reporting FOR FURTHER INFORMATION CONTACT: John points. In consideration of the foregoing, the Hackett, Director; Office of Information Programs and Services, A/GIS/IPS; The Rule Federal Aviation Administration amends 14 CFR part 71 as follows: Department of State, SA–2; 515 22nd The FAA is amending Title 14 of the Street NW., Washington, DC 20522– Code of Federal Regulations (14 CFR) 8001, or at [email protected].

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SUPPLEMENTARY INFORMATION: The ACTION: Temporary final rule. comment when the agency for good system, Records Maintained by the cause finds that those procedures are Office of Civil Rights, designated as SUMMARY: The Coast Guard is ‘‘impracticable, unnecessary, or contrary STATE–09, supports the Office of Civil establishing emergency temporary safety to the public interest.’’ Under 5 U.S.C. Rights, Department of State, in the zones for all waters of the Upper 553(b)(B), the Coast Guard finds that investigation, processing, and resolution Mississippi River (UMR) between miles good cause exists for not publishing a of informal and formal complaints of 109.9 and 185.5 and all waters of the notice of proposed rulemaking (NPRM) discrimination filed against the Illinois River (ILR) between miles 0 and with respect to this rule because of the Department in accordance with 29 CFR 128.9. The emergency safety zones are increased safety risks caused by high part 1614 and the Department’s internal needed to protect persons, property, and waters on the UMR and ILR. On procedures for addressing Equal infrastructure from potential damage December 28, 2015, the Coast Guard Employment Opportunity (EEO) and safety hazards associated with high determined that immediate action is complaints; in the investigation, waters. Entry of vessels or persons into necessary to establish emergency safety processing, and resolution of complaints these zones is prohibited unless zones to protect life and property from of discrimination under 42 U.S.C. specifically authorized by the Captain of the hazards associated with and 2000d; and complaints under 20 U.S.C. the Port (COTP). Deviation from the resulting from high waters. It is 1681, 29 U.S.C. 794 and 794d, 42 U.S.C. safety zones may be requested and will impracticable to publish an NPRM 6101, 29 U.S.C. 621, and 36 CFR chapter be considered on a case-by-case basis as because we must establish these safety XI. specifically authorized by the Captain of zones by December 28, 2015. Broadcast For additional background, see the the Port (COTP) or a designated Notices to Mariners (BNM) and notice of proposed rulemaking and the representative. information sharing with waterway system of records notice published on DATES: This rule is effective without users will update mariners of the July 14, 2015 (80 FR 40951 and 80 FR actual notice from January 20, 2016 closures and enforcement times during 41137, respectively). The Department until 11:59 p.m. on January 22, 2016. this emergency situation. received no public comment on these For the purposes of enforcement, actual We are issuing this rule, and under 5 documents. notice will be used from 3:00 p.m. on U.S.C. 553(d)(3), the Coast Guard finds that good cause exists for making it List of Subjects in 22 CFR Part 171 December 28, 2015 until January 20, 2016. effective less than 30 days after Privacy. publication in the Federal Register. ADDRESSES: To view documents For the reasons stated in the Providing 30 days notice would be mentioned in this preamble as being contrary to public interest because preamble, 22 CFR part 171 is amended available in the docket, go to http:// as follows: immediate action is needed to protect www.regulations.gov, type USCG–2015– life and property from the hazards PART 171—[AMENDED] 1121 in the ‘‘SEARCH’’ box and click associated with and resulting from high ‘‘SEARCH.’’ Click on Open Docket waters. ■ 1. The authority citation for part 171 Folder on the line associated with this III. Legal Authority and Need for Rule continues to read as follows: rule. The Coast Guard is issuing this rule Authority: 5 U.S.C. 552, 552a; 22 U.S.C. FOR FURTHER INFORMATION CONTACT: If 2651a; Public Law 95–521, 92 Stat. 1824, as you have questions on this rule, call or under authority in 33 U.S.C. 1231. The amended; E.O. 13526, 75 FR 707; E.O. 12600, email LCDR Sean Peterson, Chief of Captain of the Port Upper Mississippi 52 FR 23781, 3 CFR, 1987 Comp., p. 235. Prevention, U.S. Coast Guard; telephone River determined that potential hazards 314–269–2332, email Sean.M.Peterson@ associated with and resulting from high § 171.36 [Amended] uscg.mil. waters and related recovery efforts are ■ 2. Section 171.36 is amended by SUPPLEMENTARY INFORMATION: present in the area. These hazards adding an entry, in alphabetical order, require additional safety measures in for ‘‘Records Maintained by the Office of I. Table of Abbreviations the form of safety zones extending from Civil Rights, STATE–09’’ to the lists in mile 109.9 to 185.5 on the UMR and paragraphs (b)(5) and (6). BNM Broadcast Notice to Mariners mile 0 to 128.9 on the ILR to protect CFR Code of Federal Regulations those operating in the area and for the Joyce A. Barr, COTP Captain of the Port DHS Department of Homeland Security Coast Guard to maintain navigational Assistant Secretary for Administration, U.S. safety. Department of State. E.O. Executive order FR Federal Register [FR Doc. 2016–00557 Filed 1–19–16; 8:45 am] IV. Discussion of the Rule ILR Illinois River BILLING CODE 4710–10–P NPRM Notice of proposed rulemaking The Coast Guard is establishing two Pub. L. Public Law temporary emergency safety zones § Section prohibiting access to the UMR between DEPARTMENT OF HOMELAND UMR Upper Mississippi River miles 109.9 and 185.5 and the ILR SECURITY U.S.C. United States Code between miles 0 and 128.9, extending the entire widths of the rivers beginning Coast Guard II. Background Information and at 3:00 p.m. on December 28, 2015, Regulatory History through 11:59 p.m. on January 22, 2016 33 CFR Part 165 The Coast Guard is issuing this or until waters recede and conditions [Docket Number USCG–2015–1121] temporary rule without prior notice and allow for safe navigation, whichever opportunity to comment pursuant to occurs earlier. Deviation from the RIN 1625–AA00 authority under section 4(a) of the emergency safety zones may be Safety Zone; Upper Mississippi River Administrative Procedure Act (APA) (5 requested and will be considered on a and Illinois River, MO and IL U.S.C. 553(b)). This provision case-by-case basis as specifically authorizes an agency to issue a rule authorized by the COTP or a designated AGENCY: Coast Guard, DHS. without prior notice and opportunity to representative. Deviation requests will

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be considered and reviewed on a case- understanding this rule. If the rule their discretionary regulatory actions. In by-case basis. The COTP may be would affect your small business, particular, the Act addresses actions contacted by telephone at 314–269– organization, or governmental that may result in the expenditure by a 2332 or can be reached by VHF–FM jurisdiction and you have questions State, local, or tribal government, in the channel 16. concerning its provisions or options for aggregate, or by the private sector of compliance, please contact the person V. Regulatory Analyses $100,000,000 (adjusted for inflation) or listed in the FOR FURTHER INFORMATION more in any one year. Though this rule We developed this rule after CONTACT section. will not result in such an expenditure, considering numerous statutes and Small businesses may send comments we do discuss the effects of this rule executive orders (E.O.s) related to on the actions of Federal employees elsewhere in this preamble. rulemaking. Below we summarize our who enforce, or otherwise determine analyses based on a number of these compliance with, Federal regulations to F. Environment statutes and E.O.s, and we discuss First the Small Business and Agriculture We have analyzed this rule under Amendment rights of protestors. Regulatory Enforcement Ombudsman Department of Homeland Security A. Regulatory Planning and Review and the Regional Small Business Management Directive 023–01 and Regulatory Fairness Boards. The Commandant Instruction M16475.lD, E.O.s 12866 and 13563 direct agencies Ombudsman evaluates these actions which guide the Coast Guard in to assess the costs and benefits of annually and rates each agency’s complying with the National available regulatory alternatives and, if responsiveness to small business. If you Environmental Policy Act of 1969 (42 regulation is necessary, to select wish to comment on actions by U.S.C. 4321–4370f), and have regulatory approaches that maximize employees of the Coast Guard, call 1– determined that this action is one of a net benefits. E.O. 13563 emphasizes the 888–REG–FAIR (1–888–734–3247). The category of actions that do not importance of quantifying both costs Coast Guard will not retaliate against individually or cumulatively have a and benefits, of reducing costs, of small entities that question or complain significant effect on the human harmonizing rules, and of promoting about this rule or any policy or action environment. This rule involves a flexibility. This rule has not been of the Coast Guard. closure of the UMR between miles 109.9 designated a ‘‘significant regulatory and 185.5 and the ILR between miles 0 C. Collection of Information action,’’ under E.O. 12866. Accordingly, and 128.9. It is categorically excluded it has not been reviewed by the Office This rule will not call for a new from further review under paragraph of Management and Budget. This rule collection of information under the 34(g) of Figure 2–1 of the Commandant establishes temporary emergency safety Paperwork Reduction Act of 1995 (44 Instruction. A preliminary zones placing restrictions on vessels U.S.C. 3501–3520). environmental analysis checklist transiting the UMR between miles 109.9 supporting this determination and a and 185.5 and the ILR between miles 0 D. Federalism and Indian Tribal Governments Categorical Exclusion Determination are and 128.9. Notifications of enforcement available in the docket where indicated times will be communicated to the A rule has implications for federalism under ADDRESSES. We seek any marine community via BNM. The under E.O. 13132, Federalism, if it has comments or information that may lead impacts on navigation will be limited to a substantial direct effect on the States, to the discovery of a significant ensure the safety of mariners and on the relationship between the national environmental impact from this rule. vessels during hazardous conditions government and the States, or on the associated with high waters. distribution of power and G. Protest Activities responsibilities among the various B. Impact on Small Entities The Coast Guard respects the First levels of government. We have analyzed Amendment rights of protesters. The Regulatory Flexibility Act of this rule under that Order and have Protesters are asked to contact the 1980, 5 U.S.C. 601–612, as amended, determined that it is consistent with the person listed in the FOR FURTHER requires Federal agencies to consider fundamental federalism principles and INFORMATION CONTACT section to the potential impact of regulations on preemption requirements described in coordinate protest activities so that your small entities during rulemaking. The E.O. 13132. message can be received without term ‘‘small entities’’ comprises small Also, this rule does not have tribal jeopardizing the safety or security of businesses, not-for-profit organizations implications under E.O. 13175, people, places or vessels. that are independently owned and Consultation and Coordination with operated and are not dominant in their Indian Tribal Governments, because it List of Subjects in 33 CFR Part 165 fields, and governmental jurisdictions does not have a substantial direct effect Harbors, Marine safety, Navigation with populations of less than 50,000. on one or more Indian tribes, on the (water), Reporting and recordkeeping The Coast Guard certifies under 5 U.S.C. relationship between the Federal requirements, Security measures, 605(b) that this rule will not have a Government and Indian tribes, or on the Waterways. significant economic impact on a distribution of power and For the reasons discussed in the substantial number of small entities. responsibilities between the Federal preamble, the Coast Guard amends 33 While some owners or operators of Government and Indian tribes. If you CFR part 165 as follows: vessels intending to transit the safety believe this rule has implications for zones may be small entities, for the federalism or Indian tribes, please PART 165—REGULATED NAVIGATION reasons stated in section V. A. above, contact the person listed in the FOR AREAS AND LIMITED ACCESS AREAS this rule will not have significant FURTHER INFORMATION CONTACT section economic impact on any vessel owner above. ■ 1. The authority citation for part 165 or operator. continues to read as follows: E. Unfunded Mandates Reform Act Under section 213(a) of the Small Authority: 33 U.S.C. 1231; 50 U.S.C. 191; Business Regulatory Enforcement The Unfunded Mandates Reform Act 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; Fairness Act of 1996 (Pub. L. 104–121), of 1995 (2 U.S.C. 1531–1538) requires Department of Homeland Security Delegation we want to assist small entities in Federal agencies to assess the effects of No. 0170.1.

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■ 2. Add § 165.T08–1121 to read as ENVIRONMENTAL PROTECTION the Internet and will be publicly follows: AGENCY available only in hard copy form. Publicly available docket materials are § 165.T08–1121 Safety Zone; Upper 40 CFR Part 52 available through www.regulations.gov Mississippi River between miles 109.9 and [EPA–R03–OAR–2014–0475; FRL–9941–36– or may be viewed during normal 185.5; and Illinois River between miles 0 business hours at the Air Protection and 128.9; MO and IL. Region 3] Division, U.S. Environmental Protection (a) Location. The following areas are Approval and Promulgation of Air Agency, Region III, 1650 Arch Street, safety zones: Quality Implementation Plans; Philadelphia, Pennsylvania 19103. Pennsylvania; Allegheny County’s (1) All waters of the Upper Copies of the state submittal are Adoption of Control Techniques available at the Allegheny County Mississippi River between miles 109.9 Guidelines for Four Industry Health Department, Bureau of and 185.5, extending the entire width of Categories for Control of Volatile Environmental Quality, Division of Air the river; and Organic Compound Emissions Quality, 301 39th Street, Pittsburgh, (2) All waters of the Illinois River Pennsylvania 15201 and at the AGENCY: Environmental Protection between miles 0 and 128.9, extending Agency (EPA). Pennsylvania Department of the entire width of the river. Environmental Protection, Bureau of Air ACTION: Final rule. (b) Definitions. Designated Quality Control, P.O. Box 8468, 400 representative means a Coast Guard SUMMARY: The Environmental Protection Market Street, Harrisburg, Pennsylvania Patrol Commander, including a Coast Agency (EPA) is converting a 17105. Guard coxswain, petty officer, or other conditional approval of a state FOR FURTHER INFORMATION CONTACT: officers operating a Coast Guard vessel implementation plan (SIP) revision Irene Shandruk, (215) 814–2166, or by and a Federal, State, and local officer submitted by the Commonwealth of email at [email protected]. designated by or assisting the Captain of Pennsylvania on behalf of the Allegheny SUPPLEMENTARY INFORMATION: the Port (COTP) Upper Mississippi County Health Department (ACHD) to a full approval. This SIP revision includes I. Background River in the enforcement of the safety amendments to the ACHD Rules and zones. Section 172(c)(1) of the CAA provides Regulations, Article XXI, Air Pollution that SIPs for nonattainment areas must (c) Regulations. (1) Under the general Control, and meets the requirement to include reasonably available control safety zone regulations in subpart C of adopt reasonably available control measures (RACM), including RACT, for this part, you may not enter the safety technology (RACT) for sources covered sources of emissions. Section zones described in paragraph (a) of this by EPA’s control techniques guidelines 182(b)(2)(A) provides that for certain section unless authorized by the COTP (CTG) for the following categories: nonattainment areas, states must revise or the COTP’s designated representative. miscellaneous metal and/or plastic parts their SIP to include RACT for sources of surface coating processes; automobile (2) To seek permission to enter, VOC emissions covered by a CTG and light-duty truck assembly coatings; contact the COTP or the COTP’s document issued after November 15, miscellaneous industrial adhesives; and 1990 and prior to the area’s date of representative via VHF–FM channel 16, fiberglass boat manufacturing materials. or through Coast Guard Sector Upper attainment. In 2008, EPA developed Upon review of the submittal, EPA new CTGs for miscellaneous metal and Mississippi River at 314–269–2332. found that the average monomer volatile Those in the safety zones must comply plastic parts coatings, automobile and organic compound (VOC) content limits light-duty assembly coatings, with all lawful orders or directions were referenced but not included in the given to them by the COTP or the miscellaneous industrial adhesives, and regulation for fiberglass boat fiberglass boat manufacturing materials. COTP’s designated representative. manufacturing materials. ACHD has (d) Enforcement periods. This rule is revised the regulation and submitted the II. Summary of SIP Revision effective from 3:00 p.m. on December table of VOC content limits for fiberglass On November 15, 2013, the 28, 2015 through 11:59 p.m. on January boat manufacturing materials to EPA in Pennsylvania Department of 22, 2016, or until waters recede and order to address specific RACT Environmental Protection (PADEP) conditions allow for safe navigation, requirements for Allegheny County. submitted to EPA on behalf of ACHD a whichever occurs first. Therefore, EPA is converting the SIP revision concerning the adoption of conditional approval of the revisions to (e) Informational broadcasts. The the EPA CTGs for miscellaneous metal the Pennsylvania SIP to a full approval and/or plastic parts surface coating COTP or a designated representative in accordance with the requirements of processes, automobile and light-duty will inform the public through the Clean Air Act (CAA). truck assembly coatings, miscellaneous broadcasts notice to mariners of the DATES: This final rule is effective on industrial adhesives, and fiberglass boat enforcement period for the emergency February 19, 2016. manufacturing materials in Allegheny safety zones as well as any changes in ADDRESSES: EPA has established a County. These ACHD regulations, with the dates and times of enforcement. docket for this action under Docket ID a state effective date of June 8, 2013, are Dated: December 28, 2015. Number EPA–R03–OAR–2014–0475. All contained in the ACHD Rules and R.S. Rhodes, documents in the docket are listed in Regulations, Article XXI, Air Pollution Commander, U.S. Coast Guard, Alternate the www.regulations.gov Web site. Control sections 2105.83 (Control of Captain of the Port Upper Mississippi River. Although listed in the electronic docket, VOC Emissions from Miscellaneous some information is not publicly Metal and/or Plastic Parts Surface [FR Doc. 2016–01017 Filed 1–19–16; 8:45 am] available, i.e., confidential business Coating Processes), 2105.84 (Control of BILLING CODE 9110–04–P information (CBI) or other information VOC Emissions from Automobile and whose disclosure is restricted by statute. Light-Duty Truck Assembly Coatings), Certain other material, such as 2105.85 (Control of VOC Emissions from copyrighted material, is not placed on Miscellaneous Industrial Adhesives),

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and 2105.86 (Control of VOC Emissions On September 9, 2015, PADEP on behalf in the Unfunded Mandates Reform Act from Fiberglass Boat Manufacturing of ACHD, submitted a supplemental SIP of 1995 (Pub. L. 104–4); Materials) in order to establish: (1) revision containing the table of • Does not have Federalism Applicability for miscellaneous metal monomer VOC content limits for implications as specified in Executive and/or plastic parts surface coating fiberglass boat manufacturing materials. Order 13132 (64 FR 43255, August 10, processes, automobile and light-duty EPA has determined that ACHD has 1999); truck assembly coatings, miscellaneous satisfied this condition. Therefore, EPA • Is not an economically significant industrial adhesives, and fiberglass boat is removing the conditional nature of its regulatory action based on health or manufacturing materials; (2) approval and replacing it with a full safety risks subject to Executive Order exemptions; (3) record-keeping and approval of Allegheny County’s 13045 (62 FR 19885, April 23, 1997); • work practice requirements; and (4) adoption of CTGs for miscellaneous Is not a significant regulatory action emission limitations. Upon review of metal and/or plastic parts surface subject to Executive Order 13211 (66 FR the November 15, 2013 submittal, EPA coating processes, automobile and light- 28355, May 22, 2001); • found that the table of average monomer duty truck assembly coatings, is not subject to requirements of VOC content limits for fiberglass boat miscellaneous industrial adhesives, and Section 12(d) of the National manufacturing materials was referenced; fiberglass boat manufacturing materials. Technology Transfer and Advancement however, the table was erroneously not Act of 1995 (15 U.S.C. 272 note) because included in the regulation. Pursuant to IV. Incorporation by Reference application of those requirements would section 110(k)(4) of the CAA, PADEP In this rulemaking, EPA is finalizing be inconsistent with the CAA; and • submitted on behalf of ACHD a letter regulatory text that includes Does not provide EPA with the dated July 16, 2014 committing to incorporation by reference. In discretionary authority to address, as submit a SIP revision to EPA addressing accordance with requirements of 1 CFR appropriate, disproportionate human this error. 51.5, EPA is finalizing the incorporation health or environmental effects, using On March 26, 2013 (78 FR 18241), by reference the ACHD regulations practicable and legally permissible EPA conditionally approved the SIP regarding control of VOC emissions methods, under Executive Order 12898 revision concerning the adoption of discussed in section II of this preamble. (59 FR 7629, February 16, 1994). these CTGs. On September 9, 2015, EPA has made, and will continue to In addition, this rule does not have PADEP submitted to EPA on behalf of make, these documents generally tribal implications as specified by ACHD a supplemental SIP revision available through www.regulations.gov Executive Order 13175 (65 FR 67249, containing the regulation with the and/or may be viewed at the EPA November 9, 2000), because the SIP is missing table of average monomer VOC Region III office (see the ADDRESSES not approved to apply in Indian country content limits, and thereby addressed its section of this preamble for more located in the state, and EPA notes that July 16, 2014 commitment. On information). it will not impose substantial direct November 10, 2015, EPA published a costs on tribal governments or preempt notice of proposed rulemaking V. Statutory and Executive Order tribal law. converting the conditional approval to a Reviews B. Submission to Congress and the full approval. 80 FR 69627. Other A. General Requirements Comptroller General specific requirements and the rationale for EPA’s proposed rulemaking action Under the CAA, the Administrator is The Congressional Review Act, 5 are explained in the NPR and will not required to approve a SIP submission U.S.C. 801 et seq., as added by the Small be restated here. No public comments that complies with the provisions of the Business Regulatory Enforcement were received on the NPR. CAA and applicable federal regulations. Fairness Act of 1996, generally provides 42 U.S.C. 7410(k); 40 CFR 52.02(a). that before a rule may take effect, the III. Final Action Thus, in reviewing SIP submissions, agency promulgating the rule must In this rulemaking action, EPA is EPA’s role is to approve state choices, submit a rule report, which includes a converting to a full approval the provided that they meet the criteria of copy of the rule, to each House of the conditional approval of the the CAA. Accordingly, this action Congress and to the Comptroller General Commonwealth of Pennsylvania SIP merely conditionally approves state law of the United States. EPA will submit a revision submitted on November 15, as meeting federal requirements and report containing this action and other 2013, as supplemented with the does not impose additional required information to the U.S. Senate, September 9, 2015 SIP submittal, which requirements beyond those imposed by the U.S. House of Representatives, and consists of amendments to the ACHD state law. For that reason, this action: the Comptroller General of the United Rules and Regulations, Article XXI, Air • Is not a ‘‘significant regulatory States prior to publication of the rule in Pollution Control for adopting RACT for action’’ subject to review by the Office the Federal Register. A major rule sources covered by EPA’s CTG of Management and Budget under cannot take effect until 60 days after it standards for the following categories; Executive Order 12866 (58 FR 51735, is published in the Federal Register. miscellaneous metal and/or plastic parts October 4, 1993); This action is not a ‘‘major rule’’ as surface coating processes, automobile • Does not impose an information defined by 5 U.S.C. 804(2). and light-duty truck assembly coatings, collection burden under the provisions miscellaneous industrial adhesives, and of the Paperwork Reduction Act (44 C. Petitions for Judicial Review fiberglass boat manufacturing materials. U.S.C. 3501 et seq.); Under section 307(b)(1) of the CAA, Pursuant to section 110(k)(4) of the • Is certified as not having a petitions for judicial review of this CAA, the conditional approval was significant economic impact on a action must be filed in the United States based upon a letter from PADEP on substantial number of small entities Court of Appeals for the appropriate behalf of ACHD dated July 16, 2014 under the Regulatory Flexibility Act (5 circuit by March 21, 2016. Filing a committing to submit to EPA an U.S.C. 601 et seq.); petition for reconsideration by the additional SIP revision to address the • Does not contain any unfunded Administrator of this final rule does not deficiency in the regulation for mandate or significantly or uniquely affect the finality of this action for the fiberglass boat manufacturing materials. affect small governments, as described purposes of judicial review nor does it

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extend the time within which a petition List of Subjects in 40 CFR Part 52 Authority: 42 U.S.C. 7401 et seq. for judicial review may be filed, and Environmental protection, Air Subpart NN—Pennsylvania shall not postpone the effectiveness of pollution control, Incorporation by such rule or action. reference, Ozone, Reporting and ■ 2. In § 52.2020, the table in paragraph This action pertaining to ACHD’s recordkeeping requirements, Volatile (c)(2) is amended by revising the entries adoption of CTG standards for organic compounds. for ‘‘2105.83,’’ ‘‘2105.84,’’ ‘‘2105.85,’’ miscellaneous metal and/or plastic parts Dated: December 30, 2015. and ‘‘2105.86’’ under part E, subpart 7. surface coating processes, automobile Shawn M. Garvin, The revisions read as follows: and light-duty truck assembly coatings, Regional Administrator, Region III. miscellaneous industrial adhesives, and 40 CFR part 52 is amended as follows: § 52.2020 Identification of plan. fiberglass boat manufacturing materials * * * * * may not be challenged later in PART 52—APPROVAL AND proceedings to enforce its requirements. PROMULGATION OF (c) * * * (See section 307(b)(2)). IMPLEMENTATION PLANS (2) * * * ■ 1. The authority citation for part 52 continues to read as follows:

Article XX or State effective Additional explanation/ XXI citation Title/subject date EPA approval date § 52.2063 citation

******* Part E—Source Emission and Operating Standards

******* Subpart 7—Miscellaneous VOC Sources

******* 2105.83 ...... Control of VOC Emissions from Miscellaneous 6/8/13 1/20/16 [Insert Federal New regulation. Metal and/or Plastic Parts Surface Coating Proc- Register Citation]. esses. 2105.84 ...... Control of VOC Emissions from Automobile and 6/8/13 1/20/16 [Insert Federal New regulation. Light-Duty Truck Assembly Coatings. Register Citation]. 2105.85 ...... Control of VOC Emissions from Miscellaneous In- 6/8/13 1/20/16 [Insert Federal New regulation. dustrial Adhesives. Register Citation]. 2105.86 ...... Control of VOC Emissions from Fiberglass Boat 6/19/15 1/20/16 [Insert Federal New regulation. Manufacturing Materials. Register Citation].

*******

* * * * * Moderate nonattainment area, including ADDRESSES: The EPA has established areas of Indian country within it, as a docket number EPA–R09–OAR–2014– § 52.2023 [Amended] Serious nonattainment area for the 2006 0636 for this action. Generally, ■ 3. Section 52.2023 is amended by PM2.5 national ambient air quality documents in the docket for this action removing paragraph (m). standards (NAAQS), based on the EPA’s are available electronically at http:// [FR Doc. 2016–00656 Filed 1–19–16; 8:45 am] determination that the area cannot www.regulations.gov or in hard copy at BILLING CODE 6560–50–P practicably attain these NAAQS by the EPA Region IX, 75 Hawthorne Street, applicable attainment date of December San Francisco, California 94105–3901. 31, 2015. As a consequence of this While all documents in the docket are ENVIRONMENTAL PROTECTION reclassification, California must submit, listed at http://www.regulations.gov, AGENCY no later than 18 months from the some information may be publicly effective date of this reclassification, a available only at the hard copy location 40 CFR Parts 52 and 81 Serious area attainment plan including (e.g., copyrighted material, large maps, [EPA–R09–OAR–2014–0636; FRL–9940–83– a demonstration that the plan provides multi-volume reports), and some may Region 9] for attainment of the 2006 24-hour PM2.5 not be publicly available in either standards in the SJV area as location (e.g., confidential business Designation of Areas for Air Quality expeditiously as practicable and no later information (CBI)). To inspect the Planning Purposes; California; San than December 31, 2019. The State must docket materials in person, please Joaquin Valley; Reclassification as also submit, no later than 12 months schedule an appointment during normal Serious Nonattainment for the 2006 after the effective date of this business hours with the contact listed in PM NAAQS 2.5 reclassification, nonattainment new the FOR FURTHER INFORMATION CONTACT AGENCY: U.S. Environmental Protection source review (NNSR) SIP revisions to section. Agency (EPA). implement the 2006 PM2.5 NAAQS in the SJV area, to the extent those FOR FURTHER INFORMATION CONTACT: ACTION: Final rule. requirements have not previously been Wienke Tax, Air Planning Office (AIR– SUMMARY: The Environmental Protection met. 2), U.S. Environmental Protection Agency (EPA) is taking final action to DATES: This rule is effective on February Agency, Region 9, (415) 947–4192, reclassify the San Joaquin Valley (SJV) 19, 2016. [email protected].

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SUPPLEMENTARY INFORMATION: submission and ambient air quality data direct PM2.5 and PM2.5 precursors in Throughout this document, ‘‘we,’’ ‘‘us’’ for the 2013–2014 period indicating that accordance with CAA section 189(b)(3), and ‘‘our’’ refer to EPA. it is not practicable for certain the EPA proposed to require the State to monitoring sites within the SJV area to submit these NNSR SIP revisions no Table of Contents show PM2.5 design values at or below later than 12 months after the effective I. Proposed Action the level of the 2006 PM2.5 NAAQS by date of final reclassification, and II. Summary of Final Action December 31, 2015.3 requested comment on this proposed III. Public Comments and EPA Responses In our proposed rule, we explained 12-month timeframe. IV. Final Action that, under section 188(c)(2) of the Act, A. Reclassification as Serious the attainment date for a Serious area II. Summary of Final Action Nonattainment and Applicable ‘‘shall be as expeditiously as practicable Attainment Dates Today we are finalizing only our B. Reclassification of Reservation Areas of but no later than the end of the tenth proposal to reclassify the SJV area as a Indian Country calendar year beginning after the area’s Serious nonattainment area for the 2006 designation as nonattainment . . .’’ The C. PM2.5 Serious Area SIP Requirements PM2.5 NAAQS. We are not taking final V. Statutory and Executive Order Reviews SJV was designated nonattainment for action at this time on our proposal to the 2006 PM2.5 NAAQS effective approve elements of California’s I. Proposed Action December 14, 2009.4 Therefore, as a Moderate area plan for the 2006 PM2.5 On January 13, 2015 (80 FR 1816), the result of our reclassification of the SJV NAAQS in the SJV and will complete area as a Serious nonattainment area, EPA proposed to approve portions of that action at a later time. the attainment date under section California’s Moderate area plan to 188(c)(2) of the Act for the 2006 PM As a consequence of our address the 2006 primary and secondary 2.5 NAAQS in this area is as expeditiously reclassification of the SJV area as 24-hour PM NAAQS in the SJV and to 2.5 as practicable but no later than Serious nonattainment for the 2006 reclassify the SJV nonattainment area, December 31, 2019. PM2.5 NAAQS, California is required to including areas of Indian country within Our proposed rule also identified the submit additional SIP revisions to it, from Moderate nonattainment to additional Serious area attainment plan satisfy the statutory requirements that Serious nonattainment for these elements that California would, upon apply to Serious areas, including the standards, based on the EPA’s reclassification, have to submit to satisfy requirements of subpart 4 of part D, title determination that the area cannot the statutory requirements that apply to I of the Act. For the reasons provided in practicably attain the NAAQS by the Serious areas, including the Section III of this preamble, the EPA is applicable attainment date of December requirements of subpart 4 of part D, title requiring the State to adopt and submit 1 31, 2015. Under section 188(b)(1) of the I of the Act.5 The EPA explained that, all required components of the Serious CAA, prior to an area’s attainment date, under section 189(b)(2) of the Act, the Area attainment plan for the SJV no the EPA has discretionary authority to State must submit the required later than 18 months after the effective reclassify as a Serious nonattainment provisions to implement best available date of this reclassification. area ‘‘any area that the Administrator control measures (BACM), including determines cannot practicably attain’’ We are finalizing our proposal to best available control technology require that California adopt and submit the PM2.5 NAAQS by the Moderate area (BACT), no later than 18 months after attainment date.2 On March 4, 2013, the NNSR SIP revisions to implement reclassification and must submit the subpart 4 requirements for the 2006 State submitted a Moderate area required attainment demonstration no attainment plan demonstrating that the PM2.5 NAAQS in the SJV area no later later than 4 years after reclassification. than 12 months after the effective date SJV area cannot practicably attain the Given the December 31, 2019, Serious 2006 PM standards by the applicable of this reclassification, to the extent 2.5 area attainment date applicable to this those requirements have not already Moderate area attainment date of area under CAA section 188(c)(2), December 31, 2015. The EPA’s proposed been met by the NNSR SIP revisions due however, we noted that we expect the May 7, 2016 for purposes of reclassification of the SJV area was State to adopt and submit a Serious area 7 implementing the 1997 PM2.5 NAAQS. based upon our evaluation of the State’s plan for these NAAQS well before the statutory SIP submittal deadline in CAA The attainment date under section 1 See proposed rule at 80 FR 1816 (January 13, section 189(b)(2).6 188(c)(2) of the Act for the 2006 PM2.5 2015) for a more detailed discussion of the With respect to the nonattainment NAAQS in this area is as expeditiously background for this action, including the history of as practicable but no later than the PM2.5 NAAQS established in 2006, health new source review (NNSR) program effects and sources of PM2.5, designation of the SJV revisions to establish appropriate December 31, 2019. as nonattainment for the PM2.5 standards, and the ‘‘major stationary source’’ thresholds for EPA’s actions on the submittals from the state of III. Public Comments and EPA California to address the nonattainment area Responses 3 planning requirements for the 2006 PM2.5 NAAQS The PM2.5 monitoring data that EPA reviewed in the SJV. indicate that 24-hour PM2.5 design values are at 65 The EPA received two comment 2 Section 188(b)(1) of the Act is a general ug/m3 in the SJV, which is well above the level of the 2006 PM NAAQS (35 ug/m3). EPA also letters on our proposed actions. expression of delegated rulemaking authority. See 2.5 Comment letters were submitted by the ‘‘State Implementation Plans; General Preamble for calculated ‘‘maximum allowed’’ 2015 the Implementation of Title I of the Clean Air Act concentrations that would enable the area to attain San Joaquin Valley Air Pollution Amendments of 1990,’’ 57 FR 13498 (April 16, the 2006 24-hour PM2.5 NAAQS by the end of 2015 Control District (‘‘SJVAPCD’’ or 1992) (hereafter ‘‘General Preamble’’) at 13537, n. and found that all monitoring sites examined— Bakersfield-California Ave, Bakersfield-Planz Rd., ‘‘District’’), and by Earthjustice on 15. Although subparagraphs (A) and (B) of section behalf of the Central Valley Air Quality 188(b)(1) contain specific timeframes for the EPA to Fresno-Garland, Fresno-Pacific, and Hanford— reclassify any areas that it determines cannot would have to record negative PM2.5 concentrations Coalition, Greenaction, the Association in 2015 to show PM2.5 design values at or below the practicably attain the PM2.5 standards by the of Irritated Residents, the Sierra Club— applicable attainment date, these subparagraphs do level of the 2006 PM2.5 NAAQS. See 80 FR 1816, Tehipite Chapter, and Global not restrict the general authority to reclassify an 1834 and n. 69 (January 13, 2015). 4 Community Monitor, (‘‘Earthjustice’’) on area, as appropriate, at any time before the 74 FR 58688 (November 13, 2009). attainment date but simply specify that, at a 5 See proposed rule at 80 FR 1842 (January 13, minimum, the EPA’s authority must be exercised at 2015). 7 See 40 CFR 52.245(c) and 80 FR 18528, 18533 certain times. See id. 6 Id. at 1843. (April 7, 2015).

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February 27, 2015, prior to the close of nonattainment for the 1997 PM2.5 contends that the EPA’s failure to apply the comment period on our proposal.8 NAAQS.9 Nonattainment NSR SIP these deadlines will ‘‘serve to Because we are finalizing only our revisions that satisfy the Serious Area perpetuate EPA’s error’’ in not initially proposal to reclassify the SJV area as requirements of CAA sections 189(b)(3) applying subpart 4 requirements to Serious nonattainment for the 2006 and 189(e) for purposes of the 1997 implementation of the PM2.5 NAAQS. PM2.5 NAAQS, we are responding only PM2.5 NAAQS may also satisfy these Earthjustice further argues that to comments pertaining to the requirements for the 2006 PM2.5 although the EPA did not interpret the reclassification and its consequences. NAAQS. schedules in section 189(b)(2) to apply We summarize and respond to the The District’s comments about the to PM2.5 plans prior to the D.C. Circuit’s relevant comments below. In a separate criteria for an extension of the decision in Natural Res. Def. Council v. rulemaking, we will take final action on attainment date for the 1997 PM2.5 EPA, 706 F.3d 428 (D.C. Cir. 2013) California’s submitted Moderate area standards under CAA section 188(e) are (‘‘NRDC’’), the agency’s decision to plan for the 2006 PM2.5 NAAQS in the not relevant to this action, which apply these deadlines would not SJV and will respond to comments pertains only to the SJV area’s represent improper retroactive pertaining to our proposed action on the classification for the 2006 PM2.5 NAAQS application of the statute. In support, submitted plan at that time. and related SIP submission deadlines. Earthjustice cites the U.S. Supreme Comment 1: The SJVAPCD supports This reclassification action does not Court in Rivers v. Roadway Express, the EPA’s proposal to require the state affect the State’s obligations with Inc., 511 U.S. 298 (1994) for the to submit a revised Nonattainment New respect to the 1997 PM2.5 standards or proposition that judicial construction of Source Review (NNSR) rule within any other NAAQS. We previously a statute interprets the statute’s meaning twelve months of the EPA’s serious responded to the District’s comments ‘‘continuously since the date when it nonattainment reclassification. concerning the relevance of NNSR SIP became law,’’ ‘‘before as well as after’’ However, the District asks for the EPA revisions to the section 188(e) criteria the court’s decision. Notwithstanding to clarify that this submission will not for an extension of the attainment date disagreements about what constitutes be required before the EPA can grant an for the 1997 PM2.5 standards, as part of retroactive application of subpart 4 extension of the attainment deadline for our final action reclassifying the SJV deadlines, however, Earthjustice argues the 1997 PM2.5 standards under CAA area as a Serious nonattainment area for that the EPA should exercise its section 188(e). The District comments the 1997 PM2.5 NAAQS (see 80 FR discretion, as it has done for the NSR that the EPA has provided ‘‘no valid 18528, April 7, 2015). SIP deadline, to set a December 14, 2016 justification’’ for requiring the revised Comment 2: Earthjustice supports the deadline for submission of the serious NNSR rule to be submitted before the EPA’s proposed reclassification of the area attainment demonstration. EPA can approve the attainment SJV to serious nonattainment, but Response 2: We disagree with the deadline extension, and argues that comments that the agency should commenter’s assertion that the CAA section 188(e) contains ‘‘no impose earlier deadlines for the deadlines in CAA section 189(b)(2) for mention of NSR, either directly or by submission of BACM measures and the submission of the State’s BACM plan implication, that would lead one to serious area attainment demonstration. and Serious Area attainment plan believe that the updated NSR rule is Earthjustice states that CAA section should be measured from December 14, required prior to approval of the 189(b)(2) requires a state to submit an 2012. Section 189(b)(1) of the Act attainment deadline extension.’’ The attainment demonstration for an area requires that ‘‘each State in which all or District asserts that the EPA is asking it within 4 years after the area is part of a Serious Area is located’’ submit to begin an expedited process to adopt reclassified to serious nonattainment a Serious Area attainment a serious area NSR rule before the area and a BACM plan within 18 months demonstration and BACM provisions. has been reclassified as serious after the area is reclassified. Earthjustice Section 189(b)(2) requires the State to nonattainment and without argues that, had the EPA applied the submit the Serious Area attainment implementation rules or guidance. requirements of subpart 4 at the time, demonstration ‘‘no later than 4 years Response 1: We are finalizing our the EPA would have had to reclassify after reclassification of the area to proposal to require that California adopt the SJV area as Serious within 18 Serious’’ and to submit the BACM and submit NNSR SIP revisions to months after the required date for the provisions ‘‘no later than 18 months implement subpart 4 requirements for area’s Moderate area plan, i.e., by after reclassification of the area as a the 2006 PM2.5 NAAQS in the SJV area December 14, 2012, and that the SIP Serious Area.’’ These provisions of the no later than 12 months after the submission deadlines should therefore Act plainly require that states submit effective date of this reclassification. We be measured from this date. According Serious Area SIP elements only for note that California is required to to Earthjustice, this would mean that the PM2.5 nonattainment areas that have submit NNSR SIP revisions addressing BACM measures were due June 14, been reclassified as Serious under the requirements for Serious PM2.5 2014, and that the serious area subpart 4. nonattainment areas under subpart 4 by attainment demonstration is due Prior to this reclassification action, May 7, 2016, as a result of our previous December 14, 2016. For this reason, the SJV area was classified as a reclassification of the SJV as Serious Earthjustice asserts that the EPA should Moderate Area for the 2006 PM2.5 declare the BACM submission already NAAQS and therefore was not subject to 8 See letter dated February 27, 2015, from Sheraz overdue (triggering a sanctions clock), the requirements for Serious Area plans Gill, Director of Strategies and Incentives at and should require the state to submit in CAA section 189(b) for these NAAQS. SJVAPCD, to Wienke Tax, EPA Region 9, ‘‘Re: its attainment demonstration by no later Because the EPA did not reclassify the Docket No. EPA–R09–OAR–2014–0636, Comments on Proposed Approval and Promulgation of than December 14, 2016. Earthjustice SJV area as a Serious Area effective Implementation Plans; Designation of Areas for Air December 14, 2012, it is not appropriate Quality Planning Purposes; California; San Joaquin 9 See 40 CFR 52.245(c) and 80 FR 18528, 18533 to establish SIP submission deadlines Valley Moderate Area Plan and Reclassification as (April 7, 2015). We are making minor clarifications under section 189(b)(2) based on a Serious Nonattainment for the 2006 PM2.5 NAAQS,’’ to the regulatory text in 40 CFR 52.245(c) to and letter dated February 27, 2015 from Paul Cort indicate that the May 7, 2016 deadline therein December 14, 2012 reclassification date. and Adenike Adeyeye, Earthjustice, to Ms. Wienke pertains only to NNSR SIP revisions necessary to Moreover, to do so in this instance Tax, Air Planning Office, USEPA Region 9. implement the 1997 PM2.5 NAAQS. would mean that the BACM provisions

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are overdue (as of June 14, 2014) and reiterated this interpretation of section 188(b)(1) as a general grant of authority that the Serious Area attainment 188(b)(1) in the 1994 PM–10 to also reclassify initial PM–10 areas at demonstration is due December 14, Addendum 14 and in several later points in time before the 2016, less than one year after the discretionary reclassification actions attainment date.19 effective date of this final subsequent to the 1990 CAA Likewise, the EPA has long reclassification action. We do not Amendments.15 interpreted section 188(b)(1)(B) as believe that the NRDC court’s January 4, Specifically, with respect to areas establishing a ‘‘timeframe within which 2013 decision should be interpreted so designated nonattainment by operation EPA is to reclassify appropriate areas as to retroactively impose on the State of law upon enactment of the 1990 CAA designated nonattainment for PM–10 subpart 4 requirements and deadlines of Amendments (i.e., ‘‘initial’’ PM–10 subsequent to enactment of the 1990 which it had no notice.10 nonattainment areas), the EPA’s Amendments’’ but not as a limitation on We also disagree with the longstanding interpretation of section EPA’s general authority to reclassify commenter’s argument that, had the 188(b)(1)(A) has been that ‘‘the amended such areas at any time before the EPA applied subpart 4, the EPA would Act specifies certain dates by which applicable attainment date.20 In the PM– have had to reclassify the SJV area by EPA must propose to reclassify 10 Addendum, the EPA reiterated its December 14, 2012. The commenter appropriate moderate areas as serious. view that the directive in section contends that the EPA’s authority to . . and take final action,’’ where the 188(b)(1)(B) ‘‘does not restrict EPA’s reclassify a Moderate area as Serious EPA determines that the area cannot general authority, but simply specifies under CAA section 188(b)(1) is available ‘‘practicably’’ attain the PM–10 NAAQS that it is to be exercised, as appropriate, only within the timeframe specified in by December 31, 1994.16 The EPA in accordance with certain dates.’’ 21 section 188(b)(1)(B), i.e., within 18 further explained, however, that ‘‘EPA The EPA recently finalized a months after the due date for the State’s also has discretionary authority under discretionary reclassification action for Moderate area SIP. As explained in the section 188(b)(1) to reclassify any of the SJV PM2.5 nonattainment area 1992 General Preamble, however, these areas as serious at any time, if EPA shortly before the applicable attainment ‘‘[u]nder the plain meaning of the terms determines they cannot practicably date, consistent with this interpretation of section 188(b)(1), EPA has general attain the PM–10 NAAQS by December of CAA section 188(b)(1).22 In light of discretion to reclassify at any time 31, 1994,’’ 17 and provided examples of the EPA’s longstanding and consistent before the applicable attainment date the circumstances that may warrant interpretation of section 188(b)(1) as a any area EPA determines cannot such discretionary reclassification at a general grant of discretionary authority practicably attain the standards by such later date—i.e., after the December 31, to reclassify any Moderate area as a date’’ (emphases added).11 With respect 1991 date specified in section Serious area at any time before the to the dates specified in subsections (A) 188(b)(1)(A).18 In the PM–10 applicable attainment date, based on a and (B) of section 188(b)(1), the EPA Addendum, the EPA stated that determination that the area cannot specifically explained in the General ‘‘[s]ection 188(b)(1)(A) provides an practicably attain the NAAQS by that Preamble that ‘‘[t]hese subparagraphs do accelerated schedule by which EPA is to date, we disagree with the commenter’s not restrict the general authority [in reclassify appropriate initial PM–10 claim that the EPA should have section 188(b)(1)] but simply specify nonattainment areas’’ but reiterated the reclassified the SJV area as Serious by that, at a minimum, it must be exercised Agency’s interpretation of section December 14, 2012. at certain times.’’ 12 This interpretation Upon further consideration and in of section 188(b)(1) as allowing the EPA 14 ‘‘State Implementation Plans for Serious PM– light of the specific circumstances in the 10 Nonattainment Areas, and Attainment Date SJV PM2.5 nonattainment area, however, to reclassify moderate areas as serious Waivers for PM–10 Nonattainment Areas Generally; ‘‘at any time EPA determines that an Addendum to the General Preamble for the the EPA is exercising its discretion to area cannot practicably attain the Implementation of Title I of the Clean Air Act establish a deadline of 18 months from standards by the applicable attainment Amendments of 1990,’’ 59 FR 41998, 41999 (August the effective date of this final 16, 1994) (the ‘‘PM–10 Addendum’’). reclassification action for the State to date’’ facilitates the statutory objective 15 See 58 FR 3334, 3336 (Jan. 8, 1993) of attaining the PM–10 standards—e.g., (discharging EPA’s statutory duty under section submit all required components of the by ensuring that additional control 188(b)(1)(A) to ‘‘reclassify appropriate initial Serious Area attainment plan for the measures such as BACM are moderate PM–10 nonattainment areas as serious by 2006 PM2.5 NAAQS in the SJV. An 18- December 31, 1991’’ but noting EPA’s broad month deadline for submission of these implemented sooner and by expediting discretion under section 188(b)(1) to reclassify the application of more stringent new additional areas at a later date); see also 80 FR SIP elements is appropriate in this source review requirements.13 The EPA 18528 (April 7, 2015) (final discretionary instance because it both enables the reclassification of San Joaquin Valley for 1997 PM2.5 EPA to evaluate the required attainment NAAQS signed March 27, 2015). 10 plan well before the outermost In rulemakings for individual areas subsequent 16 General Preamble, 57 FR 13498, 13537. Under to the NRDC decision, the EPA has explained in section 188(c)(1) of the Act, December 31, 1994 was attainment date applicable to the area detail its view that the requirements of the CAA the latest permissible Moderate area attainment date under CAA section 188(c)(2) and should not be implemented retroactively based for an area designated nonattainment for PM–10 by enables the State to develop its strategy upon the court’s decision. See, e.g., 78 FR 41698 operation of law under the 1990 CAA Amendments. (July 11, 2013) (final redesignation of Indianapolis 17 General Preamble, 57 FR 13498, 13537. to attainment for 1997 annual PM standard). The 19 PM–10 Addendum, 59 FR 41998, 41999 2.5 18 Id. (‘‘The EPA may exercise this discretion U.S. District Court for the District of Colorado (August 16, 1994) (‘‘In the future, EPA anticipates where, for example, EPA originally believed an area recently agreed with the EPA’s position that the that, generally, any decision to reclassify an initial could attain the PM–10 NAAQS by December 31, court’s decision in NRDC does not require PM–10 nonattainment area before the attainment 1994 but later determines that it cannot attain’’); see retroactive application of Subpart 4 requirements. date will be based on specific facts or circumstances also 56 FR 58656, 58657 (Nov. 21, 1991) (noting See WildEarth Guardians v. Gina McCarthy, Case demonstrating that the NAAQS cannot practicably that ‘‘EPA also has discretion to reclassify any of No. 13–CV–1275–WJM–KMT (D. Colo., March 11, be attained by December 31, 1994* * *’’). these areas as serious after December 31, 1991 (e.g., 2014) (dismissing plaintiff’s claim that the EPA 20 after reviewing the State’s PM–10 SIP), if EPA General Preamble, 57 FR at 13537 and PM–10 missed a non-discretionary deadline based on determines they cannot practicably attain the PM– Addendum, 59 FR at 41999. retroactive application of Subpart 4). 10 NAAQS by December 31, 1994’’) and 58 FR 21 PM–10 Addendum, 59 FR 41998, 41999 at n. 11 General Preamble, 57 FR 13498, 13537 at n. 15 3334, 3336 (Jan. 8, 1993) (noting that EPA may in 4 (August 16, 1994). (April 16, 1992). the future reclassify additional PM–10 22 See 80 FR 18528 (April 7, 2015) (final 12 Id. nonattainment areas using its discretionary discretionary reclassification of San Joaquin Valley 13 General Preamble, 57 FR 13498, 13537. authority in section 188(b)(1)). for 1997 PM2.5 NAAQS signed March 27, 2015).

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for attaining the 2006 PM2.5 NAAQS in apply upon reclassification by operation Under section 188(c)(2) of the Act, the conjunction with its development of a of law under section 188(b)(2).26 attainment date for a Serious area ‘‘shall plan to provide for attainment of the Finally, the EPA is requiring be as expeditiously as practicable but no 2012 primary annual PM2.5 NAAQS in California to submit revised later than the end of the tenth calendar this same area, which is due October 15, nonattainment NSR program year beginning after the area’s 2016.23 Although the State’s obligations requirements no later than 12 months designation as nonattainment. . . .’’ with respect to implementation of a after final reclassification, to the extent The SJV area was designated Moderate area plan for the 2012 PM2.5 those requirements have not already nonattainment for the 2006 PM2.5 NAAQS are separate and distinct from been met by the NNSR revisions due NAAQS effective December 14, 2009.29 its obligations with respect to May 7, 2016 for purposes of Therefore, as a result of our implementation of a Serious area plan implementing the 1997 PM2.5 NAAQS in reclassification of the SJV area as a the SJV.27 The Act does not specify a Serious nonattainment area, the for the 2006 PM2.5 NAAQS, it is reasonable in this instance to require the deadline for the State’s submission of attainment date under section 188(c)(2) SIP revisions to meet NNSR program State to develop its control strategies for of the Act for the 2006 PM2.5 NAAQS in requirements to lower the ‘‘major both PM NAAQS in the SJV area in a this area is as expeditiously as 2.5 stationary source’’ threshold from 100 similar timeframe, considering the practicable but no later than December tons per year (tpy) to 70 tpy (CAA 31, 2019. benefits of streamlining these planning section 189(b)(3)) and to address the processes to the extent possible. control requirements for major B. Reclassification of Reservation Areas of Indian Country In addition, an 18-month deadline for stationary sources of PM2.5 precursors submission of the Serious area plan is (CAA section 189(e)) 28 following Eight Indian tribes are located within consistent with both the timeframe for reclassification of a Moderate PM2.5 the boundaries of the San Joaquin initial Moderate area plan submissions nonattainment area as Serious Valley PM2.5 nonattainment area: The upon designation of an area as nonattainment under subpart 4. Big Sandy Rancheria of Mono Indians of nonattainment and the timeframe for Pursuant to the EPA’s gap-filling California, the Cold Springs Rancheria Serious area plan submissions following authority in CAA section 301(a) and to of Mono Indians of California, the North an EPA determination of failure to attain effectuate the statutory control Fork Rancheria of Mono Indians of and reclassification by operation of law requirements in section 189 of the Act, California, the Picayune Rancheria of under CAA section 188(b)(2).24 It is the EPA is requiring the State to submit Chukchansi Indians of California, the reasonable for the EPA to exercise its these NNSR SIP revisions, as well as Santa Rosa Rancheria of the Tachi discretion to establish a similar SIP any necessary analysis of and additional Yokut Tribe, the Table Mountain submission deadline in this instance, control requirements for major Rancheria of California, the Tejon given the proximity of this action to the stationary sources of PM2.5 precursors, Indian Tribe, and the Tule River Indian Moderate area attainment date no later than 12 months after the Tribe of the Tule River Reservation. We have considered the relevance of (December 31, 2015) and the likelihood effective date of final reclassification of our final action to reclassify the SJV that, should the attainment date pass, the SJV area as Serious nonattainment nonattainment area as Serious the EPA would have to determine under for the 2006 PM2.5 NAAQS. nonattainment for the 2006 PM2.5 section 188(b)(2) that the SJV area failed IV. Final Action standards to each tribe located within to attain the PM2.5 NAAQS by that date. the SJV area. As discussed in more Although CAA section 189(b)(2) A. Reclassification as Serious Nonattainment and Applicable detail in our proposed rule, we believe generally provides for up to 4 years after Attainment Date that the same facts and circumstances a discretionary reclassification for the that support the reclassification for the In accordance with section 188(b)(1) State to submit the required attainment non-Indian country lands also support of the Act, the EPA is taking final action demonstration, we find it appropriate in reclassification for reservation areas of to reclassify the SJV area from Moderate this case to establish an earlier SIP Indian country 30 and any other areas of to Serious nonattainment for the 2006 submission deadline to assure timely Indian country where the EPA or a tribe primary and secondary 24-hour PM implementation of the statutory 2.5 has demonstrated that the tribe has 25 standards of 35 mg/m3, based on the requirements. Furthermore, the 18- jurisdiction located within the SJV EPA’s determination that the SJV area month SIP submission deadline that we nonattainment area.31 In this final cannot practicably attain these are finalizing in this action requires action, the EPA is therefore exercising standards by the applicable attainment California to submit its Serious Area our authority under CAA section date of December 31, 2015. plan for the SJV area before the statutory 188(b)(1) to reclassify reservation areas SIP submission deadline that would of Indian country and any other areas of 26 Under CAA section 188(b)(2), the EPA must determine within 6 months after the applicable Indian country where the EPA or a tribe 23 The EPA designated and classified the SJV as attainment date whether the area attained the Moderate nonattainment for the 2012 primary NAAQS by that date. If the EPA determines that a 29 See 74 FR 58688 (November 13, 2009). annual PM2.5 NAAQS effective April 15, 2015. 80 Moderate Area is not in attainment after the 30 ‘‘Indian country’’ as defined at 18 U.S.C. 1151 FR 2206, 2215–16 (January 15, 2015). Under CAA applicable attainment date, the area is reclassified refers to: ‘‘(a) All land within the limits of any section 189(a)(2)(B), California is required to adopt by operation of law as a Serious Area, and the Indian reservation under the jurisdiction of the and submit a plan to provide for attainment of these Serious Area attainment plan is due within 18 United States Government, notwithstanding the NAAQS within 18 months after the nonattainment months after such reclassification. CAA sections issuance of any patent, and, including rights-of-way designation, i.e., by October 15, 2016. 188(b)(2) and 189(b)(2). running through the reservation, (b) all dependent 24 CAA sections 189(a)(2)(B) and 189(b)(2). 27 See 40 CFR 52.245(c) and 80 FR 18528, 18533 Indian communities within the borders of the 25 Section 189(b)(2) establishes outer bounds on (April 7, 2015). United States whether within the original or the SIP submission deadlines and does not preclude 28 Section 189(e) requires that the control subsequently acquired territory thereof, and the EPA’s establishment of earlier deadlines as requirements applicable to major stationary sources whether within or without the limits of a state, and necessary or appropriate to assure consistency of PM2.5 also apply to major stationary sources of (c) all Indian allotments, the Indian titles to which among the required submissions and to implement PM2.5 precursors, except where the state have not been extinguished, including rights-of-way the statutory requirements, including the demonstrates to the EPA’s satisfaction that such running through the same.’’ 31 requirement that attainment be as expeditious as sources do not contribute significantly to PM2.5 See 80 FR 1816, at 1843, 1844 (January 13, practicable. levels that exceed the standard in the area. 2015).

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has demonstrated that the tribe has participate in a conference call but precursors in the area (CAA section jurisdiction geographically located in received no response from the Tribe. No 172(c)(3)); the SJV nonattainment area. Section other Indian tribe has expressed an 7. Contingency measures to be 188(b)(1) broadly authorizes the EPA to interest in discussing this action with implemented if the area fails to meet reclassify a nonattainment area— the EPA. We continue to invite Indian RFP or to attain by the applicable including any such area of Indian tribes in the SJV to contact the EPA with attainment date (CAA section 172(c)(9)); country located within such area—that any questions about the effects of this and the EPA determines cannot practicably reclassification on tribal interests and attain the relevant standards by the air quality. We note that although 8. A revision to the NNSR program to applicable attainment date. eligible tribes may opt to seek EPA establish appropriate ‘‘major stationary 33 In light of the considerations outlined approval of relevant tribal programs source’’ thresholds for direct PM2.5 above and in our proposed rulemaking under the CAA, none of the affected and PM2.5 precursors (CAA section that support retention of a uniformly- tribes will be required to submit an 189(b)(3)). classified PM2.5 nonattainment area, and implementation plan to address this Section 189(b)(2) states, in relevant our finding that it is impracticable for reclassification. part, that the State must submit the the area to attain by the applicable C. PM required BACM provisions ‘‘no later attainment date, we are finalizing our 2.5 Serious Area SIP Requirements than 18 months after reclassification of reclassification of the reservation areas As a consequence of our the area as a Serious Area’’ and must of Indian country and any other areas of reclassification of the SJV area as a Indian country where the EPA or a tribe Serious nonattainment area for the 2006 submit the required attainment demonstration ‘‘no later than 4 years has demonstrated that the tribe has PM2.5 NAAQS, California is required to jurisdiction within the San Joaquin submit additional SIP revisions to after reclassification of the area to Valley nonattainment area to Serious for satisfy the statutory requirements that Serious.’’ For the reasons provided in the 2006 PM2.5 standards. apply to Serious areas, including the Section III of this preamble (Public The effect of reclassification would be requirements of subpart 4 of part D, title Comments and EPA Responses), the to lower the applicable ‘‘major I of the Act. EPA is requiring the State to adopt and stationary source’’ emissions thresholds The Serious area SIP elements that submit all components of the Serious for direct PM2.5 and PM2.5 precursors for California must submit are as follows: area attainment plan for the 2006 PM2.5 purposes of the NNSR program and the 1. Provisions to assure that BACM, NAAQS in the SJV no later than 18 Title V operating permit program (CAA including BACT for stationary sources, months after the effective date of sections 189(b)(3) and 501(2)(B)), thus for the control of direct PM2.5 and PM2.5 reclassification. subjecting more new or modified precursors shall be implemented no Finally, for the reasons provided in stationary sources to these later than 4 years after the area is our proposed rule 34 and in our response requirements. The reclassification may reclassified (CAA section 189(b)(1)(B)); to comments above, we are finalizing also lower the de minimis threshold 2. A demonstration (including air our proposal to require the State to under the CAA’s General Conformity quality modeling) that the plan provides submit NNSR SIP revisions to requirements (40 CFR part 93, subpart for attainment as expeditiously as implement subpart 4 Serious Area B) from 100 tpy to 70 tpy. Under the practicable but no later than December requirements for the 2006 PM NAAQS General Conformity requirements (40 31, 2019, or where the State is seeking 2.5 in the SJV area no later than 12 months CFR part 93, subpart B), federal agencies an extension of the attainment date after the effective date of this bear the responsibility of determining under section 188(e), a demonstration conformity of actions in nonattainment that attainment by December 31, 2019 is reclassification, to the extent those and maintenance areas that require impracticable and that the plan provides requirements have not already been met federal permits, approvals, or funding. for attainment by the most expeditious by the NNSR revisions due May 7, 2016 Such permits, approvals or funding by alternative date practicable (CAA for purposes of implementing the 1997 35 federal agencies for projects in these sections 188(c)(2) and 189(b)(1)(A)); PM2.5 NAAQS in the SJV. areas of Indian country may be more 3. Plan provisions that require Nonattainment NSR SIP revisions that difficult to obtain because of the lower reasonable further progress (RFP) (CAA satisfy the Serious Area requirements of de minimis thresholds. section 172(c)(2)); CAA sections 189(b)(3) and 189(e) for Given the potential implications of 4. Quantitative milestones which are purposes of the 1997 PM2.5 NAAQS may the reclassification, the EPA contacted to be achieved every 3 years until the also satisfy these requirements for the tribal officials early in the process of area is redesignated attainment and 2006 PM2.5 NAAQS. developing this action to permit them to which demonstrate RFP toward V. Statutory and Executive Order have meaningful and timely input into attainment by the applicable date (CAA Reviews its development. The EPA invited tribal section 189(c)); officials to consult during the 5. Provisions to assure that control Additional information about these development of the proposed rule and requirements applicable to major following signature of the proposed statutes and Executive Orders can be stationary sources of direct PM2.5 also 32 found at http://www2.epa.gov/laws- rule. On February 17, 2015, the EPA apply to major stationary sources of received a letter dated January 30, 2015 regulations/laws-and-executive-orders. PM2.5 precursors, except where the State from the Tejon Tribe requesting demonstrates to the EPA’s satisfaction information about the proposed that such sources do not contribute 33 For any Serious area, the terms ‘‘major source’’ reclassification. The EPA subsequently significantly to PM levels that exceed and ‘‘major stationary source’’ include any 2.5 stationary source that emits or has the potential to invited the Tejon Tribe several times to the standard in the area (CAA section emit at least 70 tons per year of PM10 (CAA section 189(e)); 189(b)(3)). 32 As discussed in more detail in our proposed 34 rule, the EPA sent letters to tribal officials inviting 6. A comprehensive, accurate, current See 80 FR 1816, at 1843. (January 13, 2015). government-to-government consultation. The letters inventory of actual emissions from all 35 See 40 CFR 52.245(c) and 80 FR 18528, 18533 can be found in the docket. sources of direct PM2.5 and all PM2.5 (April 7, 2015).

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A. Executive Order 12866: Regulatory Sandy Rancheria of Mono Indians of actions that concern environmental Planning and Review, and Executive California, the Cold Springs Rancheria health or safety risks that the EPA has Order 13563: Improving Regulation and of Mono Indians of California, the North reason to believe may Regulatory Review Fork Rancheria of Mono Indians of disproportionately affect children, per This action is exempt from review by California, the Picayune Rancheria of the definition of ‘‘covered regulatory the Office of Management and Budget Chukchansi Indians of California, the action’’ in section 2–202 of the (OMB) because it relates to a Santa Rosa Rancheria of the Tachi Executive Order. This action is not designation of an area for air quality Yokut Tribe, the Table Mountain subject to Executive Order 13045 purposes and will reclassify the SJV Rancheria of California, the Tejon because it reclassifies the SJV from its current air quality designation Indian Tribe, and the Tule River Indian nonattainment area as Serious of Moderate nonattainment to Serious Tribe of the Tule River Reservation. We nonattainment for the 2006 PM2.5 note that none of the tribes located in nonattainment for the 2006 PM2.5 NAAQS, which triggers additional NAAQS. the SJV nonattainment area has Serious area planning requirements requested eligibility to administer under the CAA. This action does not B. Paperwork Reduction Act (PRA) programs under the Clean Air Act. This establish an environmental standard This action does not impose an final action affects the EPA’s intended to mitigate health or safety information collection burden under the implementation of the new source risks. PRA. This action does not contain any review program because of the lower H. Executive Order 13211, Actions That information collection activities. ‘‘major stationary source’’ threshold triggered by reclassification (CAA Significantly Affect Energy Supply, C. Regulatory Flexibility Act (RFA) 189(b)(3)). The final action may also Distribution, or Use I certify that this action will not have affect new or modified stationary This final action is not subject to a significant economic impact on a sources proposed in these areas that Executive Order 13211, because it is not substantial number of small entities require federal permits, approvals, or a significant regulatory action under under the RFA. This action will not funding. Such projects are subject to the Executive Order 12866. impose any requirements on small requirements of the EPA’s General I. National Technology Transfer and entities. The final rule requires the state Conformity rule, and federal permits, Advancement Act to adopt and submit SIP revisions to approvals, or funding for the projects satisfy the statutory requirements that may be more difficult to obtain because This action is not subject to the apply to Serious areas, and would not of the lower de minimis thresholds requirements of Section 12(d) of the itself directly regulate any small entities triggered by reclassification. National Technology Transfer and (see section III.C of this final rule). Given these potential implications, Advancement Act of 1995 (15 U.S.C. consistent with the EPA Policy on 272 note) because it does not involve D. Unfunded Mandates Reform Act Consultation and Coordination with technical standards. (UMRA) Indian Tribes, the EPA contacted tribal J. Executive Order 12898: Federal This action does not contain any officials early in the process of Actions To Address Environmental unfunded mandate of $100 million or developing this action to permit them to Justice in Minority Populations and more and does not significantly or have meaningful and timely input into Low-Income Population uniquely affect small governments, as its development. The EPA invited tribal described in UMRA (2 U.S.C. 1531– officials to consult during the The EPA believes the human health or 1538). This action itself imposes no development of the proposed rule and environmental risk addressed by this enforceable duty on any state, local, or following signature of the proposed action will not have potential tribal governments, or the private sector. rule. As discussed in more detail in our disproportionately high and adverse The final action reclassifies the SJV proposed action, we sent letters to human health or environmental effects nonattainment area as Serious leaders of the tribes with areas of Indian on minority, low-income or indigenous nonattainment for the 2006 PM2.5 country in the SJV nonattainment area populations. This action reclassifies the NAAQS, which triggers existing inviting government-to-government SJV nonattainment area as Serious statutory duties for the state to submit consultation on the rulemaking effort. nonattainment for the 2006 PM2.5 SIP revisions. Such a reclassification in On February 17, 2015, the EPA received NAAQS, which triggers additional and of itself does not impose any federal a letter dated January 30, 2015 from the Serious area planning requirements intergovernmental mandate. The final Tejon Tribe requesting information under the CAA. about the proposed reclassification. The action does not require any tribes to K. Congressional Review Act submit implementation plans. EPA subsequently invited the Tejon Tribe several times to participate in a The Congressional Review Act, 5 E. Executive Order 13132: Federalism conference call but received no response U.S.C. 801 et seq., as added by the Small This action does not have federalism from the Tribe. No other Indian tribe has Business Regulatory Enforcement implications. expressed an interest in discussing this Fairness Act of 1996, generally provides action with the EPA. We continue to that before a rule may take effect, the F. Executive Order 13175, Consultation invite Indian tribes in the SJV to contact agency promulgating the rule must and Coordination With Indian Tribal the EPA with any questions about the submit a rule report, which includes a Governments effects of this reclassification on tribal copy of the rule, to each House of the This action may have tribal interests and air quality. Congress and to the Comptroller General implications. However, it will neither of the United States. The EPA will impose substantial direct compliance G. Executive Order 13045, Protection of submit a report containing this rule and costs on federally recognized tribal Children From Environmental Health other required information to the U.S. governments, nor preempt tribal law. Risks and Safety Risks Senate, the U.S. House of Eight Indian tribes are located within The EPA interprets Executive Order Representatives, and the Comptroller the boundaries of the SJV nonattainment 13045 (62 FR 19885, April 23, 1997) as General of the United States prior to area for the 2006 PM2.5 NAAQS: The Big applying only to those regulatory publication of the rule in the Federal

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Register. A major rule cannot take effect PART 52—APPROVAL AND (e) By August 21, 2017, California until 60 days after it is published in the PROMULGATION OF must adopt and submit a Serious Area Federal Register. This action is not a IMPLEMENTATION PLANS plan to provide for attainment of the ‘‘major rule’’ as defined by 5 U.S.C. 2006 PM2.5 NAAQS in the San Joaquin ■ 1. The authority citation for Part 52 804(2). This rule will be effective on Valley PM2.5 nonattainment area. The February 19, 2016. continues to read as follows: Serious Area plan must include L. Petitions for Judicial Review Authority: 42 U.S.C. 7401 et seq. emissions inventories, an attainment ■ demonstration, best available control Under section 307(b)(1) of the Clean 2. Section 52.245 is amended by Air Act, petitions for judicial review of revising paragraph (c) and adding measures, a reasonable further progress this action must be filed in the United paragraph (e) to read as follows: plan, quantitative milestones, contingency measures, and such other States Court of Appeals for the § 52.245 New Source Review rules. appropriate circuit by March 21, 2016. measures as may be necessary or Filing a petition for reconsideration by * * * * * appropriate to provide for attainment of (c) By May 7, 2016, the New Source the Administrator of this final rule does the 2006 PM2.5 NAAQS by the Review rules for PM for the San not affect the finality of this rule for the 2.5 applicable attainment date, in Joaquin Valley Unified Air Pollution purposes of judicial review nor does it accordance with the requirements of Control District must be revised and extend the time within which a petition subparts 1 and 4 of part D, title I of the submitted as a SIP revision. The rules for judicial review may be filed, and Clean Air Act. must satisfy the requirements of shall not postpone the effectiveness of such rule or action. This action may not sections 189(b)(3) and 189(e) and all PART 81—DESIGNATION OF AREAS be challenged later in proceedings to other applicable requirements of the FOR AIR QUALITY PLANNING enforce its requirements (see section Clean Air Act for implementation of the PURPOSES 307(b)(2)). 1997 PM2.5 NAAQS. * * * * * ■ 4. The authority citation for part 81 List of Subjects (e) By February 21, 2017, the New continues to read as follows: 40 CFR Part 52 Source Review rules for PM2.5 for the San Joaquin Valley Unified Air Authority: 42 U.S.C. 7401 et seq. Air pollution control, Incorporation Pollution Control District must be ■ by reference, Intergovernmental revised and submitted as a SIP revision. 5. Section 81.305 is amended in the relations, Particulate matter. The rules must satisfy the requirements table titled ‘‘California—2006 24-Hour 40 CFR Part 81 of sections 189(b)(3) and 189(e) and all PM2.5 NAAQS [Primary and other applicable requirements of the secondary],’’ by revising the entries Environmental protection, Air under ‘‘San Joaquin Valley, CA’’ to read pollution control. Clean Air Act for implementation of the 2006 PM2.5 NAAQS. as follows: Dated: December 22, 2015. ■ 3. Section 52.247 is amended by § 81.305 California. Jared Blumenfeld, adding paragraph (e) to read as follows: Regional Administrator, EPA Region 9. * * * * * Chapter I, title 40 of the Code of § 52.247 Control Strategy and regulations: Federal Regulations is amended as Fine Particle Matter. follows: * * * * *

CALIFORNIA—2006 24-HOUR PM2.5 NAAQS [Primary and secondary]

Designation a Classification Designated area Date 1 Type Date 2 Type

******* San Joaquin Valley, CA: Fresno County ...... Nonattainment ...... February 19, Serious. 2016. Kern County (part) ...... Nonattainment ...... February 19, Serious. 2016.

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CALIFORNIA—2006 24-HOUR PM2.5 NAAQS—Continued [Primary and secondary]

Designation a Classification Designated area Date 1 Type Date 2 Type

That portion of Kern County which lies west and north of a line described as follows: Beginning at the Kern- Los Angeles County boundary and running north and east along the northwest boundary of the Rancho La Libre Land Grant to the point of intersection with the range line common to R. 16 W. and R. 17 W., San Bernardino Base and Meridian; north along the range line to the point of intersection with the Rancho El Tejon Land Grant boundary; then southeast, north- east, and northwest along the boundary of the Ran- cho El Tejon Land Grant to the northwest corner of S. 3, T. 11 N., R. 17 W.; then west 1.2 miles; then north to the Rancho El Tejon Land Grant boundary; then northwest along the Rancho El Tejon line to the southeast corner of S. 34, T. 32 S., R. 30 E., Mount Diablo Base and Meridian; then north to the north- west corner of S. 35, T. 31 S., R. 30 E.; then north- east along the boundary of the Rancho El Tejon Land Grant to the southwest corner of S. 18, T. 31 S., R. 31 E.; then east to the southeast corner of S. 13, T. 31 S., R. 31 E.; then north along the range line com- mon to R. 31 E. and R. 32 E., Mount Diablo Base and Meridian, to the northwest corner of S. 6, T. 29 S., R. 32 E.; then east to the southwest corner of S. 31, T. 28 S., R. 32 E.; then north along the range line common to R. 31 E. and R. 32 E. to the northwest corner of S. 6, T. 28 S., R. 32 E., then west to the southeast corner of S. 36, T. 27 S., R. 31 E., then north along the range line common to R. 31 E. and R. 32 E. to the Kern-Tulare County boundary. Kings County ...... Nonattainment ...... February 19, Serious. 2016. Madera County ...... Nonattainment ...... February 19, Serious. 2016. Merced County ...... Nonattainment ...... February 19, Serious. 2016. San Joaquin County ...... Nonattainment ...... February 19, Serious. 2016. Stanislaus County ...... Nonattainment ...... February 19, Serious. 2016. Tulare County ...... Nonattainment ...... February 19, Serious. 2016.

*******

* * * * * SUMMARY: This regulation establishes a DATES: This regulation is effective [FR Doc. 2016–00739 Filed 1–19–16; 8:45 am] temporary exemption from the January 20, 2016. Objections and BILLING CODE 6560–50–P requirement of a tolerance for residues requests for hearings must be received of the VNT1 protein in or on potatoes on or before March 21, 2016, and must when used as a plant-incorporated be filed in accordance with the ENVIRONMENTAL PROTECTION protectant in accordance with the terms instructions provided in 40 CFR part AGENCY of Experimental Use Permit (EUP) 178 (see also Unit I.C. of the SUPPLEMENTARY INFORMATION). 40 CFR Part 174 (8917–EUP–2). J.R. Simplot Company submitted a petition to EPA under the ADDRESSES: The docket for this action, Federal Food, Drug, and Cosmetic Act [EPA–HQ–OPP–2014–0457; FRL–9939–49] identified by docket identification (ID) (FFDCA), requesting an amendment of number EPA–HQ–OPP–2014–0457, is VNT1 Protein in Potato; Amendment to the temporary tolerance exemption. available at http://www.regulations.gov a Temporary Exemption From the This regulation eliminates the need to or at the Office of Pesticide Programs Requirement of a Tolerance establish a maximum permissible level Regulatory Public Docket (OPP Docket) for residues of VNT1 protein in potato. in the Environmental Protection Agency AGENCY: Environmental Protection The temporary tolerance exemption Docket Center (EPA/DC), West William Agency (EPA). expires on April 1, 2017, concurrent Jefferson Clinton Bldg., Rm. 3334, 1301 with the EUP (8917–EUP–2). Constitution Ave. NW., Washington, DC ACTION: Final rule. 20460–0001. The Public Reading Room

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is open from 8:30 a.m. to 4:30 p.m., mail and hand delivery of objections accordance with the terms of EUP 8917– Monday through Friday, excluding legal and hearing requests are provided in 40 EUP–2, with an expiration date of holidays. The telephone number for the CFR 178.25(b). December 31, 2015, in the Federal Public Reading Room is (202) 566–1744, In addition to filing an objection or Register of February 23, 2015 (80 FR and the telephone number for the OPP hearing request with the Hearing Clerk 9387) (FRL–9922–53). Docket is (703) 305–5805. Please review as described in 40 CFR part 178, please In the Federal Register of September the visitor instructions and additional submit a copy of the filing (excluding 9, 2015 (80 FR 54257) (FRL–9933–26) information about the docket available any Confidential Business Information EPA issued a document pursuant to at http://www2.epa.gov/dockets. (CBI)) for inclusion in the public docket. FFDCA section 408(d)(3), 21 U.S.C. FOR FURTHER INFORMATION CONTACT: Information not marked confidential 346a(d)(3), announcing the filing of a Robert McNally, Biopesticides and pursuant to 40 CFR part 2 may be pesticide petition ((PP) 5G8375) by J.R. Pollution Prevention Division (7511P), disclosed publicly by EPA without prior Simplot Company, 5369 W. Irving St., Office of Pesticide Programs, notice. Submit the non-CBI copy of your Boise, ID 83706. The petition requested Environmental Protection Agency, 1200 objection or hearing request, identified that 40 CFR 174.534 be amended. That Pennsylvania Ave. NW., Washington, by docket ID number EPA–HQ–OPP– document referenced a summary of the DC 20460–0001; main telephone 2014–0457, by one of the following petition prepared by the petitioner J.R. number: (703) 305–7090; email address: methods: Simplot Company, which is available in • Federal eRulemaking Portal: http:// [email protected]. the docket EPA–HQ–OPP–2014–0457, www.regulations.gov. Follow the online http://www.regulations.gov. No SUPPLEMENTARY INFORMATION: instructions for submitting comments. comments were received on this FR I. General Information Do not submit electronically any notice. information you consider to be CBI or Because the pesticide petition ((PP) A. Does this action apply to me? other information whose disclosure is 5G8375) was submitted concurrently You may be potentially affected by restricted by statute. with a request to amend the EUP linked this action if you are an agricultural • Mail: OPP Docket, Environmental to this tolerance exemption, EPA only producer, food manufacturer, or Protection Agency Docket Center (EPA/ considered amendments to the tolerance pesticide manufacturer. The following DC), (28221T), 1200 Pennsylvania Ave. exemption relevant to the pending list of North American Industrial NW., Washington, DC 20460–0001. request to extend the associated EUP. Classification System (NAICS) codes is • Hand Delivery: To make special The request to amend the EUP involved not intended to be exhaustive, but rather arrangements for hand delivery or increased acreage, locations and provides a guide to help readers delivery of boxed information, please extending the expiration date of EUP determine whether this document follow the instructions at http:// No. 8917–EUP–2 to April 1, 2017. applies to them. Potentially affected www.epa.gov/dockets/contacts.html. Because EPA is extending the EUP until entities may include: Additional instructions on April 1, 2017, EPA is revising the • Crop production (NAICS code 111). commenting or visiting the docket, expiration date of the existing tolerance • Animal production (NAICS code along with more information about exemption to April 1, 2017. 112). dockets generally, is available at http:// Section 408(c)(2)(A)(i) of FFDCA • Food manufacturing (NAICS code www2.epa.gov/dockets. allows EPA to establish an exemption from the requirement for a tolerance (the 311). II. Background and Statutory Findings • Pesticide manufacturing (NAICS legal limit for a pesticide chemical code 32532). In the Federal Register of October 24, residue in or on a food) only if EPA 2014 (79 FR 63594) (FRL–9916–03), determines that the exemption is ‘‘safe.’’ B. How can I get electronic access to EPA issued a document pursuant to Section 408(c)(2)(A)(ii) of FFDCA other related information? FFDCA section 408(d)(3), 21 U.S.C. defines ‘‘safe ’’ to mean that ‘‘there is a You may access a frequently updated 346a(d)(3), announcing the filing of a reasonable certainty that no harm will electronic version of 40 CFR part 180 pesticide petition ((PP) 4F8251) by J.R. result from aggregate exposure to the through the Government Printing Simplot Company, 5369 W. Irving St., pesticide chemical residue, including Office’s e-CFR site at http:// Boise, ID 83706. Also, in the Federal all anticipated dietary exposures and all www.ecfr.gov/cgi-bin/text-idx?tpl=/ Register of December 17, 2014 (79 FR other exposures for which there is ecfrbrowse/Title40/40tab_02.tpl. 75107) (FRL–9918–90), EPA reliable information.’’ This includes inadvertently re-announced the filing of exposure through drinking water and in C. How can I file an objection or hearing this same petition. The petition residential settings, but does not include request? requested that 40 CFR part 174 be occupational exposure. Pursuant to Under FFDCA section 408(g), 21 amended by establishing a temporary FFDCA section 408(c)(2)(B), in U.S.C. 346a, any person may file an exemption from the requirement of a establishing or maintaining in effect an objection to any aspect of this regulation tolerance for residues of Potato Late exemption from the requirement of a and may also request a hearing on those Blight Resistance protein VNT1 in or on tolerance, EPA must take into account objections. You must file your objection potato. Those documents referenced a the factors set forth in FFDCA section or request a hearing on this regulation summary of the petition prepared by the 408(b)(2)(C), which require EPA to give in accordance with the instructions petitioner J.R. Simplot Company, which special consideration to exposure of provided in 40 CFR part 178. To ensure is available in the docket EPA–HQ– infants and children to the pesticide proper receipt by EPA, you must OPP–2014–0457, http:// chemical residue in establishing a identify docket ID number EPA–HQ– www.regulations.gov. Upon determining tolerance and to ‘‘ensure that there is a OPP–2014–0457 in the subject line on that such exemption meets the FFDCA reasonable certainty that no harm will the first page of your submission. All safety standard, EPA established a result to infants and children from objections and requests for a hearing temporary exemption from the aggregate exposure to the pesticide must be in writing, and must be requirement of a tolerance for residues chemical residue. . . .’’ Additionally, received by the Hearing Clerk on or of Potato Late Blight Resistance protein FFDCA section 408(b)(2)(D) requires before March 21, 2016. Addresses for VNT1 in or on potato when used in that the Agency consider ‘‘available

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information concerning the cumulative concurrent EUP for VNT1 protein to this action. In addition, this action effects of a particular pesticide’s (8917–EUP–2). does not impose any enforceable duty or residues’’ and ‘‘other substances that contain any unfunded mandate as VI. Statutory and Executive Order have a common mechanism of toxicity.’’ Reviews described under Title II of the Unfunded EPA performs a number of analyses to Mandates Reform Act (UMRA) (2 U.S.C. determine the risks from aggregate This action amends an exemption 1501 et seq.). exposure to pesticide residues. First, from the requirement of a tolerance under FFDCA section 408(d) in This action does not involve any EPA determines the toxicity of technical standards that would require pesticides. Second, EPA examines response to a petition submitted to the Agency. The Office of Management and Agency consideration of voluntary exposure to the pesticide through food, consensus standards pursuant to section drinking water, and through other Budget (OMB) has exempted these types of actions from review under Executive 12(d) of the National Technology exposures that occur as a result of Transfer and Advancement Act pesticide use in residential settings. Order 12866, entitled ‘‘Regulatory Planning and Review’’ (58 FR 51735, (NTTAA) (15 U.S.C. 272 note). III. Determination of Safety for U.S. October 4, 1993). Because this action VII. Congressional Review Act Population, Infants and Children has been exempted from review under Executive Order 12866, this action is The Agency previously assessed the Pursuant to the Congressional Review not subject to Executive Order 13211, toxicological profile of the VNT1 Act (5 U.S.C. 801 et seq.), EPA will entitled ‘‘Actions Concerning protein and the likely exposure from its submit a report containing this rule and Regulations That Significantly Affect use as a plant-incorporated protectant in other required information to the U.S. Energy Supply, Distribution, or Use’’ (66 or on potato in accordance with the Senate, the U.S. House of FR 28355, May 22, 2001) or Executive Representatives, and the Comptroller terms of EUP No. 8917–EUP–2. Based Order 13045, entitled ‘‘Protection of on the Agency’s assessment, the Agency General of the United States prior to Children from Environmental Health publication of the rule in the Federal concluded that there is a reasonable Risks and Safety Risks’’ (62 FR 19885, certainty that no harm will result from Register. This action is not a ‘‘major April 23, 1997). This action does not rule’’ as defined by 5 U.S.C. 804(2). aggregate exposure to VNT1 protein contain any information collections when used as a plant-incorporated subject to OMB approval under the List of Subjects in 40 CFR Part 174 protectant in or on potato in accordance Paperwork Reduction Act (PRA) (44 with the terms of EUP No. 8917–EUP– U.S.C. 3501 et seq.), nor does it require Environmental protection, 2. See (80 FR 9387) (February 23, 2015). any special considerations under Administrative practice and procedure, Because the toxicological profile has not Executive Order 12898, entitled Agricultural commodities, Pesticides changed, any additional exposure to the ‘‘Federal Actions to Address and pests, Reporting and recordkeeping VNT1 protein as a result of the Environmental Justice in Minority requirements. extension of the associated EUP will not Populations and Low-Income Dated: December 17, 2015. affect the Agency’s previous safety Populations’’ (59 FR 7629, February 16, John E. Leahy, Jr., finding. Therefore, the Agency is relying 1994). Acting Director, Biopesticides and Pollution on its previous assessment to support Since tolerances and exemptions that the extension of the expiration date for Prevention Division, Office of Pesticide are amended on the basis of a petition Programs. 40 CFR 174.534. Therefore, based on its under FFDCA section 408(d), such as previous assessment, EPA concludes the exemption in this final rule, do not Therefore, 40 CFR chapter I is that there is a reasonable certainty that require the issuance of a proposed rule, amended as follows: no harm will result to the U.S. the requirements of the Regulatory population, including infants and Flexibility Act (RFA) (5 U.S.C. 601 et PART 174—[AMENDED] children, from aggregate exposure to the seq.), do not apply. residues of VNT1 protein in potato This action directly regulates growers, ■ 1. The authority citation for part 174 when it is used as a plant-incorporated food processors, food handlers, and food is revised to read as follows: protectant. Such exposure includes all retailers, not States or tribes, nor does anticipated dietary exposures and all this action alter the relationships or Authority: 7 U.S.C. 136–136y; 21 U.S.C. other exposures for which there is distribution of power and 321(q), 346a and 371. reliable information. responsibilities established by Congress ■ 2. Section 174.534 is revised to read in the preemption provisions of FFDCA IV. Analytical Enforcement section 408(n)(4). As such, the Agency as follows: Methodology has determined that this action will not § 174.534 VNT1 protein in potato; The Agency has determined that an have a substantial direct effect on States temporary exemption from the requirement analytical method is not required for or tribal governments, on the of a tolerance. enforcement purposes since the Agency relationship between the national is establishing a temporary exemption government and the States or tribal Residues of VNT1 protein in potato from the requirement of a tolerance governments, or on the distribution of are exempt from the requirement of a without any numerical limitation in power and responsibilities among the tolerance when the Rpi-vnt1 gene that association with use under EUP No. various levels of government or between expresses the VNT1 protein is used as 8917–EUP–2. the Federal Government and Indian a plant-incorporated protectant in tribes. Thus, the Agency has determined potato in accordance with the terms of V. Conclusion that Executive Order 13132, entitled Experimental Use Permit No. 8917– The Agency is extending the ‘‘Federalism’’ (64 FR 43255, August 10, EUP–2. This temporary exemption from expiration date of this temporary 1999) and Executive Order 13175, the requirement of a tolerance expires tolerance exemption to April 1, 2017. entitled ‘‘Consultation and Coordination on April 1, 2017. The temporary tolerance exemption will with Indian Tribal Governments’’ (65 FR [FR Doc. 2016–00419 Filed 1–19–16; 8:45 am] expire on the same date as the 67249, November 9, 2000) do not apply BILLING CODE 6560–50–P

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DEPARTMENT OF HEALTH AND Performance’’ to 2 CFR part 200, 42 CFR Part 52 published on July 22, 2015 (80 FR HUMAN SERVICES Grant programs-health, Medical 43301), and ‘‘Universal Identifier and research, Reporting and recordkeeping 42 CFR Parts 38, 50, 51, 51a, 51b, 51c, System of Award Management; requirements. 51d, 52, 52a, 52b, 52c, 52d, 52e, 55a, Corrections’’, published on September 56, 57, 59, 59a, 62, 63a, 64, 65, 65a, 66, 10, 2015 (80 FR 54407), made by the 42 CFR Part 52a 67, 124, 136, 403, 417, 430, 433, 434, Office of Management and Budget Blood diseases, Grant programs- 435, 436, 438, 440, 441, 456, 457, and (OMB). HHS adopts the correcting health, Heart diseases, Lung diseases, 1001 amendments made by OMB. HHS is also Medical research, Reporting and making amendments to address citation recordkeeping requirements. 45 CFR Parts 16, 63, 75, 87, 95, 98, 261, or grammatical inconsistencies, to 262, 263, 265, 286, 287, 301, 302, 303, amend incomplete statements in the 42 CFR Part 52b 304, 309, 400, 1000, 1301, 1304, 1309, regulation, and to update existing HHS 1321, 1326, 1328, 1336, 1355, and 1357 Grant programs-health, Health regulations to incorporate 45 CFR part facilities, Medical research, Reporting RIN 0991–ZA46 75. The correcting amendments will go and recordkeeping requirements. into effect at the time of publicatio 42 CFR Part 52c Federal Awarding Agency Regulatory List of Subjects Implementation of Office of Educational study programs, Grant Management and Budget’s Uniform 42 CFR Part 38 programs-health, Medical research, Administrative Requirements, Cost Disaster assistance, Government Reporting and recordkeeping Principles, and Audit Requirements for requirements. Federal Awards; Technical contracts, Grant programs-health, Amendments mental health programs. 42 CFR Part 52d 42 CFR Part 50 AGENCY: Department of Health and Cancer, Educational study programs, Human Services. Grant programs-health, Health Administrative practice and professions, Reporting and ACTION: Interim final rule; technical procedure, Conflicts of interests, Drugs, recordkeeping requirements. amendments. Family planning, Grant programs- health, Grant programs-science and 42 CFR Part 52e SUMMARY: This document contains technology, Health care, Reporting and technical amendments to HHS Blood diseases, Grant programs- recordkeeping requirements, Research, regulations regarding Uniform health, Health care, Health diseases, Science and technology. Administrative Requirements, Cost Health professions, Lung diseases, Principles, and Audit Requirements for 42 CFR Part 51 Medical research, Reporting and Federal Awards. The regulatory content recordkeeping requirements. Administrative practice and is being amended to add information 42 CFR Part 55a that was erroneously omitted, to include procedure, Grant programs-health, updated cross-references within HHS’ Health facilities, Health records, mental Black lung benefits, Grant programs- regulations, and to make grammatical health programs, Privacy, Reporting and health, Health care, Health facilities, corrections. recordkeeping requirements. Miners, Reporting and recordkeeping requirements. DATES: Effective January 20, 2016. 42 CFR Part 51a Implementation Date: For all non- 42 CFR Part 56 Blood diseases, Colleges and Federal entities, there is a two-year Grant programs-health, Health care, grace period for implementation of the Universities, Genetic diseases, Grant programs-Health, Maternal and Child Health facilities, Migrant labor, procurement standards in 45 CFR Reporting and, recordkeeping 75.326 through 75.335. Health, Medical research, and Recordkeeping requirements. requirements. FOR FURTHER INFORMATION CONTACT: Audrey E. Clarke, Ph.D., Division of 42 CFR Part 51b 42 CFR Part 57 Grants, Office of Grants and Acquisition Aged, Education of disadvantaged, Communicable diseases, Grant Policy and Accountability, Office of the Educational facilities, Educational study programs-health, Immunization, Assistant Secretary for Financial programs, Grant programs-education, Maternal and Child health, Reporting Resources, U.S. Department of Health Grant programs-health, Health facilities, and Recordkeeping requirements, and Human Services, 200 Independence Health professions, Loan programs- Research, Venereal Diseases. Ave. SW., Room 529G.17, Washington, health, Medical and dental schools, DC 20201; phone: (202) 720–1908; 42 CFR Part 51c Reporting and recordkeeping email: [email protected]. requirements, Scholarships and SUPPLEMENTARY INFORMATION: HHS is Grant programs-health, Health care, fellowships, Student aid. correcting its regulations in line with FR Health facilities, Reporting and Doc. 2014–28697, published on recordkeeping requirements. 42 CFR Part 59 December 19, 2014 (79 FR 75871), 42 CFR Part 51d Family planning, Grant programs- entitled ‘‘Federal Awarding Agency health, Grant programs-social programs, Regulatory Implementation of Office of Administrative practice and Health professions, Reporting and Management and Budget’s Uniform procedure, Disaster assistance, Drug recordkeeping requirements, Youth. Administrative Requirements, Cost abuse, Emergency medical services, 42 CFR Part 59a Principles, and Audit Requirements for Grant programs-health, Health facilities, Federal Awards’’, the ‘‘Guidance for Mental health programs, Privacy, Grant programs-health, Libraries, Reporting and Use of Information Reporting and recordkeeping Medical research, Reporting and Concerning Recipient Integrity and requirements. recordkeeping requirements.

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42 CFR Part 62 42 CFR Part 430 45 CFR Part 63 Educational study programs, Grant Administrative practice and Grant programs-communications, programs-education, Grant programs- procedure, Grant programs-health, Grant programs-education, Grant health, Health professions, Loan Medicaid, Reporting and recordkeeping programs-health, Grant programs-social programs-education, Loan programs- requirements. programs, Research, health, Reporting and recordkeeping 42 CFR Part 433 Telecommunications. requirements, Scholarships and 45 CFR Part 75 fellowships. Administrative practice and procedure, Child support, Claims, Grant Accounting Auditing Administrative 42 CFR Part 63a programs-health, Medicaid, Reporting practice and procedure Colleges and Grant programs-health, Medical and recordkeeping requirements. universities Cost principles Grant research. 42 CFR Part 434 programs Grant programs-health Grants administration Hospitals Indians 42 CFR Part 64 Grant programs-health, Health Nonprofit organizations reporting and maintenance organizations (HMO), Educational study programs, Grant recordkeeping requirements and State Medicaid, Reporting and recordkeeping programs-education, Grant programs- and local governments. requirements. health, Health professions, Libraries, 45 CFR Part 87 Manpower training programs, Reporting 42 CFR Part 435 and recordkeeping requirements. Administrative practice and Aid to Families with Dependent procedure, Grant programs-social 42 CFR Part 65 Children, Grant programs-health, programs, nonprofit organizations, Medicaid, Reporting and recordkeeping Public assistance programs. Education, Grant programs-education, requirements, Supplemental Security Grant programs-health, Hazardous Income (SSI), Wages. 45 CFR Part 95 waste, Nonprofit organizations, Occupational safety and health, 42 CFR Part 436 Claims, Computer technology, Grant programs-health, Grant programs-social Reporting and recordkeeping Aid to Families with Dependent requirements. programs, Reporting and recordkeeping Children, Grant programs-health, Guam, requirements, Social security. 42 CFR Part 65a Medicaid, Puerto Rico, Supplemental Security Income (SSI), Virgin Islands. 45 CFR Part 98 Grant programs-health, Hazardous Administrative practice and waste, Medical research. 42 CFR Part 438 procedure, Day care, Grant programs- Grant programs-health, Medicaid, 42 CFR Part 66 Indians, Grant programs-social Reporting and recordkeeping programs, Indians, Penalties, Religious requirements. Grant programs-health, Health discrimination, Reporting and professions, Medical research. 42 CFR Part 440 recordkeeping, requirements. 42 CFR Part 67 Grant programs-health, Medicaid. 45 CFR Parts 261, 262, 263, and 265 Grant programs-health, Medical 42 CFR Part 441 Administrative practice and research, Reporting and recordkeeping procedure, Day care, Employment, requirements. Aged, Family planning, Grant programs-health, Infants and children, Grant programs-social programs, Loan 42 CFR Part 124 Medicaid, Penalties, Reporting and programs-social programs, Manpower recordkeeping requirements. training programs, Penalties, Public Grant programs-health, Health assistance, programs, Reporting and facilities, Reporting and recordkeeping 42 CFR Part 456 recordkeeping requirements. requirements. Administrative practice and 45 CFR Parts 286 42 CFR Part 136 procedure, Drugs, Grant programs- health, Health facilities, Medicaid, Administrative practice and Employment, Government Reporting and recordkeeping procedure, Day care, Employment, procurement, Health care, Health requirements. Grant programs-social programs, facilities, Indians, Infants and children, Indians, Loan programs-social programs, Maternal and child health, Penalties, 42 CFR Part 457 Manpower training programs, Penalties, Reporting and recordkeeping Administrative practice and Public assistance programs, Reporting requirements. procedure, Grant programs-health, and recordkeeping requirements. 42 CFR Part 403 Health insurance, Reporting and 45 CFR Parts 287 recordkeeping requirements. Grant programs-health, Health Administrative practice and insurance, Hospitals, Intergovernmental 42 CFR Part 1001 procedure, Employment, Grant relations, Medicare, Reporting and Administrative practice and programs-social programs, Indians, Loan recordkeeping requirements. procedure, Fraud, Grant programs- programs-social programs, Manpower 42 CFR Part 417 health, Health facilities, Health training programs, Penalties, Public professions, Maternal and child health, assistance programs, Reporting and Administrative practice and Medicaid, Medicare, Social Security. recordkeeping requirements. procedure, Grant programs-health, 45 CFR Parts 301, 303, and 304 Health care, Health insurance, Health 45 CFR Part 16 maintenance organizations (HMO), Loan Administrative practice and Child support, Grant programs-social programs-health, Medicare, Reporting procedure, Grant programs-health, Grant programs, Reporting and recordkeeping and recordkeeping requirements. programs-social programs. requirements.

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45 CFR Part 302 45 CFR Part 1355 § 50.309 [Amended] Child support, Grant programs-social Child welfare, Computer technology, ■ 4. Amend § 50.309, by removing ‘‘45 programs, Penalties, Reporting and Grant programs-social programs, CFR 74.20 et seq’’ and adding in its recordkeeping, requirements, Reporting and recordkeeping place ‘‘45 CFR 75.361 et seq’’. Unemployment compensation. requirements. § 50.504 [Amended] 45 CFR Part 309 45 CFR Part 1357 ■ 5. Amend § 50.504(a)(3), by removing Child support, Grant programs-social Adoption and foster care, Child ‘‘45 CFR part 74,’’ and adding in its programs, Indians, Reporting and welfare, Grant programs-social place ‘‘45 CFR part 75, subpart E,’’. recordkeeping, requirements. programs, Indians, Reporting and § 50.604 [Amended] 45 CFR Part 400 recordkeeping requirements. ■ 6. Amend § 50.604(i), by removing Employment, Grant programs-social Dated: December 14, 2015. ‘‘45 CFR 74.53(b) and 92.42(b)’’ and programs, Health care, Public assistance Ellen Murray, adding in its place ‘‘45 CFR 75.361’’. programs, Refugees, Reporting and Assistant Secretary for Financial Resources, recordkeeping requirements. Department of Health and Human Services. § 50.606 [Amended] ■ 7. Amend § 50.606(b), in the last 45 CFR Part 1000 Under the authority of (5 U.S.C. 301), the Department of Health and Human sentence, by removing ‘‘special award Grant programs-social programs, Services amends 42 CFR parts 38, 50, conditions under 45 CFR 74.14 and Reporting and recordkeeping 51, 51a, 51b, 51c, 51d, 52, 52a, 52b, 52c, 92.12, or suspension of funding or other requirements. 52d, 52e, 55a, 56, 57, 59, 59a, 62, 63a, enforcement action under 45 CFR 74.62 45 CFR Part 1301 64, 65, 65a, 66, 67, 124, 136, 403, 417, and 92.43,’’ and adding in its place 430, 433, 434, 435, 436, 438, 440, 441, ‘‘specific award conditions under 45 Administrative practice and 456, 457, and 1001, and 45 CFR parts CFR 75.207, or suspension of funding or procedure, Education of disadvantaged, 16, 63, 75, 87, 95, 98, 261, 262, 263, 265, other enforcement action under 45 CFR Grant programs-social programs. 286, 287, 301, 302, 303, 304, 309, 400, 75.371,’’. 1000, 1301, 1304, 1309, 1321, 1326, 45 CFR Part 1304 § 50.607 [Amended] 1328, 1336, 1355, and 1357 by making Dental health, Education of the following correcting amendments: ■ 8. Amend § 50.607, by removing ‘‘45 disadvantaged, Grant programs-social CFR part 74—Uniform administrative Title 42—Public Health programs, Health care, mental health requirements for awards and subawards programs, Nutrition, Reporting and PART 38—DISASTER ASSISTANCE to institutions of higher education, recordkeeping requirements. FOR CRISIS COUNSELING AND hospitals, other nonprofit organizations, 45 CFR Part 1309 TRAINING and commercial organizations’’ and adding in alphanumeric order ‘‘45 CFR Grant programs-social programs, Rates ■ 1. The authority citation for part 38 part 75—Uniform Administrative and Fares. continues to read as follows: Requirements, Cost Principles, and 45 CFR Parts 1321 Audit Requirements for HHS Awards’’ Authority: Sec. 413, Pub. L. 93–288. The and removing ‘‘45 CFR part 92— Administrative practice and Disaster Relief Act of 1974, 88 Stat. 157, 42 Uniform administrative requirements procedure, Aged, Grant programs- U.S.C. 5183, E.O. 11795, 39 FR 25939, as amended by E.O. 11910, 41 FR 15681. for grants and cooperative agreements to Indians, Grant programs-social State, local, and tribal governments’’. programs, Indians, Legal services, § 38.5 [Amended] Nutrition, Reporting and recordkeeping PART 51—REQUIREMENTS ■ requirements. 2. Amend § 38.5: APPLICABLE TO THE PROTECTION ■ a. In paragraph (d) by removing ‘‘45 AND ADVOCACY FOR INDIVIDUALS 45 CFR Part 1326 CFR part 74—Administration of grants’’ WITH MENTAL ILLNESS PROGRAM Administrative practice and and ‘‘45 CFR part 75—Informal grant procedure, Aged, Grant programs- appeals procedures’’; ■ 9. The authority citation for part 51 Indians, Grant programs-social ■ b. In paragraph (d) by adding in continues to read as follows: programs, Indians, Nutrition, Reporting alphanumeric order ‘‘45 CFR part 75— Authority: 42 U.S.C. 10801, et seq. and recordkeeping requirements. Uniform Administrative Requirements, § 51.4 [Amended] 45 CFR Part 1328 Cost Principles, and Audit Requirements for HHS Awards’’; and ■ 10. Amend § 51.4: Administrative practice and ■ c. In paragraph (e) by removing ■ a. By removing ‘‘45 CFR part 74— procedure, Aged, Grant programs-social ‘‘subpart Q of 45 CFR part 74’’ and Administration of Grants.’’ and ‘‘45 CFR programs, Hawaiian, Natives, Nutrition, adding in its place ‘‘45 CFR part 75, part 75—Informal Grants Appeals Reporting and recordkeeping subpart E’’. Procedures’’; requirements. ■ b. By adding in alphanumeric order 45 CFR Part 1336 PART 50—POLICIES OF GENERAL APPLICABILITY ‘‘45 CFR part 75—Uniform Administrative practice and Administrative Requirements, Cost procedure, American Samoa, Grant ■ 3. The authority citation for part 50 Principles, and Audit Requirements for programs-Indians, Grant programs- continues to read as follows: HHS Awards.’’; and ■ social programs, Guam, Hawaiian Authority: Sec. 215, Public Health Service c. By removing ‘‘45 CFR part 92— Natives, Indians, Northern Mariana Act, 58 Stat. 690 (42 U.S.C. 216); Sec. 1006, Uniform administrative requirements Islands, Reporting and recordkeeping Public Health Service Act, 84 Stat. 1507 (42 for grants and cooperative agreements to requirements. U.S.C. 300a–4), unless otherwise noted. State and Local Governments.’’

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§ 51.10 [Amended] 74’’ and adding in its place ‘‘45 CFR § 52.8 [Amended] ■ 11. Amend § 51.10 by removing ‘‘45 part 75, subpart E’’ and in paragraph ■ 28. Amend § 52.8: CFR part 74’’ and adding in its place (b)(7), by removing ‘‘45 CFR part 74;’’ ■ a. By removing ‘‘45 CFR part 74— ‘‘45 CFR part 75’’. and adding in its place ‘‘45 CFR part Administration of grants.’’ and ‘‘45 CFR 75;’’. part 75—Informal grants appeals PART 51a—PROJECT GRANTS FOR § 51c.112 [Amended] procedures’’; MATERNAL AND CHILD HEALTH ■ ■ 19. Amend § 51c.112(c)(2)(iii) by b. By adding in alphanumeric order ■ 12. The authority citation for part 51a removing ‘‘subparts F, M, and O of 45 ‘‘45 CFR part 75—Uniform continues to read as follows: CFR part 74’’ and adding in its place Administrative Requirements, Cost Authority: Sec. 1102 of the Social Security ‘‘45 CFR 75.307, 75.371 through 75.385, Principles, and Audit Requirements for Act, 49 Stat. 647 (42 U.S.C. 1302); sec. 502(a), and 75.316–75.325’’. HHS Awards’’; and 502(b)(1)(A), and 506(a)(3) of the Social ■ 20. Revise § 51c.113 to read as ■ c. By removing ‘‘45 CFR part 92— Security Act, 95 Stat. 819–20 (42 U.S.C. follows: Uniform administrative requirements 702(a), 702(b)(1)(A) and 706(a)(3)). for grants and cooperative agreements to § 51c.113 Applicability of 45 CFR part 75. state and local governments’’. § 51a.7 [Amended] The provisions of 45 CFR part 75, ■ 13. Amend § 51a.7, in paragraph (b): establishing uniform administrative PART 52a—NATIONAL INSTITUTES OF ■ a. By removing ‘‘45 CFR part 74— requirements and cost principles, shall HEALTH CENTER GRANTS Administration of grants to nonprofit apply to all grants under this part. organizations.’’ and ‘‘45 CFR part 75— ■ 29. The authority citation for part 52a Informal Grants Appeals Procedures’’; § 51c.502 [Amended] continues to read as follows: ■ b. By adding in alphanumeric order ■ 21. Amend § 51c.502(a) by removing Authority: 42 U.S.C. 216, 284g, 285a– ‘‘45 CFR part 75—Uniform ‘‘45 CFR 74.132’’ and adding in its place 6(c)(1)(E), 285a–7(c)(1)(G), 285b–4, 285c–5, Administrative Requirements, Cost ‘‘45 CFR 75.2’’. 285c–8, 285d–6, 285e–2, 285e–3, 285e–10a, Principles, and Audit Requirements for 285f–1, 285g–5, 285g–7, 285g–9, 285m–3, HHS Awards.’’; and PART 51d—MENTAL HEALTH AND 285o–2, 286a–7(c)(1)(G), 287c–32(c), 300cc- ■ c. By removing ‘‘45 CFR part 92— SUBSTANCE ABUSE EMERGENCY 16. RESPONSE PROCEDURES Uniform administrative requirements § 52a.4 [Amended] for grants and cooperative agreements to ■ 22. The authority citation for part 51d ■ 30. Amend § 52a.4(i) by removing ‘‘45 State and Local Governments.’’ continues to read as follows: CFR 74.40 through 74.47 and 45 CFR PART 51b—PROJECT GRANTS FOR Authority: 42 U.S.C. 290aa(m). 92.25’’ and adding in its place ‘‘45 CFR 75.307’’. PREVENTIVE HEALTH SERVICES § 51d.8 [Amended] ■ 14. The authority citation for part 51b ■ 23. Amend § 51d.8: § 52a.7 [Amended] continues to read as follows: ■ a. By removing ‘‘45 CFR part 74— ■ 31. Amend § 52a.7 by removing ‘‘45 Authority: Secs. 317 and 318, Public Administration of grants’’ and ‘‘45 CFR CFR 74.27.’’ and adding in its place ‘‘45 Health Service Act, 92 Stat. 3574 and 3582 part 75—Informal grants appeals CFR part 75, subpart E.’’. (42 U.S.C. 247b, 247c); sec. 1743 Pub. L. 97– procedures’’; 35, 95 Stat. 763 (31 U.S.C. 1243 note). ■ b. By adding in alphanumeric order § 52a.8 [Amended] ‘‘45 CFR part 75—Uniform ■ 32. Amend § 52a.8: § 51b.105 [Amended] Administrative Requirements, Cost ■ a. By removing ‘‘45 CFR part 74— ■ 15. Amend § 51b.105, by removing Principles, and Audit Requirements for Uniform administrative requirements ‘‘45 CFR part 74—Administration of HHS Awards’’; and for awards and subawards to grants’’ and ‘‘45 CFR part 75—Informal ■ c. By removing ‘‘45 CFR part 92— institutions of higher education, grant appeals procedures’’ and adding Uniform administrative requirements hospitals, other nonprofit organizations, in alphanumeric order ‘‘45 CFR part for grants and cooperative agreements to and commercial organizations; and 75—Uniform Administrative state and local governments’’. certain grants and agreements with Requirements, Cost Principles, and § 51d.10 [Amended] states, local governments and Indian Audit Requirements for HHS Awards’’. tribal governments’’ and ‘‘45 CFR part ■ 24. Amend § 51d.10(a)(2) and (b)(2) by 75—Informal grant appeals procedures’’; § 51b.106 [Amended] removing ‘‘45 CFR 92.41(b),’’ and ■ b. By adding in alphanumeric order ■ 16. Amend § 51b.106(d), by removing adding in its place ‘‘45 CFR 75.341,’’. ‘‘45 CFR part 75—Uniform ‘‘subpart Q of 45 CFR part 74’’ and ■ 25. Amend § 51d.10(a)(3) and (b)(1), Administrative Requirements, Cost adding in its place ‘‘45 CFR part 75, (b)(3), and (b)(4) by removing ‘‘45 CFR Principles, and Audit Requirements for subpart E’’. 92.50(b)’’ and adding in its place ‘‘CFR 75.342’’. HHS Awards’’; and PART 51c—GRANTS FOR ■ c. By removing ‘‘45 CFR part 92— COMMUNITY HEALTH SERVICES PART 52—GRANTS FOR RESEARCH Uniform administrative requirements PROJECTS for grants and cooperative agreements to ■ 17. The authority citation for part 51c State and local governments’’. continues to read as follows: ■ 26. The authority citation for part 52 continues to read as follows: Authority: Sec. 330, Public Health Service PART 52b—NATIONAL INSTITUTES OF Act, 89 Stat. 342, (42 U.S.C. 254c); sec. 215, Authority: 42 U.S.C. 216. HEALTH CONSTRUCTION GRANTS Public Health Service Act, 58 Stat. 690, (42 ■ U.S.C. 216). § 52.6 [Amended] 33. The authority citation for part 52b ■ 27. Amend § 52.6(a), in the last continues to read as follows: § 51c.107 [Amended] sentence, by removing ‘‘subpart Q of 45 Authority: 42 U.S.C. 216, 285a–2, 285a– ■ 18. Amend § 51c.107, in paragraph (a), CFR part 74’’ and adding in its place 3, 285b–3, 285b–4, 285d–6, 285i, 285m–3, by removing ‘‘subpart Q of 45 CFR part ‘‘45 CFR part 75, subpart E’’. 285o–4, 287a–2, 287a–3, 300cc–41.

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§ 52b.7 [Amended] § 52d.8 [Amended] Circular A–102, Uniform Requirements ■ 34. Amend § 52b.7(c), in the last ■ 41. Amend § 52d.8 by removing ‘‘45 for Assistance to State and Local sentence, by removing ‘‘45 CFR part 74’’ CFR part 74—Administration of grants’’ Governments, as adopted for the and adding in its place ‘‘45 CFR part and ‘‘45 CFR part 75—Informal grant Department of Health and Human 75’’. appeals procedures’’ and adding in its Services by 45 CFR part 74’’ and adding place ‘‘45 CFR part 75—Uniform in its place ‘‘subpart F of 45 CFR part § 52b.14 [Amended] Administrative Requirements, Cost 75’’. ■ 35. Amend § 52b.14(b): Principles, and Audit Requirements for ■ a. By removing ‘‘45 CFR part 74— HHS Awards’’. PART 56—GRANTS FOR MIGRANT Uniform administrative requirements HEALTH SERVICES for awards and subawards to PART 52e—NATIONAL HEART, LUNG, ■ 49. The authority citation for part 56 institutions of higher education, AND BLOOD INSTITUTE GRANTS FOR continues to read as follows: hospitals, other nonprofit organizations, PREVENTION AND CONTROL and commercial organizations; and PROJECTS Authority: Secs. 215, 319, Public Health certain grants and agreements with Service Act (42 U.S.C. 216, 247d). states, local governments and Indian ■ 42. The authority citation for part 52e § 56.108 [Amended] tribal governments.’’; continues to read as follows: ■ ■ 50. Amend § 56.108 in paragraph (a) b. By adding in alphanumeric order Authority: 42 U.S.C. 216, 285b–1. ‘‘45 CFR part 75—Uniform by removing ‘‘subpart Q of 45 CFR part Administrative Requirements, Cost § 52e.6 [Amended] 74’’ and adding in its place ‘‘45 CFR Principles, and Audit Requirements for ■ 43. Amend § 52e.6(e) by removing part 75, subpart E’’ and in paragraph HHS Awards.’’; and ‘‘subpart Q of 45 CFR part 74’’ and (b)(7) by removing ‘‘45 CFR part 74’’ and ■ c. By removing ‘‘45 CFR part 92— adding in its place ‘‘45 CFR part 75, adding in its place ‘‘45 CFR part 75’’. Uniform administrative requirements subpart E’’. § 56.113 [Amended] for grants and cooperative agreements to ■ State and local governments.’’. § 52e.7 [Amended] 51. In § 56.113(c)(2)(iii), remove ■ 44. Amend § 52e.7(a) by removing ‘‘subparts F, M, and O of 45 CFR part PART 52c—MINORITY BIOMEDICAL ‘‘subpart Q of 45 CFR part 74’’ and 74’’ and add in its place ‘‘45 CFR RESEARCH SUPPORT PROGRAM adding in its place ‘‘45 CFR part 75, 75.307, 75.371 through 75.385, and subpart E’’. 75.316 through 75.325’’. ■ 36. The authority citation for part 52c ■ 52. Revise § 56.114 to read as follows: continues to read as follows: § 52e.8 [Amended] § 56.114 Applicability of 45 CFR part 75. Authority: 42 U.S.C. 216, 241(a)(3). ■ 45. Amend § 52e.8: The provisions of 45 CFR part 75, ■ a. By removing ‘‘45 CFR part 74— § 52c.6 [Amended] establishing uniform administrative Administration of grants’’ and ‘‘45 CFR ■ requirements and cost principles, shall 37. Amend § 52c.6(a) by removing part 75—Informal grants appeals apply to all grants under this part. ‘‘subpart Q of 45 CFR part 74’’ and procedures’’; adding in its place ‘‘45 CFR part 75, ■ b. By adding in alphanumeric order subpart E’’. PART 57—GRANTS FOR ‘‘45 CFR part 75—Uniform CONSTRUCTION OF TEACHING § 52c.7 [Amended] Administrative Requirements, Cost FACILITIES, EDUCATIONAL ■ 38. Amend § 52c.7: Principles, and Audit Requirements for IMPROVEMENTS, SCHOLARSHIPS ■ a. By removing ‘‘45 CFR part 74— HHS Awards’’; and AND STUDENT LOANS Administration of grants’’ and ‘‘45 CFR ■ c. By removing ‘‘45 CFR part 92— ■ part 75—Informal grants appeals Uniform administrative requirements 53. The authority citation for part 57 procedures’’; for grants and cooperative agreements to continues to read as follows: ■ b. By adding in alphanumeric order state and local governments’’. Authority: Sec. 215 of the Public Health ‘‘45 CFR part 75—Uniform Service Act, 58 Stat. 690, as amended, 63 Administrative Requirements, Cost PART 55a—PROGRAM GRANTS FOR Stat. 35 (42 U.S.C. 216); secs. 740–747 of the Principles, and Audit Requirements for BLACK LUNG CLINICS Public Health Service Act, 77 Stat. 170–173, as amended by 90 Stat. 2266–2268, 91 Stat. HHS Awards’’; and ■ 46. The authority citation for part 55a ■ c. By removing ‘‘45 CFR part 92— 390–391, 95 Stat. 920, 99 Stat. 532–536, and continues to read as follows: 102 Stat. 3125 (42 U.S.C. 294m–q); Uniform administrative requirements Authority: Sec. 427(a), Federal Mine renumbered as secs. 721–735, as amended by for grants and cooperative agreements to Pub. L. 102–408, 106 Stat. 2011–2022 (42 state and local governments.’’. Safety and Health Act of 1977, 92 Stat. 100 (30 U.S.C. 937(a)). U.S.C. 292q–292y). PART 52d—NATIONAL CANCER § 55a.107 [Amended] § 57.215 [Amended] INSTITUTE CLINICAL CANCER ■ ■ 47. Amend § 55a.107 by removing ‘‘45 54. Amend § 57.215(a)(3) by removing EDUCATION PROGRAM CFR part 74—Administration of grants;’’ ‘‘45 CFR part 74’’ and adding in its ■ 39. The authority citation for part 52d and ‘‘45 CFR part 75—Informal grant place ‘‘45 CFR part 75’’. continues to read as follows: appeals procedures;’’ and adding in § 57.315 [Amended] alphanumeric order ‘‘45 CFR part 75— Authority: Sec. 215, 58 Stat. 690, as ■ 55. Amend § 57.315(b)(2) by removing Uniform Administrative Requirements, amended, 63 Stat. 835 (42 U.S.C. 216); sec. ‘‘45 CFR part 74’’ and adding in its Cost Principles, and Audit 404(a)(4), 92 Stat. 3426 (42 U.S.C. 285). place ‘‘45 CFR part 75’’. Requirements for HHS Awards;’’. § 52d.7 [Amended] PART 59—GRANTS FOR FAMILY ■ § 55a.201 [Amended] 40. Amend § 52d.7 by removing PLANNING SERVICES ‘‘subpart Q of 45 CFR part 74’’ and ■ 48. Amend § 55a.201(g) by removing adding in its place ‘‘45 CFR part 75, ‘‘Attachment P, Audit Requirements, of ■ 56. The authority citation for part 59 subpart E’’. Office of Management and Budget continues to read as follows:

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Authority: 42 U.S.C. 300a–4. ■ a. By removing ‘‘45 CFR part 74— Authority: 42 U.S.C. 216, 2421(b)(3), Administration of grants’’ and ‘‘45 CFR 284(b)(1)(C), 285g–10, 287c(b), 300cc– § 59.9 [Amended] part 75—Informal grants appeals 15(a)(1), 300cc–41(a)(3)(C), 7403(h)(2). ■ 57. Amend § 59.9 by removing ‘‘45 procedures’’; § 63a.10 [Amended] CFR part 74 or Part 92, as applicable’’ ■ b. By adding in alphanumeric order ■ and adding in its place ‘‘45 CFR part 75, ‘‘45 CFR part 75—Uniform 71. Amend § 63a.10(a) by removing subpart E’’. Administrative Requirements, Cost ‘‘45 CFR 74.27’’ and adding in its place ‘‘45 CFR part 75, subpart E’’. § 59.10 [Amended] Principles, and Audit Requirements for HHS Awards’’; and § 63a.11 [Amended] ■ 58. Amend § 59.10: ■ c. By removing ‘‘45 CFR part 92— ■ ■ 72. Amend § 63a.11: a. By removing ‘‘45 CFR part 74— Uniform administrative requirements ■ a. By removing ‘‘45 CFR part 74— Uniform administrative requirements for grants and cooperative agreements to Administration of grants’’ and ‘‘45 CFR for awards and subawards to state and local governments’’. institutions of higher education, part 75—Informal grant appeals hospitals, other nonprofit organizations, § 59a.16 [Amended] procedures’’; and commercial organizations; and ■ 66. Amend § 59a.16(a) by removing ■ b. By adding in alphanumeric order certain grants and agreements with ‘‘subpart Q of 45 CFR part 74’’ and ‘‘45 CFR part 75—Uniform states, local governments and Indian adding in its place ‘‘45 CFR part 75, administrative requirements, cost tribal governments’’; subpart E’’. principles, and audit requirements for ■ b. By adding in alphanumeric order HHS awards’’; and ‘‘45 CFR part 75—Uniform § 59a.17 [Amended] ■ c. By removing ‘‘45 CFR part 92— Administrative Requirements, Cost ■ 67. Amend § 59a.17: Administrative Requirements for grants ■ Principles, and Audit Requirements for a. By removing ‘‘45 CFR part 74— and cooperative agreements to State and HHS Awards’’; and Administration of grants’’ and ‘‘45 CFR local governments’’. ■ c. By removing ‘‘45 CFR part 92— part 75—Informal grants appeals Uniform administrative requirements procedures.’’; PART 64—NATIONAL LIBRARY OF ■ for grants and cooperative agreements to b. By adding in alphanumeric order MEDICINE TRAINING GRANTS ‘‘45 CFR part 75—Uniform state and local governments’’. ■ Administrative Requirements, Cost 73. The authority citation for part 64 § 59.206 [Amended] Principles, and Audit Requirements for continues to read as follows: ■ 59. Amend § 59.206(c) by removing HHS Awards’’; and Authority: 42 U.S.C. 216, 286b–3. ■ c. By removing ‘‘45 CFR part 92— ‘‘subpart Q of 35 CFR part 74’’ and § 64.8 [Amended] adding in its place ‘‘45 CFR part 75, Uniform administrative requirements ■ 74. Amend § 64.8 by removing subpart E’’. for grants and cooperative agreements to state and local governments’’. ‘‘subpart Q of 45 CFR part 74’’ and § 59.208 [Amended] adding in its place ‘‘45 CFR part 75, ■ 60. Amend § 59.208(a) by removing PART 62—NATIONAL HEALTH subpart E’’. SERVICE CORPS SCHOLARSHIP AND ‘‘subpart Q of 45 CFR part 74’’ and § 64.9 [Amended] adding in its place ‘‘45 CFR part 75, LOAN REPAYMENT PROGRAMS ■ 75. Amend § 64.9: subpart E’’. ■ 68. The authority citation for part 62 ■ a. By removing ‘‘45 CFR part 74— § 59.212 [Amended] continues to read as follows: Administration of grants.’’ and ‘‘45 CFR ■ 61. Amend § 59.212(d)(2)(iii) by Authority: Sec. 215 of the Public Health part 75—Informal grant appeals removing ‘‘subparts F, M, and O of 45 Service Act, 58 Stat. 690, as amended, 63 procedures.’’; Stat. 35 (42 U.S.C. 216); sec. 751 of the Public CFR part 74.’’ and adding in its place ■ b. By adding in alphanumeric order Health Service Act, 90 Stat. 2281 (42 U.S.C. ‘‘45 CFR part 75—Uniform ‘‘45 CFR 75.307, 75.371 through 75.385, 294t), unless otherwise noted. and 75.316–75.325.’’. Administrative Requirements, Cost ■ 62. Revise § 59.215 to read as follows: § 62.58 [Amended] Principles, and Audit Requirements for ■ 69. Amend § 62.58: HHS Awards.’’; and § 59.215 Applicability of 45 CFR part 75. ■ a. By removing ‘‘45 CFR part 74— ■ c. By removing ‘‘45 CFR part 92— The provisions of 45 CFR part 75, Administration of grants’’, ‘‘45 CFR part Administrative Requirements for grants establishing uniform administrative 75—Informal grant appeals procedures’’ and cooperative agreements to State and requirements and cost principles, shall and ‘‘45 CFR part 92—Administrative local governments.’’. apply to all grants under this part. Requirements for grants and cooperative PART 65—NATIONAL INSTITUTE OF agreements to State and local ENVIRONMENTAL HEALTH SCIENCES PART 59a—NATIONAL LIBRARY OF governments (effective October 1, HAZARDOUS WASTE WORKER MEDICINE GRANTS 1988)’’; ■ TRAINING ■ 63. The authority citation for part 59a b. By adding in alphanumeric order continues to read as follows: ‘‘45 CFR part 75—Uniform ■ 76. The authority citation for part 65 Administrative Requirements, Cost continues to read as follows: Authority: 42 U.S.C. 286b–2, 286b–5. Principles, and Audit Requirements for HHS Awards’’; and Authority: 42 U.S.C. 9660a; 49 U.S.C. § 59a.6 [Amended] App. 1816. ■ c. By arranging existing entries in ■ 64. Amend § 59a.6 by removing alphanumeric order. ‘‘subpart Q of 45 CFR part 74’’ and § 65.8 [Amended] ■ adding in its place ‘‘45 CFR part 75, PART 63a—NATIONAL INSTITUTES OF 77. Amend § 65.8: ■ subpart E’’. HEALTH TRAINING GRANTS a. By removing ‘‘45 CFR part 74— Administration of grants’’ and ‘‘45 CFR § 59a.7 [Amended] ■ 70. The authority citation for part 63a part 75—Informal grant appeals ■ 65. Amend § 59a.7: continues to read as follows: procedures’’;

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■ b. By adding in alphanumeric order ■ b. By adding in alphanumeric order requirements and cost principles, shall ‘‘45 CFR part 75—Uniform ‘‘45 CFR part 75—Uniform apply to all grants under this part.’’. Administrative Requirements, Cost Administrative Requirements, Cost Principles, and Audit Requirements for Principles, and Audit Requirements for PART 136—INDIAN HEALTH HHS Awards’’; and HHS Awards’’. ■ c. By removing ‘‘45 CFR part 92— ■ 92. The authority citation for part 136 Administrative Requirements for Grants PART 67—AGENCY FOR HEALTH continues to read as follows: and Cooperative Agreements to State CARE POLICY AND RESEARCH Authority: 25 U.S.C. 13; sec. 3, 68 Stat. and local Governments’’. GRANTS AND CONTRACTS 674 (42 U.S.C., 2001, 2003); Sec. 1, 42 Stat. 208 (25 U.S.C. 13); 42 U.S.C. 2001, unless PART 65a—NATIONAL INSTITUTE OF ■ 84. The authority citation for part 67 otherwise noted. ENVIRONMENTAL HEALTH SCIENCES continues to read as follows: § 136.56 [Amended] HAZARDOUS SUBSTANCES BASIC Authority: Pub. L. 103–43, 107 Stat. 214– RESEARCH AND TRAINING GRANTS 215, Pub. L. 102–410, 106 Stat. 2094–2101 ■ 93. Amend § 136.56 by removing ‘‘45 and sec. 6103, Pub. L. 101–239, 103 Stat. CFR part 74, subpart C’’ and adding in ■ 78. The authority citation for part 65a 2189–2208, Title IX of the Public Health its place ‘‘45 CFR 75.361’’. continues to read as follows: Service Act (42 U.S.C. 299–299c-6); and sec. Authority: 42 U.S.C. 216, 9660(a). 1142, Social Security Act (42 U.S.C. 1320b- § 136.104 [Amended] 12). ■ 94. Amend § 136.104(a) by removing § 65a.9 [Amended] ‘‘45 CFR part 74, subpart N’’ and adding ■ § 67.11 [Amended] 79. Amend § 65a.9(a) by removing ‘‘45 in its place ‘‘45 CFR 75.206’’. CFR 74.25’’ and adding in its place ‘‘45 ■ 85. Amend § 67.11 in the definition of CFR 75.308’’. ‘‘Grant,’’ by removing ‘‘45 CFR parts 74 § 136.105 [Amended] and 92’’ and adding in its place ‘‘45 CFR ■ § 65a.10 [Amended] part 75’’. 95. Amend § 136.105(e) Note by ■ 80. Amend § 65a.10 by removing ‘‘45 removing ‘‘45 CFR 74.15’’ and adding in CFR 74.27’’ and adding in its place ‘‘45 § 67.18 [Amended] its place ‘‘45 CFR 75.304’’. ■ CFR part 75, subpart E’’. 86. Amend § 67.18 by removing ‘‘45 § 136.107 [Amended] CFR part 74, or part 92 for State and § 65a.11 [Amended] local government grantees’’ and adding ■ 96. Amend § 136.107 in paragraph (a) ■ 81. Amend § 65a.11: in its place ‘‘45 CFR part 75’’. by removing ‘‘subpart Q of 45 CFR part ■ a. By removing ‘‘45 CFR part 74— 74’’ and adding in its place ‘‘45 CFR Uniform administrative requirements § 67.19 [Amended] part 75, subpart E’’ and in paragraph (b) for awards and subawards to ■ 87. Amend § 67.19: Note by removing ‘‘45 CFR 74.53’’ and institutions of higher education, ■ a. By removing ‘‘45 CFR part 74— adding in its place ‘‘45 CFR 75.306’’. hospitals, other nonprofit organizations, Administration of grants’’; and commercial organizations; and ■ b. By adding in alphanumeric order § 136.110 [Amended] certain grants and agreements with ‘‘45 CFR part 75—Uniform ■ 97. Amend § 136.110(b)(3) by states, local governments and Indian Administrative Requirements, Cost removing ‘‘subpart P of 45 CFR part 74’’ tribal governments’’ and ‘‘45 CFR part Principles, and Audit Requirements for and adding in its place ‘‘45 CFR 75.326 75—Informal grant appeals procedures’’; HHS Awards’’; and through 75.340’’. ■ b. By adding in alphanumeric order ■ c. By removing ‘‘45 CFR part 92— ‘‘45 CFR part 75—Uniform Uniform administrative requirements § 136.111 [Amended] Administrative Requirements, Cost for grants and cooperative agreements ■ 98. Amend § 136.111 in the Note by Principles, and Audit Requirements for with State and local governments’’. removing ‘‘45 CFR 74.47(a)’’ and adding HHS Awards’’; and in its place ‘‘45 CFR 75.305(b)(9)’’. ■ c. By removing ‘‘45 CFR part 92— PART 124—MEDICAL FACILITY Uniform administrative requirements CONSTRUCTION AND § 136.114 [Amended] for grants and cooperative agreements to MODERNIZATION ■ 99. Amend § 136.114 by removing ‘‘45 state and local governments’’. CFR part 74—Administration of grants’’ ■ 88. The authority citation for part 124 and ‘‘45 CFR part 75—Informal grant PART 66—NATIONAL RESEARCH continues to read as follows: appeals procedures’’ and adding in SERVICE AWARDS Authority: Secs. 215, 1602, 1625, Public alphanumeric order ‘‘45 CFR 75— ■ 82. The authority citation for part 66 Health Service Act (42 U.S.C. 216, 300o–1, Uniform Administrative Requirements, 300r), unless otherwise noted. continues to read as follows: Cost Principles, and Audit Authority: 42 U.S.C. 216, 288. § 124.6 [Amended] Requirements for HHS Awards’’. ■ 89. Amend § 124.6 by removing § 66.207 [Amended] § 136.115 [Amended] ‘‘subpart K of 45 CFR part 74.’’ and ■ ■ 83. Amend § 66.207: adding in its place ‘‘45 CFR 75.305’’. 100. Amend § 136.115 in the Note by ■ a. By removing ‘‘45 CFR part 74— removing ‘‘45 CFR part 74, subpart M’’ Uniform administrative requirements § 124.7 [Amended] and adding in its place ‘‘45 CFR 75.371 for awards and subawards to ■ 90. Amend § 124.7 by removing through 75.385’’. institutions of higher education, ‘‘subpart Q of 45 CFR part 74.’’ and § 136.116 [Amended] hospitals, other nonprofit organizations, adding in its place ‘‘45 CFR part 75, and commercial organizations; and subpart E.’’. ■ 101. Amend § 136.116 by removing certain grants and agreements with ■ 91. Revise § 124.11 to read as follows: ‘‘subpart J of 45 CFR part 74’’ and states, local governments and Indian adding in its place ‘‘45 CFR 75.341 tribal governments’’ and ‘‘45 CFR part § 124.11 Applicability of 45 CFR part 75. through 75.360’’ and in the Note by 75—Informal grant appeals procedures’’; The provisions of 45 CFR part 75, removing ‘‘45 CFR part 74’’ and adding and establishing uniform administrative in its place ‘‘45 CFR part 75’’.

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§ 136.120 [Amended] 74.132’’ and adding in its place ‘‘45 CFR PART 435—ELIGIBILITY IN THE ■ 102. Amend § 136.120 in the Note by 75.2’’. STATES, DISTRICT OF COLUMBIA, removing ‘‘45 CFR part 74’’ and adding THE NORTHERN MARIANA ISLANDS, in its place ‘‘45 CFR part 75’’. PART 430—GRANTS TO STATES FOR AND AMERICAN SAMOA MEDICAL ASSISTANCE PROGRAMS § 136.302 [Amended] ■ 120. The authority citation for part ■ 111. The authority citation for part ■ 103. Amend § 136.302(r) by removing 434 continues to read as follows: 430 continues to read as follows: ‘‘45 CFR 74.3’’ and adding in its place Authority: Sec. 1102 of the Social Security ‘‘45 CFR 75.2’’. Authority: Sec. 1102 of the Social Security Act (42 U.S.C. 1302). Act (42 U.S.C. 1302). § 136.312 [Amended] § 435.407 [Amended] ■ 104. Amend § 136.312(a) by removing § 430.2 [Amended] ■ 121. Amend § 435.407(j) by removing ‘‘45 CFR part 74, subpart N’’ and adding ■ 112. Amend § 430.2(b) by removing ‘‘45 CFR 74.53’’ and adding in its place in its place ‘‘45 CFR 75.206’’. ‘‘Part 74—Administration of Grants.’’ ‘‘45 CFR 75.361’’. and adding in alphanumeric order ‘‘Part § 136.314 [Amended] 75—Uniform Administrative PART 436—ELIGIBILITY IN GUAM, ■ 105. Amend § 136.314 by removing Requirements, Cost Principles, and PUERTO RICO, AND THE VIRGIN ‘‘subpart Q of 45 CFR part 74’’ and Audit Requirements for HHS Awards.’’. ISLANDS adding in its place ‘‘45 CFR part 75, ■ 113. Revise § 430.30(e) to read as subpart E’’. follows: ■ 122. The authority citation for part 436 continues to read as follows: § 136.316 [Amended] § 430.30 [Amended] ■ 106. Amend § 136.316 by removing Authority: Sec. 1102 of the Social Security * * * * * Act (42 U.S.C. 1302). ‘‘45 CFR part 74, Administration of (e) General administrative grants’’ and ‘‘45 CFR part 75, Informal requirements. With the following § 436.407 [Amended] grant appeals procedures’’ and adding exceptions, the provisions of 45 CFR 75, ■ 123. Amend § 436.407(j) by removing in alphanumeric order ‘‘45 CFR part which establish uniform administrative 75—Uniform Administrative ‘‘45 CFR 74.53’’ and adding in its place requirements and cost principles, apply ‘‘45 CFR 75.361’’. Requirements, Cost Principles, and to all grants made to States under this Audit Requirements for HHS Awards’’. subpart: PART 438—MANAGED CARE PART 403—SPECIAL PROGRAMS AND (1) Cost sharing or matching, 45 CFR PROJECTS 75.306; and ■ 124. The authority citation for part (2) Financial reporting, 45 CFR 438 continues to read as follows: ■ 107. The authority citation for part 75.341. Authority: Sec. 1102 of the Social Security 403 continues to read as follows: Act (42 U.S.C. 1302). Authority: 42 U.S.C. 1395b–3 and Secs. PART 433—STATE FISCAL 1102 and 1871 of the Social Security Act (42 ADMINISTRATION § 438.356 [Amended] U.S.C. 1302 and 1395hh). ■ ■ 114. The authority citation for part 125. Amend § 438.356(e) by removing § 403.512 [Amended] 433 continues to read as follows: ‘‘45 CFR part 74’’ and adding in its place ‘‘45 CFR part 75’’. ■ 108. Amend § 403.512(a): Authority: Sec. 1102 of the Social Security ■ a. By removing from the first sentence Act, (42 U.S.C. 1302). PART 440—SERVICES: GENERAL ‘‘45 CFR part 92 (‘‘Uniform § 433.112 [Amended] PROVISIONS Administrative Requirements for Grants and Cooperative Agreements to State ■ 115. Amend § 433.112(b)(7) by ■ 126. The authority citation for part and Local Governments’’), 45 CFR 74.4’’ removing ‘‘45 CFR 74.27(a)’’ and adding 440 continues to read as follows: in its place 45 CFR part 75, subpart E’’. and adding in its place ‘‘45 CFR part Authority: Sec. 1102 of the Social Security 75’’; and § 433.322 [Amended] Act (42 U.S.C. 1302). ■ b. By removing from the second ■ sentence ‘‘45 CFR 74.4 or in part 92’’ 116. Amend § 433.322 by removing § 440.170 [Amended] ‘‘45 CFR 92.42’’ and adding in its place and adding in its place ‘‘45 CFR part ■ 45 CFR 75.361 through 75.370’’. 127. Amend § 440.170(a)(4)(i)(A) by 75’’. removing ‘‘45 CFR 92.36(b) through (i)’’ PART 434—CONTRACTS and adding in its place ‘‘45 CFR 75.326 PART 417—HEALTH MAINTENANCE through 75.340’’. ORGANIZATIONS, COMPETITIVE ■ 117. The authority citation for part MEDICAL PLANS, AND HEALTH CARE 434 continues to read as follows: PART 441—SERVICES: PREPAYMENT PLANS REQUIREMENTS AND LIMITS Authority: Sec. 1102 of the Social Security APPLICABLE TO SPECIFIC SERVICES ■ 109. The authority citation for part Act (42 U.S.C. 1302). 417 continues to read as follows: § 434.6 [Amended] ■ 128. The authority citation for part Authority: Secs. 1102 and 1871 of the ■ 441 continues to read as follows: Social Security Act (42 U.S.C. 1302 and 118. Amend § 434.6(a)(1) by removing 1395hh), secs. 1301, 1306, and 1310 of the ‘‘45 CFR part 74’’ and adding in its Authority: Secs. 1102, 1902, and 1928 of Public Health Service Act (42 U.S.C. 300e, place ‘‘45 CFR part 75’’. the Social Security Act (42 U.S.C. 1302). 300e–5, and 300e–9), and 31 U.S.C. 9701. § 434.70 [Amended] § 441.208 [Amended] § 417.911 [Amended] ■ 119. Amend § 434.70(a)(2) by ■ 129. Amend § 441.208 by removing ■ 110. Amend § 417.911 Small Capital removing ‘‘45 CFR part 74’’ and adding ‘‘45 CFR 74.20’’ and adding in its place Expenditure (1) by removing ‘‘45 CFR in its place ‘‘45 CFR part 75’’. ‘‘45 CFR 75.361’’.

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§ 441.353 [Amended] PART 1001—PROGRAM INTEGRITY— at www.hhs.gov/dab/divisions/ ■ 130. Amend § 441.353(c)(3) by MEDICARE AND STATE HEALTH appellate. removing ‘‘45 CFR part 74’’ and adding CARE PROGRAMS * * * * * in its place ‘‘45 CFR part 75’’. ■ 139. The authority citation for part § 16.22 [Amended] § 441.484 [Amended] 1001 continues to read as follows: ■ 147. Amend § 16.22(b)(1) by removing ■ 131. Amend § 441.484(a)(2) by Authority: 42 U.S.C. 1302, 1320a-7, 1320a- ‘‘see § 74.114 of this title’’ and adding in removing ‘‘45 CFR 74.40 through 74.48’’ 7b, 1395u(j), 1395u(k), 1395w-104(e)(6), its place ‘‘see § 75.371 of this title’’. and adding in its place ‘‘45 CFR 75.326 1395y(d), 1395y(e), 1395cc(b)(2)(D), (E) and through 75.340’’. (F), and 1395hh; and sec. 2455, Public Law PART 63—GRANT PROGRAMS 103–355, 108 Stat. 3327 (31 U.S.C. 6101 ADMINISTERED BY THE OFFICE OF PART 456—UTILIZATION CONTROL note). THE ASSISTANT SECRETARY FOR ■ 132. The authority citation for part § 1001.952 [Amended] PLANNING AND EVALUATION 456 continues to read as follows: ■ 140. Amend § 1001.952(w)(7) by ■ 148. The authority citation for part 63 Authority: Sec. 1102 of the Social Security removing ‘‘45 CFR 74.40 through 74.48’’ continues to read as follows: Act (42 U.S.C. 1302), unless otherwise noted. and adding in its place ‘‘45 CFR 75.326 through 75.340’’ and designating the Authority: Sec. 602, Community Services § 456.722 [Amended] Act (42 U.S.C. 2942); sec. 1110, Social undesignated paragraph following Security Act (42 U.S.C. 1310). ■ 133. Amend § 456.722(c)(1) by paragraph (w)(9) as Note to paragraph removing ‘‘45 CFR part 74, subpart P, (w). § 63.8 [Amended] and appendix G–O of OMB circular A– ■ Title 45—Public Welfare 149. Amend § 63.8(c)(1) by removing 102’’ and adding in its place ‘‘45 CFR ‘‘Part 74 of this title, establishing 75.326 through 75.340’’. PART 16—PROCEDURES OF THE uniform administrative requirements DEPARTMENTAL GRANT APPEALS and cost principles for grants’’ and PART 457—ALLOTMENTS AND BOARD adding in its place ‘‘Part 75 of this title, GRANTS TO STATES establishing uniform administrative ■ 141. The authority citation for part 16 ■ 134. The authority citation for part requirements, cost principles and audit continues to read as follows: 457 continues to read as follows: requirements for grants’’. Authority: 5 U.S.C. 301 and secs. 1, 5, 6, Authority: Section 1102 of the Social and 7 of Reorganization Plan No. 1 of 1953, § 63.34 [Amended] Security Act (42 U.S.C. 1302). 18 FR 2053, 67 Stat. 631 and authorities cited ■ 150. Amend § 63.34 by removing § 457.230 [Amended] in the Appendix. ‘‘§ 74.114’’ and adding in its place ‘‘§ 75.372’’. ■ 135. Amend § 457.230 by removing § 16.1 [Amended] ‘‘45 CFR part 74’’ and adding in its ■ 142. Amend § 16.1 by removing ‘‘part PART 75—UNIFORM ADMINISTRATIVE place ‘‘45 CFR part 75’’. 74 of this title’’ and adding in its place REQUIREMENTS, COST PRINCIPLES, § 457.628 [Amended] ‘‘part 75 of this title’’. AND AUDIT REQUIREMENTS FOR HHS ■ 136. Amend § 457.628(b) by removing § 16.2 [Amended] AWARDS ‘‘Part 74—Administration of Grants ■ 143. Amend § 16.2(b) by removing ■ 151. The authority citation for part 75 (except as specifically excepted).’’ and ‘‘part 74 of this title’’ and adding in its continues to read as follows: adding in alphanumeric order ‘‘45 CFR place ‘‘part 75 of this title’’. part 75—Uniform Administrative Authority: 5 U.S.C. 301. Requirements, Cost Principles, and § 16.3 [Amended] § 75.1 Acronyms [Amended] ■ Audit Requirements for HHS Awards 144. Amend § 16.3(b) by removing ‘‘45 ■ 152. Amend § 75.1 by removing ‘‘COG (except as specifically excepted).’’. CFR 74.304’’ and adding in its place ‘‘45 ■ Councils of Governments’’ and adding 137. Amend § 457.630 in paragraph (f) CFR 75.374’’. in its place ‘‘COG Councils Of introductory text by removing ‘‘45 CFR § 16.7 [Amended] Governments’’; adding in alphabetical part 74’’ and adding in its place ‘‘45 order ‘‘FAPIIS Federal Awardee CFR part 75’’ and revising paragraphs ■ 145. Amend § 16.7(a) by removing ‘‘45 CFR 74.304’’ and adding in its place ‘‘45 Performance and Integrity Information (f)(1) and (2). System’’; and removing ‘‘SAM System The revisions read as follows: CFR 75.374’’. ■ 146. Amend § 16.20 by revising for Award Management’’ and adding in § 457.630 Grants procedures. paragraph (a) to read as follows: its place ‘‘SAM System for Award * * * * * Management (accessible at https:// (f) * * * § 16.20 How to submit material to the www.sam.gov)’’ Board. (1) Cost sharing or matching, 45 CFR ■ 153. Amend § 75.2: 75.306; and (a) Submissions should be addressed ■ a. By revising paragraph (2) in the (2) Financial reporting, 45 CFR to the Board’s current mailing address: definition of ‘‘Cognizant agency for 75.341. Department of Health and Human indirect costs;’’ Services, Departmental Appeals Board, ■ b. In the definition of ‘‘Federal Audit § 457.940 [Amended] Appellate Division—MS 6127, 330 Clearinghouse FAC’’ by removing ■ 138. Amend § 457.940 in paragraph Independence Ave. SW., Cohen ‘‘FAC’’ and adding ‘‘(FAC)’’ in its place; (b)(1) by removing ‘‘45 CFR 74.43 or 45 Building—Rm. G–644, Washington, DC ■ c. In the definition of ‘‘Federal CFR 92.36, as applicable’’ and adding in 20201; however, submissions to the financial assistance’’: its place ‘‘45 CFR 75.326 through Board in certain types of cases may be ■ i. By revising paragraphs (1) 75.340’’ and in paragraph (d) by made by electronic filing using DAB E- introductory text and (2) introductory removing ‘‘45 CFR part 74 or 45 CFR File at https://dab.efile.hhs.gov. text; and part 92, as applicable’’ and adding in its Changes to the mailing address will be ■ ii. By redesignating paragraph (c) as place ‘‘45 CFR part 75’’. made available on the Board’s Web site paragraph (3).

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■ d. By revising the terms ‘‘GAAP’’ and (1) Means any payment that should property or services using small ‘‘GAGAS’’ to read ‘‘Generally Accepted not have been made or that was made purchase methods. Non-Federal entities Accounting Principles (GAAP)’’and in an incorrect amount (including adopt small purchase procedures in ‘‘Generally Accepted Government overpayments and underpayments) order to expedite the purchase of items Auditing Standards (GAGAS),’’ under statutory, contractual, costing less than the simplified respectively, and redesignating them in administrative, or other legally acquisition threshold. The simplified proper alphabetical order; applicable requirements; and acquisition threshold is set by the ■ e. By revising the definitions of (2) Includes any payment to an Federal Acquisition Regulation at 48 ‘‘Improper payment,’’ ‘‘Obligations,’’ ineligible party, any payment for an CFR subpart 2.1 and in accordance with and ‘‘Simplified acquisition threshold;’’ ineligible good or service, any duplicate 41 U.S.C. 1908. As of the publication of and payment, any payment for a good or this part, the simplified acquisition ■ f. Adding a definition of ‘‘Working service not received (except for such threshold is $150,000, but this threshold capital advance.’’ payments where authorized by law), any is periodically adjusted for inflation. The revisions and additions read as payment that does not account for See also Micro-purchase. follows: credit for applicable discounts, and any * * * * * § 75.2 Definitions. payment where insufficient or lack of Working capital advance means a documentation prevents a reviewer from * * * * * procedure whereby funds are advanced Cognizant agency for indirect costs discerning whether a payment was to the recipient to cover its estimated *** proper. disbursement needs for a given initial (2) For nonprofit organizations, * * * * * period. Appendix IV to Part 75 C.2.a. Obligations, when used in connection ■ 154. In § 75.101: * * * * * with a non-Federal entity’s utilization of ■ a. Revise the table in paragraph (b)(1); Federal financial assistance means funds under a Federal award, ■ b. Revise paragraph (b)(2); (1) Assistance that non-Federal obligations means orders placed for ■ c. In paragraph (c), remove the entities receive or administer in the property and services, contracts and reference ‘‘§ 75.215: and add ‘‘§ 75.217’’ form of: subawards made, and similar in its place; and * * * * * transactions during a given period that ■ d. Revise paragraphs (d)(1) and (e)(1) (2) For § 75.202 and Subpart F of this require payment by the non-Federal introductory text. part, Federal financial assistance also entity during the same or a future The revisions read as follows: includes assistance that non-Federal period. entities receive or administer in the * * * * * § 75.101 Applicability form of: Simplified acquisition threshold * * * * * * * * * * means the dollar amount below which (b) * * * Improper payment: a non-Federal entity may purchase (1) * * *

Are applicable to the fol- lowing types of Federal awards and fixed-price con- Are NOT applicable to the following types of Federal The following portions of the part: tracts and subcontracts (ex- awards and fixed-price contracts and subcontracts: cept as noted in para- graphs (d) and (e) below):

This table must be read along with the other provisions in this section

Subpart A—Acronyms and Definitions ...... —All. Subpart B—General Provisions, except for §§ 75.111, —All. 75.112. and 75.113. Sections 75.111, 75.112, and 75.113 ...... —Grant agreements and —Agreements for loans, loan guarantees, interest sub- cooperative agreements. sidies and insurance. —Procurement contracts awarded by Federal Agencies under the Federal Acquisition Regulations and sub- contracts under these contracts. Subparts C–D, except for §§ 75.202, 75.303, 75.351– —Grant agreements and —Agreements for loans, loan guarantees, interest sub- .353. cooperative agreements. sidies and insurance. —Procurement contracts awarded under the Federal Acquisition Regulations and cost-reimbursement and subcontracts under these contracts. § 75.202 ...... —Grant Agreements and —Procurement contracts awarded under the Federal cooperative agreements. Acquisition Regulations and cost-reimbursement and —Agreements for loans, subcontracts under these contracts. loan guarantees, interest subsidies and insurance. §§ 75.303, 75.351–.353 ...... —All. Subpart E—Cost Principles ...... —Grant agreements and —Grant agreements and cooperative agreements pro- cooperative agreements, viding food commodities. except those providing —Fixed amount awards. food commodities. —Agreements for loans, loan guarantees, interest sub- —All procurement contracts sidies and insurance. under the Federal Acqui- —Federal awards to hospitals (See Appendix IX). sition Regulations except those that are not nego- tiated.

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Are applicable to the fol- lowing types of Federal awards and fixed-price con- Are NOT applicable to the following types of Federal The following portions of the part: tracts and subcontracts (ex- awards and fixed-price contracts and subcontracts: cept as noted in para- graphs (d) and (e) below):

Subpart F—Audit Requirements ...... —Grant agreements and —Fixed-price contracts and subcontracts awarded cooperative agreements. under the Federal Acquisition Regulation. —Contracts and sub- contracts, except for fixed price contract and sub- contracts, awarded under the Federal Acquisition Regulation. —Agreements for loans, loan guarantees, interest subsidies and insurance and other forms of Fed- eral Financial Assistance as defined by the Single Audit Act Amendment of 1996.

(2) Federal award of cost- § 75.102 [Amended] § 75.113 Mandatory disclosures. reimbursement contract under the FAR ■ 155. Amend § 75.102(b) by adding a * * * Non-Federal entities that have to a non-Federal entity. When a non- comma after ‘‘indirect costs’’ and received a Federal award including the Federal entity is awarded a cost- removing the second sentence. term and condition outlined in Appendix XII are required to report reimbursement contract, only subpart D § 75.103 [Amended] of this part §§ 75.351 through 75.353 (in certain civil, criminal, or administrative ■ 156. In § 75.103, amend paragraphs (a) addition to any FAR related proceedings to SAM. * * * and (b) by adding ‘‘Prescribing the requirements for subaward monitoring), Duties of the Office of Management and § 75.203 [Amended] Subpart E of this part and Subpart F of Budget and the Domestic Policy Council ■ 160. Amend § 75.203(c)(5) by this part are incorporated by reference in the Executive Office of the President’’ removing the last sentence. into the contract. However, when the after ‘‘Executive Order 11541’’ in each ■ 161. Amend § 75.205 by revising Cost Accounting Standards (CAS) are paragraph. paragraph (a) to read as follows: applicable to the contract, they take precedence over the requirements of § 75.104 [Amended] § 75.205 [Amended] this part except for subpart F of this part ■ 157. Amend § 75.104(a)(7) by adding (a) Review of OMB-designated when they are in conflict. In addition, closing quotation marks after the word repositories of governmentwide data. (1) costs that are made unallowable under Organizations. Prior to making a Federal award, the 10 U.S.C. 2324(e) and 41 U.S.C. 4304(a) ■ 158. In § 75.110, revise paragraph (a) HHS awarding agency is required by 31 as described in the FAR subpart 31.2 to read as follows: U.S.C. 3321 and 41 U.S.C. 2313 note to review information available through and subpart 31.603 are always § 75.110 Effective/Applicability date unallowable. For requirements other any OMB-designated repositories of (a) The standards set forth in this part than those covered in subpart D of this governmentwide eligibility qualification which affect administration of Federal or financial integrity information as part, §§ 75.351 through 75.353, subpart awards issued by HHS agencies become E of this part and subpart F of this part, appropriate. See also suspension and effective December 26, 2014 unless debarment requirements at 2 CFR parts the terms of the contract and the FAR different provisions are required by 180 and 376. apply. statute or approved by OMB. For the (2) In accordance 41 U.S.C. 2313, the * * * * * procurement standards in 45 CFR HHS awarding agency is required to (d) * * * 75.326 through 75.355, non-Federal review the publicly available entities may continue to comply with information in the OMB-designated (1) The block grant awards authorized the procurement standards in previous integrity and performance system by the Omnibus Budget Reconciliation OMB guidance (superseded by this part accessible through SAM (currently the Act of 1981 (including Community as described in 45 CFR 75.104) for two Federal Awardee Performance and Services), except to the extent that additional fiscal years after this part Integrity Information System (FAPIIS)) Subpart E of this Part apply to goes into effect. If a non-Federal entity prior to making a Federal award where subrecipients of Community Services chooses to use the previous the Federal share is expected to exceed Block Grant funds pursuant to 42 U.S.C. procurement standards for an additional the simplified acquisition threshold, 9916(a)(1)(B); two fiscal years before adopting the defined in 41 U.S.C. 134, over the * * * * * procurement standards in this part, the period of performance. At a minimum, non-Federal entity must document this (e) * * * the information in the system for a prior decision in their internal procurement Federal award recipient must (1) Entitlement Federal awards to policies. demonstrate a satisfactory record of carry out the following programs of the * * * * * executing programs or activities under Social Security Act: ■ 159. Amend § 75.113 by adding a new Federal grants, cooperative agreements, * * * * * second sentence to read as follows: or procurement awards; and integrity

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and business ethics. The HHS awarding (c) Nothing in this section may be (2) The information will be kept in the agency may make a Federal award to a construed as requiring the publication system for a period of five years from recipient who does not fully meet these of information otherwise exempt under the date of the determination, as standards, if it is determined that the the Freedom of Information Act (5 required by section 872 of Public Law information is not relevant to the U.S.C. 552), or controlled unclassified 110–417, as amended (41 U.S.C. 2313), current Federal award under information pursuant to Executive then archived; consideration or there are specific Order 13556. (3) Each HHS awarding agency that conditions that can appropriately considers making a Federal award to the mitigate the effects of the non-Federal §§ 75.212 through 75.217 [Redesignated as non-Federal entity during that five year §§ 75.213 through 75.218] entity’s risk in accordance with period must consider that information ■ § 75.207. 166. Redesignate §§ 75.212 through in judging whether the non-Federal 75.217 as §§ 75.213 through 75.218, * * * * * entity is qualified to receive the Federal respectively. award when the total Federal share of § 75.206 [Amended] ■ 167. Add a new § 75.212 to read as the Federal award is expected to include ■ 162. Amend § 75.206(a) by adding ‘‘, follows: an amount of Federal funding in excess Controlling Paperwork Burdens on the of the simplified acquisition threshold Public’’ after ‘‘5 CFR part 1320’’. § 75.212 Reporting a determination that a over the period of performance; recipient is not qualified for a Federal (4) The non-Federal entity may go to § 75.207 [Amended] award. the awardee integrity and performance ■ 163. Amend § 75.207(a)(4) by (a) If an HHS awarding agency does portal accessible through SAM removing ‘‘the’’ and adding in its place not make a Federal award to a non- (currently the Contractor Performance ‘‘an’’. Federal entity because the official Assessment Reporting System (CPARS)) ■ 164. Amend § 75.210: determines that the non-Federal entity and comment on any information the ■ a. In paragraph (a)(1) by removing does not meet either or both of the system contains about the non-Federal ‘‘their’’ and adding in its place ‘‘its’’; minimum qualification standards as entity itself; and ■ b. By adding paragraph (b)(1)(iii); and described in § 75.205(a)(2), the HHS (5) HHS awarding agencies will ■ c. By adding ‘‘Preparation, awarding agency must report that consider that non-Federal entity’s Submission and Execution of the determination to the designated comments in determining whether the Budget’’ after ‘‘A–11’’ in the last integrity and performance system non-Federal entity is qualified for the sentence of paragraph (d). accessible through SAM (currently future Federal award. The addition reads as follows: FAPIIS), only if all of the following (d) If an HHS awarding agency enters apply: information into the designated integrity § 75.210 Information contained in a (1) The only basis for the and performance system accessible Federal award. determination described in paragraph through SAM about a determination that * * * * * (a) of this section is the non-Federal a non-Federal entity is not qualified for (b) * * * entity’s prior record of executing a Federal award and subsequently: (1) * * * programs or activities under Federal (1) Learns that any of that information (iii) Recipient integrity and awards or its record of integrity and is erroneous, the HHS awarding agency performance matters. If the total Federal business ethics, as described in must correct the information in the share of the Federal award may include § 75.205(a)(2), (i.e., the entity was system within three business days; more than $500,000 over the period of determined to be qualified based on all (2) Obtains an update to that performance, the HHS awarding agency factors other than those two standards), information that could be helpful to must include the term and condition and other Federal awarding agencies, the available in Appendix XII. See also (2) The total Federal share of the HHS awarding agency is strongly § 75.113. Federal award that otherwise would be encouraged to amend the information in * * * * * made to the non-Federal entity is the system to incorporate the update in ■ 165. In § 75.211, revise paragraph (b) expected to exceed the simplified a timely way. and add paragraph (c) to read as follows: acquisition threshold over the period of (e) HHS awarding agencies shall not performance. post any information that will be made § 75.211 Public access to Federal award (b) The HHS awarding agency is not publicly available in the non-public information. required to report a determination that segment of the designated integrity and * * * * * a non-Federal entity is not qualified for performance system that is covered by (b) All information posted in the a Federal award if it makes the Federal a disclosure exemption under the designated integrity and performance award to the non-Federal entity and Freedom of Information Act. If the system accessible through SAM includes specific award terms and recipient asserts within seven calendar (currently FAPIIS) on or after April 15, conditions, as described in § 75.207. days to the HHS awarding agency that 2011 will be publicly available after a (c) If an HHS awarding agency reports posted the information that some or all waiting period of 14 calendar days, a determination that a non-Federal of the information made publicly except for: entity is not qualified for a Federal available is covered by a disclosure (1) Past performance reviews required award, as described in paragraph (a) of exemption under the Freedom of by Federal Government contractors in this section, the HHS awarding agency Information Act, the HHS awarding accordance with the Federal Acquisition also must notify the non-Federal entity agency that posted the information must Regulation (FAR) 42.15; that— remove the posting within seven (2) Information that was entered prior (1) The determination was made and calendar days of receiving the assertion. to April 15, 2011; or reported to the designated integrity and Prior to reposting the releasable (3) Information that is withdrawn performance system accessible through information, the HHS awarding agency during the 14-calendar day waiting SAM, and include with the notification must resolve the issue in accordance period by the Federal Government an explanation of the basis for the with the agency’s Freedom of official. determination; Information Act procedures.

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§ 75.213 [Amended] (c)(1) For non-construction Federal The addition reads as follows: ■ 168. In newly redesignated § 75.213, awards, recipients must request prior remove ‘‘and contractors’’ after approvals from HHS awarding agencies § 75.327 General procurement standards. ‘‘entities’’ in the first sentence. for one or more of the following * * * * * ■ 169. In § 75.305, revise the last program or budget-related reasons: (h) * * * See also § 75.213. sentence in paragraph (b) introductory (i) Change in the scope or the * * * * * objective of the project or program (even text and revise paragraphs (b)(6)(ii) and § 75.329 [Amended] (b)(9) introductory text to read as if there is no associated budget revision ■ follows: requiring prior written approval). 175. In § 75.329, paragraph (c)(2)(i) (ii) Change in a key person specified and (iii), remove ‘‘state’’ and remove § 75.305 Payment. in the application or the Federal award. ‘‘publically’’ and add in its place (b) * * * Except as noted elsewhere (iii) The disengagement from the ‘‘publicly’’. in this part, HHS awarding agencies project for more than three months, or ■ 176. In § 75.351, revise the last must require recipients to use only a 25 percent reduction in time devoted sentence of paragraph (b) introductory OMB-approved standard to the project, by the approved project text to read as follows: governmentwide information collection director or principal investigator. requests to request payment. (iv) The inclusion, unless waived by § 75.351 Subrecipient and contractor * * * * * the HHS awarding agency, of costs that determinations. (6) * * * require prior approval in accordance * * * * * (ii) The non-Federal entity is with subpart E of this part, or Appendix (b) * * * Characteristics indicative of delinquent in a debt to the United States IX of this part, or 48 CFR part 31, as a procurement relationship between the as defined in OMB Guidance A–129 applicable. non-Federal entity and a contractor are ‘‘Policies for Federal Credit Programs (v) The transfer of funds budgeted for when the contractor: participant support costs as defined in and Non-Tax Receivables.’’ * * * * * § 75.2 to other categories of expense. ■ * * * * * (vi) Unless described in the 177. In § 75.352, revise paragraphs (9) Interest earned amounts up to application and funded in the approved (a)(1)(i), (iv), (vi), (vii), (viii), and (x) and $500 per year may be retained by the Federal awards, the subawarding, (a)(2) and (4) to read as follows: non-Federal entity for administrative transferring or contracting out of any expense. Any additional interest earned § 75.352 Requirement for pass-through work under a Federal award, including entities. on Federal advance payments deposited fixed amount subawards as described in in interest-bearing accounts must be * * * * * § 75.353. This provision does not apply (a) * * * remitted annually to the Department of to the acquisition of supplies, material, Health and Human Services Payment (1) * * * equipment or general support services. (i) Subrecipient name (which must Management System (PMS) through an (vii) Changes in the approved cost- electronic medium using either match the name associated with its sharing or matching provided by the unique entity identifier; Automated Clearing House (ACH) non-Federal entity. network or a Fedwire Funds Service (viii) The need arises for additional * * * * * payment. Remittances must include Federal funds to complete the project. (iv) Federal Award Date (see § 75.2 pertinent information of the payee and (ix) The inclusion of research patient Federal award date) of award to the nature of the payment in the memo area care costs in research awards made for recipient by the HHS awarding agency; (often referred to as ‘‘addenda records’’ the performance of research work. * * * * * by Financial Institutions) as that will (x) The provision of subawards by a (vi) Amount of Federal Funds assist in the timely posting of interest pass-through entity on fixed amounts up Obligated by this action by the pass- earned on federal funds. Pertinent to the Simplified Acquisition through entity to the subrecipient; details include the Payee Account Threshold, provided that the subawards (vii) Total Amount of Federal Funds Number (PAN) if the payment meet the requirements for fixed amount Obligated to the subrecipient by the originated from PMS, or Agency awards in § 75.201. See § 75.353. pass-through entity including the information, if the payment originated (xi) The recipient wishes to dispose current obligation; from ASAP, NSF or another federal of, replace, or encumber title to real (viii) Total Amount of the Federal agency payment system. The remittance property, equipment, or intangible Award committed to the subrecipient by must be submitted as follows: property that are acquired or improved the pass-through entity; * * * * * with a Federal award. See §§ 75.318, * * * * * 75.320, 75.322, and 75.323. (x) Name of HHS awarding agency, § 75.306 [Amended] (2) No other prior approval pass-through entity, and contract ■ 170. Amend § 75.306(c) by adding requirements for specific items may be information for awarding official of the ‘‘only with prior approval of the HHS imposed unless an exception has been pass-through entity; approved by OMB. See also §§ 75.102 awarding agency’’ at the end of the first * * * * * sentence. and 75.407. (2) All requirements imposed by the * * * * * § 75.307 [Amended] pass-through entity on the subrecipient ■ 171. Amend § 75.307(e) by removing § 75.322 [Amended] so that the Federal award is used in accordance with Federal statutes, ‘‘75.215’’ and adding in its place ■ 173. Amend § 75.322(d)(2) by adding regulations and the terms and ‘‘75.216’’. ‘‘for Federal purposes’’ at the end. conditions of the Federal award; ■ 172. In § 75.308, revise paragraph (c) § 75.327 [Amended] to read as follows: * * * * * ■ 174. Amend § 75.327(h) by removing (4) An approved federally recognized § 75.308 Revision of budget and program the third sentence and the parenthetical indirect cost rate negotiated between the plans. reference and adding a new last subrecipient and the Federal * * * * * sentence. Government or, if no such rate exists,

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either a rate negotiated between the the system to incorporate the update in entity may submit comments to the pass-through entity and the subrecipient a timely way; awardee integrity and performance (in compliance with this part), or a de (3) HHS awarding agencies shall not portal accessible through SAM minimis indirect cost rate as defined in post any information that will be made (currently CPARS). § 75.414(f); publicly available in the non-public (5) Federal awarding agencies will * * * * * segment of the designated integrity and consider non-Federal entity comments ■ 178. Revise § 75.363 to read as performance system that is covered by when determining whether the non- follows: a disclosure exemption under the Federal entity is qualified for a future Freedom of Information Act. If the non- Federal award. § 75.363 Methods for collection, Federal entity asserts within seven * * * * * transmission and storage of information. calendar days to the HHS awarding In accordance with the May 2013 agency who posted the information, that § 75.409 [Amended] Executive Order on Making Open and some of the information made publicly ■ 181. Amend § 75.409 introductory text Machine readable the New Default for available is covered by a disclosure by removing ‘‘subpart, certain sections Government Information, the HHS exemption under the Freedom of in this subpart’’ and adding in its place awarding agency and the non-Federal Information Act, the HHS awarding ‘‘subtitle, other subtitles in this part’’. entity should, whenever practicable, agency who posted the information ■ 182. In § 75.414, revise paragraph collect, transmit, and store Federal must remove the posting within seven (e)(3) to read as follows: award-related information in open and calendar days of receiving the assertion. machine readable formats rather than in Prior to reposting the releasable § 75.414 Indirect (F&A) costs. closed formats or on paper. information, the HHS agency must * * * * * ■ 179. In § 75.372, revise paragraphs resolve the issue in accordance with the (e) * * * (a)(1) and (b) and add paragraph (c) to agency’s Freedom of Information Act (3) Appendix V to Part 75—State/ read as follows: procedures. Local Governmentwide Central Service (c) When a Federal award is § 75.372 Termination. Cost Allocation Plans; terminated or partially terminated, both * * * * * * * * * * the HHS awarding agency or pass- (a) * * * through agency and the non-Federal § 75.419 [Amended] (1) By the HHS awarding agency or entity remain responsible for ■ pass-through entity, if the non-Federal 183. In § 75.419, amend paragraph (b) compliance with the requirements of entity fails to comply with the terms introductory text by removing ‘‘its’’ and §§ 75.381 through 75.390. and conditions of the award; adding in its place ‘‘their’’ before ‘‘cost ■ 180. In § 75.373, revise paragraph (b) accounting practices’’. * * * * * to read as follows: ■ (b) When an HHS awarding agency 184. In § 75.431, amend paragraph terminates a Federal award prior to the § 75.373 Notification of termination (h)(3) by removing ‘‘Federal end of the period of performance due to requirement. Government’s’’ and adding in its place the non-Federal entity’s material failure * * * * * ‘‘non-Federal entity’’ and revise to comply with the Federal award terms (b) If the Federal award is terminated paragraphs (i)(1) and (j). and conditions, the HHS awarding for the non-Federal entity’s material The revisions read as follows: agency must report the termination to failure to comply with the Federal § 75.431 Compensation—fringe benefits. the OMB-designated integrity and statutes, regulations, or terms and * * * * * performance system accessible through conditions of the Federal award, the (i) Severance pay. (1) Severance pay, SAM (currently FAPIIS). notification must state that— also commonly referred to as dismissal (1) The information required under (1) The termination decision will be wages, is a payment in addition to this paragraph (b) is not to be reported reported to the OMB-designated regular salaries and wages, by non- to the designated integrity and integrity and performance system Federal entities to workers whose performance system until after the non- accessible through SAM (currently employment is being terminated. Costs Federal entity either— FAPIIS); (i) Has exhausted its opportunities to (2) The information will be available of severance pay are allowable only to object or challenge the decision, see in the OMB-designated integrity and the extent that in each case, it is § 75.374; or performance system for a period of five required by: (ii) Has not, within 30 calendar days years from the date of the termination, (i) Law; after being notified of the termination, then archived; (ii) Employer-employee agreement; informed the HHS awarding agency that (3) HHS awarding agencies that (iii) Established policy that it intends to appeal the HHS awarding consider making a Federal award to the constitutes, in effect, an implied agency’s decision to terminate. non-Federal entity during that five year agreement on the non-Federal entity’s (2) If an HHS awarding agency, after period must consider that information part; or entering information into the designated in judging whether the non-Federal (iv) Circumstances of the particular integrity and performance system about entity is qualified to receive the Federal employment. a termination, subsequently: award, when the Federal share of the * * * * * (i) Learns that any of the information Federal award is expected to exceed the (j) For IHEs only. (1) Fringe benefits in is erroneous, the HHS awarding agency simplified acquisition threshold over the form of undergraduate and graduate must correct the information in the the period of performance; tuition or remission of tuition for system within three business days; (4) The non-Federal entity may individual employees are allowable, (ii) Obtains an update to that comment on any information the OMB- provided such benefits are granted in information that could be helpful to designated integrity and performance accordance with established non-federal other Federal awarding agencies, the system contains about the non-Federal entity policies, and are distributed to all HHS awarding agency is strongly entity for future consideration by HHS non-Federal entity activities on an encouraged to amend the information in awarding agencies. The non-Federal equitable basis. Tuition benefits for

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family members other than the § 75.465 [Amended] purposes. If there is a single application employee are unallowable. ■ 192. Amend § 75.465(c) introductory deadline followed by the simultaneous (2) Fringe benefits in the form of text by removing the parentheses review of all applications, the HHS awarding tuition or remission of tuition for around ‘‘as explained in paragraph (b) of agency can include in this section individual employees not employed by information about the anticipated dates for this section’’. announcing or notifying successful and IHEs are limited to the tax-free amount § 75.474 [Amended] unsuccessful applicants and for having allowed per section 127 of the Internal Federal awards in place. If applications are ■ Revenue Code as amended. 193. Amend § 75.474(d) by adding received and evaluated on a ‘‘rolling’’ basis (3) IHEs may offer employees tuition ‘‘(‘‘Travel and Subsistence Expenses: at different times during an extended period, waivers or tuition reductions, provided Mileage Allowance’’)’’ after ‘‘5 U.S.C. it may be appropriate to give applicants an that the benefit does not discriminate in 5701–11’’. estimate of the time needed to process an favor of highly compensated employees. application and notify the applicant of the Employees can exercise these benefits at § 75.501 [Amended] HHS awarding agency’s decision. other institutions according to ■ 194. Amend § 75.501(k) by removing F. * * * institutional policy. See § 75.466 for ‘‘§ 75.215’’ and adding in its place 3. Reporting—Required. This section must treatment of tuition remission provided ‘‘§ 75.216’’. include general information about the type (e.g., financial or performance), frequency, to students. § 75.515 [Amended] and means of submission (paper or * * * * * ■ 195. Amend § 75.515(b) by removing electronic) of post-Federal award reporting ■ 185. Amend § 75.439, by adding requirements. Highlight any special reporting ‘‘or’’ and adding in its place ‘‘and’’ paragraph (b)(7) to read as follows: requirements for Federal awards under this before ‘‘award agreements’’ in the first funding opportunity that differ (e.g., by § 75.439 Equipment and other capital sentence. report type, frequency, form/format, or expenditures. ■ 196. In Appendix I to Part 75: circumstances for use) from what the HHS * * * * * ■ a. In section E: awarding agency’s Federal awards usually (b) * * * ■ i. Redesignate paragraph 3 as require. HHS agencies must also describe in (7) Equipment and other capital paragraph 4 and revise it; and this section all relevant requirements such as expenditures are unallowable as ■ ii. Add a new paragraph 3; those at 2 CFR 180.335 and 2 CFR 180.350. indirect costs. See § 75.436. ■ b. In section F, revise paragraph 3. If the Federal share of any Federal award may The addition and revisions read as include more than $500,000 over the period § 75.448 [Amended] follows: of performance, this section must inform ■ 186. Amend § 75.448(b)(3) by potential applicants about the post award removing ‘‘there’’ and adding in its Appendix I to Part 75—Full Text of reporting requirements in Appendix XII. place ‘‘thereto’’. Notice of Funding Opportunity * * * * * ■ 197. Amend Appendix III to Part 75 as § 75.449 [Amended] * * * * * E. * * * follows: ■ 187. In § 75.449, amend paragraph 3. For any Federal award under a notice of ■ a. Add ‘‘(IHEs)’’ at the end of the (b)(1) by removing ‘‘are defined in’’ and funding opportunity, if the HHS awarding appendix heading; adding in its place ‘‘is defined as noted agency anticipates that the total Federal share ■ b. Redesignate paragraph A.1.b.(3) as in’’, and in paragraph (e) by removing will be greater than the simplified acquisition paragraph A.1.a.(3); ‘‘September 23’’ and adding in its place threshold on any Federal award under a ■ c. In section C, by adding ‘‘ ‘‘Equal ‘‘July 1’’. notice of funding opportunity may include, Employment Opportunity (30 FR 12319, over the period of performance (see § 75.2 12935, 3 CFR 1964–1965 Comp., p. § 75.450 [Amended] Simplified Acquisition Threshold), this 339)’’ after ‘‘Executive Order 11246’’; ■ 188. Amend § 75.450(c)(2)(iv) by section must also inform applicants: and adding ‘‘ ‘‘Amending Executive removing ‘‘IRC secs.’’ and adding in its i. That the HHS awarding agency, prior to Order 11246 Relating to Equal place ‘‘I.R.C. sections’’. making a Federal award with a total amount ■ 189. Revise § 75.456 to read as of Federal share greater than the simplified Employment Opportunity,’’ ’’ after acquisition threshold, is required to review follows: ‘‘Executive Order 11375’’; and and consider any information about the ■ d. In Section C.7, redesignate first § 75.456 Participant support costs. applicant that is in the designated integrity paragraph as ‘‘a.’’ and revise the first and performance system accessible through Participant support costs as defined in sentence. SAM (currently FAPIIS) (see 41 U.S.C. 2313); The revision reads as follows: § 75.2 are allowable with the prior ii. That an applicant, at its option, may approval of the HHS awarding agency. review information in the designated Appendix III to Part 75—Indirect (F&A) integrity and performance systems accessible § 75.459 [Amended] Costs, Identification and Assignment, through SAM and comment on any ■ 190. In § 75.459, amend the section and Rate Determination for Institutions information about itself that the HHS of Higher Education (IHEs) heading by removing ‘‘services’’ and awarding agency previously entered and is adding in its place ‘‘service’’. currently in the designated integrity and * * * * * ■ 191. In § 75.461, add paragraph (b)(3) performance system accessible through SAM; C. * * * to read as follows: iii. That the HHS awarding agency will 7. a. Except as provided in paragraph (c)(1) consider any comments by the applicant, in of § 75.414, HHS agencies must use the § 75.461 Publication and printing costs. addition to the other information in the negotiated rates in effect at the time of the * * * * * designated integrity and performance system, initial award throughout the life of the (b) * * * in making a judgment about the applicant’s Federal award. * * * (3) The non-Federal entity may charge integrity, business ethics, and record of * * * * * the Federal award before closeout for performance under Federal awards when ■ 198. Amend Appendix IV to Part 75 the costs of publication or sharing of completing the review of risk posed by applicants as described in § 75.205. as follows: research results if the costs are not ■ 4. Anticipated Announcement and Federal a. In Section A., designate the second incurred during the period of Award Dates—Optional. This section is paragraph as Section A.2. and revise it; performance of the Federal award. intended to provide applicants with ■ b. In Section B.2.c, remove ‘‘contracts * * * * * information they can use for planning or’’ and add in its place ‘‘as’’;

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■ c. In Section B.2.e. amend the first Appendix VIII to Part 75—[Amended] (4) Any other criminal, civil, or administrative proceeding if: sentence by removing ‘‘Federal Funding ■ 201. Amend Appendix VIII by of direct costs’’ and add in its place (i) It could have led to an outcome designating each of the listed described in paragraph 2.c.(1), (2), or (3) of ‘‘direct Federal funding’’ and remove organizations as numbers 1 through 33. ‘‘section A.3. of this Appendix’’ and add this award term and condition; Appendix X to Part 75—[Amended] (ii) It had a different disposition arrived at in its place ‘‘§ 75.414(a)’’; by consent or compromise with an ■ d. In Section B.3.g. amend the last ■ 202. Amend Appendix X by removing acknowledgement of fault on your part; and sentence by removing ‘‘section A.3 of ‘‘https://harvester.census.gov/facweb/ (iii) The requirement in this award term this Appendix’’ and adding in its place Default.aspx’’. and condition to disclose information about ‘‘§ 75.414(a)’’; the proceeding does not conflict with Appendix XI to Part 75—[Amended] ■ e. In Section C.2.b. amend the first applicable laws and regulations. ■ 203. Amend Appendix XI by adding sentence by removing ‘‘(e)’’ and add in 3. Reporting Procedures its place ‘‘(f)’’; ‘‘e.g., for 2013 here:’’ in the parentheses Enter in the SAM Entity Management area ■ f. In Section C.2.c. amend the first before http’’. ■ 204. Add Appendix XII to Part 75 to the information that SAM requires about sentence by removing ‘‘(f)’’ and add in read as follows: each proceeding described in paragraph 2 of its place ‘‘(g)’’; this award term and condition. You do not ■ g. In Section D.1. amend the first Appendix XII—Award Term and need to submit the information a second time sentence by removing ‘‘subsection b’’ Conditions for Recipient Integrity and under assistance awards that you received if and add, in its place with ‘‘subsection Performance Matters you already provided the information 2’’; and through SAM because you were required to A. Reporting of Matters Related to Recipient do so under Federal procurement contracts ■ h. In Section D.2. introductory text, Integrity and Performance that you were awarded. remove the subject heading‘‘Certificate.’’ 1. General Reporting Requirement The revision reads as follows: 4. Reporting Frequency If the total value of your currently active During any period of time when you are grants, cooperative agreements, and Appendix IV to Part 75—Indirect (F&A) subject to this requirement in paragraph 1 of Costs Identification and Assignment, procurement contracts from all Federal awarding agencies exceeds $10,000,000 for this award term and condition, you must and Rate Determination for Nonprofit report proceedings information through SAM Organizations any period of time during the period of performance of this Federal award, then you for the most recent five year period, either to * * * * * as the recipient during that period of time report new information about any 2. ‘‘Major nonprofit organizations’’ are must maintain the currency of information proceeding(s) that you have not reported defined in § 75.414(a). See indirect cost rate reported to the System for Award previously or affirm that there is no new reporting requirements in sections B.2.e and Management (SAM) that is made available in information to report. Recipients that have B.3.g. of this appendix the designated integrity and performance Federal contract, grant, and cooperative system (currently the Federal Awardee agreement awards with a cumulative total * * * * * Performance and Integrity Information value greater than $10,000,000 must disclose ■ 199. Amend Appendix V to Part 75 as System (FAPIIS)) about civil, criminal, or semiannually any information about the follows: administrative proceedings described in criminal, civil, and administrative ■ a. In Section A.2. by adding ‘‘or at paragraph 2 of this award term and proceedings. condition. This is a statutory requirement their Web site at’’ after ‘‘Cost Allocation 5. Definitions Services’’; and under section 872 of Public Law 110–417, as amended (41 U.S.C. 2313). As required by For purposes of this award term and ■ b. Revise Section E.2. section 3010 of Public Law 111–212, all condition: The revision reads as follows: information posted in the designated a. Administrative proceeding means a non- integrity and performance system on or after judicial process that is adjudicatory in nature Appendix V to Part 75—State/Local April 15, 2011, except past performance in order to make a determination of fault or Governmentwide Central Service Cost reviews required for Federal procurement liability (e.g., Securities and Exchange Allocation Plans contracts, will be publicly available. Commission Administrative proceedings, * * * * * 2. Proceedings About Which You Must Civilian Board of Contract Appeals 2. Allocated Central Services. For each Report proceedings, and Armed Services Board of allocated central service*, the plan must also Contract Appeals proceedings). This includes Submit the information required about proceedings at the Federal and State level but include the following: a brief description of each proceeding that: the service, an identification of the unit only in connection with performance of a a. Is in connection with the award or Federal contract or grant. It does not include rendering the service and the operating performance of a grant, cooperative audits, site visits, corrective plans, or agencies receiving the service, the items of agreement, or procurement contract from the inspection of deliverables. expense included in the cost of the service, Federal Government; the method used to distribute the cost of the b. Reached its final disposition during the b. Conviction, for purposes of this award service to benefitted agencies, and a most recent five year period; and term and condition, means a judgment or summary schedule showing the allocation of c. If one of the following: conviction of a criminal offense by any court each service to the specific benefitted (1) A criminal proceeding that resulted in of competent jurisdiction, whether entered agencies. If any self-insurance funds or fringe a conviction, as defined in paragraph 5 of upon a verdict or a plea, and includes a benefits costs are treated as allocated (rather this award term and condition; conviction entered upon a plea of nolo than billed) central services, documentation (2) A civil proceeding that resulted in a contendere. discussed in subsections 3.b. and c. must also finding of fault and liability and payment of c. Total value of currently active grants, be included. a monetary fine, penalty, reimbursement, cooperative agreements, and procurement * * * * * restitution, or damages of $5,000 or more; contracts includes— (3) An administrative proceeding, as (1) Only the Federal share of the funding Appendix VII to Part 75—[Amended] defined in paragraph 5 of this award term under any Federal award with a recipient and condition, that resulted in a finding of cost share or match; and ■ 200. Amend Appendix VII to Part 75, fault and liability and your payment of either (2) The value of all expected funding Section A.3. by adding ‘‘or at their Web a monetary fine or penalty of $5,000 or more increments under a Federal award and site’’ after ‘‘Cost Allocation Services’’ in or reimbursement, restitution, or damages in options, even if not yet exercised the last sentence. excess of $100,000; or B. [Reserved]

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PART 87—EQUAL TREATMENT FOR ■ a. In paragraph (d)(1) by removing ‘‘45 PART 265—DATA COLLECTION AND FAITH-BASED ORGANIZATIONS CFR 92.31’’ and adding in its place ‘‘45 REPORTING REQUIREMENTS CFR 75.318’’; ■ ■ 224. The authority citation for part 205. The authority citation for part 87 ■ b. In paragraph (d)(2) by removing ‘‘45 265 continues to read as follows: continues to read as follows: CFR 92.31(c)’’ and adding in its place 45 Authority: 5 U.S.C. 301. CFR 75.318(c)’’; Authority: 42 U.S.C. 603, 605, 607, 609, ■ 611, and 613; Pub. L. 109–171. § 87.1 [Amended] c. In paragraph (d)(3) by removing ‘‘45 CFR 92.31(a)’’ and adding in its place 45 § 265.7 [Amended] ■ 206. Amend § 87.1(b) in the last CFR 75.318(a)’’; ■ sentence by removing ‘‘45 CFR parts 74, 225. Amend § 265.7 in paragraph ■ d. in paragraph (d)(4) by removing ‘‘45 (d)(4) by removing ‘‘§ 92.20(a) of this 92, and 96’’ and adding in its place ‘‘45 CFR 92.22’’ and adding in its place ‘‘45 CFR parts 75 and 96’’. title’’ and adding in its place CFR part 75, subpart E’’; ‘‘§ 75.302(a) of this title’’ and in § 87.2 [Amended] ■ e. In paragraph (d)(5) by removing ‘‘45 paragraph (f) by removing ‘‘§ 92.42 of ■ 207. Amend § 87.2(b) in the last CFR 92.25’’ and adding in its place ‘‘45 this title’’ and adding in its place sentence by removing ‘‘45 CFR parts 74, CFR 75.307’’; and ‘‘§§ 75.361 through 75.370 of this title’’. 92, and 96’’ and adding in its place ‘‘45 ■ f. In paragraph (d)(6) by removing ‘‘45 CFR parts 75 and 96’’. CFR 92.36’’ and adding in its place ‘‘45 PART 286—TRIBAL TANF CFR 75.326 through 75.340’’. PROVISIONS PART 95—GENERAL ■ PART 261—ENSURING THAT 226. The authority citation for part ADMINISTRATION—GRANT 286 continues to read as follows: PROGRAMS (PUBLIC ASSISTANCE, RECIPIENTS WORK MEDICAL ASSISTANCE AND STATE Authority: 42 U.S.C. 601, 604, and 612; ■ 216. The authority citation for part CHILDREN’S HEALTH INSURANCE Public Law 111–5. 261 continues to read as follows: PROGRAMS) § 286.30 [Amended] Authority: 42 U.S.C. 601, 602, 607, and ■ ■ 208. The authority citation for part 95 609; P.L. 109–171. 227. Amend § 286.30 in paragraph (c) continues to read as follows: by removing ‘‘45 CFR part 92’’ and ■ 217. Amend § 261.64(c) by removing adding in its place ‘‘45 CFR part 75’’ Authority: 5 U.S.C. 301, 42 U.S.C. 622(b), ‘‘the single audit under OMB Circular and in paragraph (f)(2) by removing ‘‘45 629b(a), 652(a), 652(d), 654A, 671(a), 1302, A–133’’ and adding in its place ‘‘45 CFR CFR part 92 and OMB Circulars and 1396a(a). part 75, subpart F’’. A–87 and A–133’’ and adding in its place ‘‘45 CFR part 75’’. § 95.613 [Amended] PART 262—ACCOUNTABILITY ■ 209. Amend § 95.613(a) in the first PROVISIONS—GENERAL § 286.45 [Amended] sentence by removing ‘‘part 92’’ and ■ 228. Amend § 286.45 in paragraph (c) ■ 218. The authority citation for part adding in its place ‘‘part 75’’ and in the by removing ‘‘OMB Circular A–87’’ and 262 continues to read as follows: second sentence by removing adding in its place ‘‘45 CFR part 75, ‘‘§ 92.36(c)’’ and adding in its place Authority: 31 U.S.C. 7501 et seq.; 42 U.S.C. subpart E’’ and in paragraph (d) by ‘‘§ 75.328’’. 606, 609, and 610; Pub. L. 109–171. removing ‘‘OMB Circular A–133 and in § 95.621 [Amended] ■ 219. Amend § 262.3 in paragraph (a) 45 CFR part 92’’ and adding in its place by removing ‘‘OMB Circular A–133’’ ‘‘45 CFR part 75’’. ■ 210. Amend § 95.621(d) by removing and adding in its place ‘‘45 CFR part 75, ‘‘part 92’’ and adding in its place ‘‘part subpart F’’ and in paragraph (f) by § 286.200 [Amended] 75’’. removing ‘‘§ 92.42 of this title’’ and ■ 229. Amend § 286.200(b) by removing § 95.705 [Amended] adding in its place ‘‘45 CFR 75.361 ‘‘45 CFR part 92, OMB Circulars A–87 ■ through 75.370’’. and A–133’’ and adding in its place ‘‘45 211. Amend § 95.705(a) in the last CFR part 75’’. sentence by removing ‘‘part 92’’ and PART 263—EXPENDITURES OF STATE adding in its place ‘‘part 75’’. AND FEDERAL TANF FUNDS § 286.205 [Amended] ■ § 95.707 [Amended] 230. Amend § 286.205 in paragraph ■ 220. The authority citation for part (b)(3)(iv) by removing ‘‘45 CFR part 92 ■ 212. Amend § 95.707(a) by removing 263 continues to read as follows: and all relevant OMB circulars’’ and ‘‘§ 92.32, Equipment’’ and adding in its adding in its place ‘‘45 CFR part 75’’ place ‘‘§ 75.320’’. Authority: 42 U.S.C. 604, 607, 609, and 862a; Pub. L. 109–171. and in paragraph (c) by removing ‘‘45 CFR part 92 and all relevant OMB PART 98—CHILD CARE AND § 263.2 [Amended] DEVELOPMENT FUND circulars’’ and adding in its place ‘‘45 ■ 221. Amend § 263.2(e)(1) by removing CFR part 75’’. ■ 213. The authority citation for part 98 ‘‘45 CFR 92.3 and 92.24’’ and adding in § 286.270 [Amended] continues to read as follows: its place ‘‘45 CFR 75.2 and 75.306’’. ■ 231. Amend § 286.270(b) by removing Authority: 42 U.S.C. 618, 9858. § 263.11 [Amended] ‘‘45 CFR part 92, OMB Circulars A–87 § 98.60 [Amended] ■ 222. Amend § 263.11(b) by removing and A–133’’ and adding in its place ‘‘45 CFR part 75’’. ■ 214. Amend § 98.60(d)(4)(ii) by ‘‘the provisions of part 92 of this title, or OMB Circular A–87’’ and adding in removing ‘‘45 CFR 92.3, Obligations and PART 287—THE NATIVE its place ‘‘or part 75 of this title’’. Outlays (expenditures)’’ and adding in EMPLOYMENT WORKS (NEW) ■ its place ‘‘45 CFR 75.2’’. 223. Amend § 263.14 by removing PROGRAM ‘‘OMB Circular A–87 (2 CFR part 225)’’ § 98.84 [Amended] and adding in its place ‘‘subpart E of ■ 232. The authority citation for part ■ 215. Amend § 98.84: part 75 of this title’’. 287 continues to read as follows:

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Authority: 42 U.S.C. 612. PART 304—FEDERAL FINANCIAL PART 400—REFUGEE § 287.60 [Amended] PARTICIPATION RESETTLEMENT PROGRAM ■ 233. Amend § 287.60 in paragraph (a) ■ 241. The authority citation for part ■ 251. The authority citation for part by removing ‘‘45 CFR 92.41’’ and adding 304 continues to read as follows: 400 continues to read as follows: in its place 45 CFR 75.341’’ and in Authority: 42 U.S.C. 651 through 655, 657, Authority: Section 412(a)(9), Immigration paragraph (b) by removing 45 CFR 1302, 1396a(a)(25), 1396b(d)(2), 1396b(o), and Nationality Act (8 U.S.C. 1522(a)(9)). 92.26’’ and adding in its place ‘‘45 CFR 1396b(p), and 1396(k). part 75, subpart F’’. § 304.10 [Amended] § 400.11 [Amended] PART 301—STATE PLAN APPROVAL ■ 242. Amend § 304.10 by removing ■ 252. Amend § 400.11(c) by removing AND GRANT PROCEDURES ‘‘part 74 of this title (with the exception ‘‘§ 74.73(a)’’ and adding in its place ■ 234. The authority citation for part of 45 CFR 74.23, Cost Sharing or ‘‘§ 75.341’’. 301 continues to read as follows: Matching and 45 CFR 74.52, Financial Reporting)’’ and adding in its place § 400.28 [Amended] Authority: 42 U.S.C. 651 through 658, ‘‘part 75 of this title (with the exception ■ 659a, 660, 664, 666, 667, 1301, and 1302. 253. Amend § 400.28 in paragraph (a) of 45 CFR 75.306 and 75.341)’’. introductory text by removing ‘‘part 74, § 301.15 [Amended] § 304.20 [Amended] Subpart D of this title’’ and adding in its ■ 235. Amend § 301.15 by revising place ‘‘45 CFR 75.361 through 75.370’’. paragraph (e) to read as follows: ■ 243. Amend § 304.20(b)(1)(iii) by removing ‘‘45 CFR 74.40 et seq.’’ and PART 1000—INDIVIDUAL § 301.15 Grants. adding in its place ‘‘45 CFR 75.326 DEVELOPMENT ACCOUNT RESERVE * * * * * through 75.340’’. FUNDS ESTABLISHED PURSUANT TO (e) General administrative § 304.25 [Amended] GRANTS FOR ASSETS FOR requirements. With the following INDEPENDENCE exceptions, the provisions of part 75 of ■ 244. Amend § 304.25(a) in the first this title, establishing uniform sentence by removing ‘‘part 74 of this ■ 254. The authority citation for part administrative requirements and cost title’’ and adding in its place ‘‘part 75 1000 continues to read as follows: principles, shall apply to all grants of this title’’. Authority: 42 U.S.C. 604 nt. made to States under this part: PART 309—TRIBAL CHILD SUPPORT 45 CFR Part 75 ENFORCEMENT (IV–D) PROGRAM § 1000.3 [Amended] ■ 255. Amend § 1000.3 in paragraph (a) 45 CFR 75.306 Cost sharing or ■ 245. The authority citation for part by removing ‘‘45 CFR part 74’’ and matching. 309 continues to read as follows: adding in its place ‘‘45 CFR part 75’’ 45 CFR 75.341 Financial reporting. Authority: 42 U.S.C. 655(f), 1302. and in paragraph (b) by removing ‘‘45 * * * * * § 309.85 [Amended] CFR part 92’’ and adding in its place ‘‘45 CFR part 75’’. PART 302—STATE PLAN ■ 246. Amend § 309.85(b) by removing REQUIREMENTS ‘‘45 CFR 74.53’’ and adding in its place PART 1301—HEAD START GRANTS ‘‘45 CFR 75.361 through 75.370’’. ADMINISTRATION ■ 236. The authority citation for part § 309.130 [Amended] 302 continues to read as follows: ■ 256. The authority citation for part Authority: 42 U.S.C. 651 through 658, ■ 247. Amend § 309.130 in paragraph 1301 continues to read as follows: 659a, 660, 664, 666, 667, 1302, 1396a(a)(25), (d)(3) by removing ‘‘45 CFR 74.23’’ and 1396b(d)(2), 1396b(o), 1396b(p), and 1396(k). adding in its place ‘‘45 CFR 75.306’’ and Authority: 42 U.S.C. 9801 et seq. in paragraph (h) by removing ‘‘part 74’’ § 1301.10 [Amended] § 302.14 [Amended] and adding in its place ‘‘part 75’’. ■ 237. Amend § 302.14 by removing ‘‘45 ■ 257. Amend § 1301.10: CFR part 74’’ and adding in its place § 309.145 [Amended] ■ a. In paragraph (a) by removing ‘‘45 ‘‘45 CFR part 75’’. ■ 248. Amend § 309.145 in paragraph CFR part 74 Administration of grants’’ (a)(3) introductory text by removing ‘‘45 § 302.15 [Amended] and ‘‘45 CFR part 75 Informal grant CFR part 74’’ and adding in its place ■ 238. Amend § 302.15(a)(7) by appeals procedures (indirect cost rates ‘‘45 CFR part 75’’ and in paragraph (o) and other cost allocations)’’ and adding removing ‘‘45 CFR part 74’’ and adding introductory text by removing ‘‘OMB in its place ‘‘45 CFR part 75’’. in alphanumeric order ‘‘45 CFR part 75 Circular A–87’’ and adding in its place Uniform Administrative Requirements, PART 303—STANDARDS FOR ‘‘45 CFR part 75, subpart E’’. Cost Principles and Audit Requirements PROGRAM OPERATIONS § 309.150 [Amended] for HHS Awards’’; and ■ 239. The authority citation for part ■ 249. Amend § 309.150(d) by removing ■ b. In paragraph (b): 303 continues to read as follows: ‘‘OMB Circular A–87’’ and adding in its ■ i. In the introductory text by removing Authority: 42 U.S.C. 651 through 658, place ‘‘45 CFR part 75, subpart E’’. ‘‘45 CFR part 74’’ and adding in its 659a, 660, 663, 664, 666, 667, 1302, § 309.160 [Amended] place ‘‘45 CFR part 75’’; 1396a(a)(25), 1396b(d)(2), 1396b(o), 1396b(p) ■ ■ ii. In paragraph (b)(1), by removing and 1396(k). 250. Amend § 309.160 by removing ‘‘OMB Circular A–133,‘Audits of States, ‘‘§ 74.15 of part 74’’ and adding in its § 303.11 [Amended] Local Governments, and Non-Profit place ‘‘§ 75.334 of part 75’’; and ■ 240. Amend § 303.11(d) by removing Organizations’ and 45 CFR part 74’ ’’ ■ iii. In paragraph (b)(2) by removing ‘‘45 CFR part 74’’ and adding in its and adding in its place ‘‘45 CFR part ‘‘§ 74.61 of part 74’’ and adding in its place ‘‘45 CFR part 75’’. 75’’. place ‘‘subpart F of part 75’’.

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PART 1304—PROGRAM Authority: 42 U.S.C. 3001 et seq.; title III PART 1336—NATIVE AMERICAN PERFORMANCE STANDARDS FOR of the Older Americans Act, as amended. PROGRAMS ■ 270. Amend § 1321.5 by revising THE OPERATION OF HEAD START ■ PROGRAMS BY GRANTEE AND paragraph (b) and removing and 277. The authority citation for part DELEGATE AGENCIES reserving paragraph (g). 1336 continues to read as follows: The revision reads as follows: Authority: 42 U.S.C. 2991 et seq. ■ 258. The authority citation for part 1304 continues to read as follows: § 1321.5 Applicability of other regulations. § 1336.50 [Amended] ■ Authority: 42 U.S.C. 9801 et seq. * * * * * 278. In § 1336.50, amend paragraph (b) 45 CFR part 75—Uniform (a) by removing ‘‘45 CFR part 74— § 1304.60 [Amended] Administrative Requirements, Cost Administration of grants’’ and ‘‘45 CFR ■ 259. Amend § 1304.60(f) by removing Principles, and Audit Requirements for part 75—Informal grant appeals ‘‘45 CFR part 74 or part 92’’ and adding HHS Awards, except § 75.206 procedures (indirect cost rates and other in its place ‘‘45 CFR part 75’’, and * * * * * cost allocations)’’ and adding in removing ‘‘45 CFR 74.61(a)(1), 45 CFR alphanumeric order ‘‘45 CFR part 75— 74.62 and 45 CFR 92.43(a)’’ and adding § 1321.67 [Amended] Uniform Administrative Requirements, in its place ‘‘45 CFR 75.371 through ■ 271. Amend § 1321.67(b)(1) by Cost Principles, and Audit 75.372’’. removing ‘‘45 CFR 92.25(g) (2) and (3)’’ Requirements for HHS Awards’’ and and adding in its place ‘‘45 CFR amend paragraph (f) by removing PART 1309—HEAD START FACILITIES 75.307(e)(2) and (3)’’. ‘‘§ 74.3 of this title’’ and adding in its PURCHASE, MAJOR RENOVATION place ‘‘§ 75.2 of this title’’ AND CONSTRUCTION § 1321.73 [Amended] ■ § 1336.52 [Amended] ■ 272. Amend § 1321.73 by removing 260–261. The authority citation for ‘‘45 CFR 92.25(g)(2)’’ and adding in its ■ 279. Amend § 1336.52(b) by removing part 1309 continues to read as follows: place ‘‘§ 75.307(e)(3)’’, removing ‘‘45 CFR 74.110–74.116’’ and adding in Authority: 42 U.S.C. 9801 et seq. ‘‘§ 92.25(g)(3)’’ and adding in its place its place ‘‘45 CFR 75.371 through 75.380’’. § 1309.21 [Amended] ‘‘§ 75.307(e)(2), and removing ‘‘§ 92.25(g)(1)’’ and adding in its place ■ 262. Amend § 1309.21(e) by removing § 1336.77 [Amended] ‘‘§ 75.307(e)(1)’’. ‘‘45 CFR parts 74 or 92’’ and adding in ■ 280. Amend § 1336.77 in paragraph its place ‘‘45 CFR part 75’’. PART 1326—GRANTS TO INDIAN (a)(1) by removing ‘‘45 CFR part 74’’ and adding in its place ‘‘45 CFR part 75, § 1309.22 [Amended] TRIBES FOR SUPPORT AND subpart E’’ and in paragraph (b) by ■ NUTRITION SERVICES 263. Amend § 1309.22(c) by removing removing ‘‘45 CFR part 74’’ and adding ‘‘45 CFR 74.2, or, if part 92 is ■ 273. The authority citation for part in its place ‘‘45 CFR part 75’’. applicable, to ACF’s share as defined in 1326 continues to read as follows: 45 CFR 92.3’’ and adding in its place Authority: 42 U.S.C. 3001; Title VI, Part A PART 1355—GENERAL ‘‘45 CFR 75.2’’. of the Older Americans Act. ■ 281. The authority citation for part § 1309.31 [Amended] ■ 274. In § 1326.5, remove and reserve 1355 continues to read as follows: ■ 264. Amend § 1309.31(b) by removing paragraph (b) and revise paragraph (c). The revision reads as follows: Authority: 42 U.S.C. 620 et seq., 42 U.S.C. ‘‘45 CFR part 74 and 45 CFR part 92’’ 670 et seq.; 42 U.S.C. 1302. and adding in its place ‘‘45 CFR part § 1326.5 Applicability of other regulations. ■ 282. Amend § 1355.30 by revising 75’’. * * * * * paragraph (i) to read as follows: § 1309.32 [Amended] (c) 45 CFR part 75—Uniform § 1355.30 Other applicable regulations. ■ 265. Amend § 1309.32(b) by removing Administrative Requirements, Cost Principles, and Audit Requirements for * * * * * ‘‘45 CFR parts 74 and 92’’ and adding (i) 45 CFR part 75—Uniform HHS Awards. in its place ‘‘45 CFR part 75’’. Administrative Requirements, Cost * * * * * § 1309.34 [Amended] Principles, and Audit Requirements for HHS Awards. Part 75 of this title is ■ 266. Amend § 1309.34 by removing PART 1328—GRANTS FOR applicable to title IV–B programs and ‘‘45 CFR part 74 and 45 CFR part 92’’ SUPPORTIVE AND NUTRITIONAL the John H. Chafee Foster Care and adding in its place ‘‘45 CFR part SERVICES TO OLDER HAWAIIAN Independence Program under Section 75’’. NATIVES 477 of the Act that are operated by § 1309.43 [Amended] ■ 275. The authority citation for part States and/or Tribes. Part 75 of this title ■ 267. Amend § 1309.43 by removing 1328 continues to read as follows: is applicable to title IV–E foster care and ‘‘45 CFR part 74 and 45 CFR part 92’’ Authority: 42 U.S.C. 3001; Title VI Part B adoption assistance programs operated and adding in its place ‘‘45 CFR part of the Older Americans Act. by a State title IV–E agency, except that 75’’. ■ 276. In § 1328.5, remove and reserve section 75.306 Cost sharing or matching and section 75.341 Financial reporting § 1309.52 [Amended] paragraph (b) and revise paragraph (c). The revision reads as follows: do not apply. Part 75 of this title is ■ 268. Amend § 1309.52(a) by removing applicable to title IV–E foster care and ‘‘45 CFR parts 74 or 92’’ and adding in § 1328.5 Applicability of other regulations. adoption assistance programs operated its place ‘‘45 CFR part 75’’. * * * * * by a Tribal title IV–E agency pursuant (c) 45 CFR part 75—Uniform to section 479B, except that section PART 1321—GRANTS TO STATE AND Administrative Requirements, Cost 75.341 and the sections specified in COMMUNITY PROGRAMS ON AGING Principles, and Audit Requirements for § 1356.68 do not apply to a Tribal title ■ 269. The authority citation for part HHS Awards. IV–E agency. 1321 continues to read as follows: * * * * * * * * * *

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PART 1357—REQUIREMENTS DATES: This final rule is effective the ESA defines a ‘‘species’’ to include APPLICABLE TO TITLE IV–B February 19, 2016. ‘‘any subspecies of fish or wildlife or ADDRESSES: Chief, Endangered Species plants, and any distinct population ■ 283. The authority citation for part Division, NMFS Office of Protected segment of any species of vertebrate fish 1357 continues to read as follows: Resources (F/PR3), 1315 East West or wildlife which interbreeds when Authority: 42 U.S.C. 620 et seq., 42 U.S.C. Highway, Silver Spring, MD 20910, mature.’’ 670 et seq.; 42 U.S.C. 1302. USA. Section 3 of the ESA defines an § 1357.30 [Amended] FOR FURTHER INFORMATION CONTACT: endangered species as ‘‘any species which is in danger of extinction ■ 284. Amend § 1357.30 in paragraph Therese Conant or Maggie Miller, NMFS, Office of Protected Resources, throughout all or a significant portion of (d) by removing ‘‘45 CFR 92.43 and its range’’ and a threatened species as 92.44’’ and adding in its place ‘‘45 CFR (301) 427–8403. SUPPLEMENTARY INFORMATION: one ‘‘which is likely to become an 75.371 through 75.372’’ and in endangered species within the paragraph (e) introductory text by Background foreseeable future throughout all or a removing ‘‘45 CFR part 92’’ and adding significant portion of its range.’’ We in its place ‘‘45 CFR part 75’’. On July 15, 2013, we received a petition from WildEarth Guardians to interpret an ‘‘endangered species’’ to be § 1357.40 [Amended] list 81 marine species as threatened or one that is presently in danger of ■ 285. In § 1357.40, amend paragraph endangered under the Endangered extinction. A ‘‘threatened species,’’ on (d)(5)(i) by removing ‘‘45 CFR 92.43 and Species Act (ESA). We found that the the other hand, is not presently in 92.44’’ and adding in its place ‘‘45 CFR petitioned actions may be warranted for danger of extinction, but is likely to 75.371 through 75.372’’ and amend 27 of the 81 species and announced the become so in the foreseeable future (that paragraph (d)(5)(ii) introductory text by initiation of status reviews for each of is, at a later time). In other words, the removing ‘‘45 CFR part 92’’ and adding the 27 species (78 FR 63941, October 25, primary statutory difference between a in its place ‘‘45 CFR part 75’’. 2013; 78 FR 66675, November 6, 2013; threatened and an endangered species is 78 FR 69376, November 19, 2013; 79 FR the timing of when a species may be in [FR Doc. 2015–32101 Filed 1–19–16; 8:45 am] 9880, February 21, 2014; and 79 FR danger of extinction, either presently BILLING CODE 4150–24–P 10104, February 24, 2014). On (endangered) or in the foreseeable future December 16, 2014, we published a (threatened). proposed rule to list the dusky sea snake When we consider whether a species DEPARTMENT OF COMMERCE (Aipysurus fuscus) and three foreign might qualify as threatened under the corals (Cantharellus noumeae, ESA, we must consider the meaning of National Oceanic and Atmospheric Siderastrea glynni, and Tubastraea the term ‘‘foreseeable future.’’ It is Administration floreana) as endangered species, and we appropriate to interpret ‘‘foreseeable proposed to list the Banggai cardinalfish future’’ as the horizon over which 50 CFR Part 223 (Pterapogon kauderni) and Harrisson’s predictions about the conservation [Docket No. 151120999–5999–01] dogfish (Centrophorus harrissoni) as status of the species can be reasonably threatened species (79 FR74953). We relied upon. The foreseeable future RIN 0648–XE328 requested public comment on considers the life history of the species, habitat characteristics, availability of Endangered and Threatened Wildlife information in the status reviews and data, particular threats, ability to predict and Plants; Final Listing proposed rule through February 17, threats, and the reliability to forecast the Determinations on Proposal To List the 2015. This final rule provides a effects of these threats and future events Banggai Cardinalfish and Harrisson’s discussion of the information we on the status of the species under Dogfish Under the Endangered received during the public comment consideration. Because a species may be Species Act period and our final determination on the petition to list the Banggai susceptible to a variety of threats for AGENCY: National Marine Fisheries cardinalfish (Pterapogon kauderni) and which different data are available, or Service (NMFS), National Oceanic and Harrisson’s dogfish (Centrophorus which operate across different time Atmospheric Administration (NOAA), harrissoni) under the ESA. Our final scales, the foreseeable future is not Commerce. determinations for the other species necessarily reducible to a particular ACTION: Final rule. proposed for listing in the December 16, number of years. 2014, proposed rule (dusky sea snake Section 4(a)(1) of the ESA requires us SUMMARY: In response to a petition, we, and three foreign corals) were made in to determine whether any species is NMFS, issue a final rule to list the a prior rule (80 FR 60560). The status of endangered or threatened due to any Banggai cardinalfish (Pterapogon the findings and relevant Federal one or a combination of the following kauderni) as a threatened species under Register notices for those and the other five threat factors: The present or the Endangered Species Act (ESA). We 21 species can be found on our Web site threatened destruction, modification, or have also determined that the proposed at http://www.nmfs.noaa.gov/pr/ curtailment of its habitat or range; listing of Harrisson’s dogfish shark species/petition81.htm. overutilization for commercial, (Centrophorus harrissoni) as a We are responsible for determining recreational, scientific, or educational threatened species is not warranted at whether species are threatened or purposes; disease or predation; the this time. We will not designate critical endangered under the ESA (16 U.S.C. inadequacy of existing regulatory habitat for Banggai cardinalfish because 1531 et seq.). To make this mechanisms; or other natural or the geographical areas occupied by this determination, we consider first manmade factors affecting its continued species are entirely outside U.S. whether a group of organisms existence. We are also required to make jurisdiction, and we have not identified constitutes a ‘‘species’’ under the ESA, listing determinations based solely on any unoccupied areas within U.S. then whether the status of the species the best scientific and commercial data jurisdiction that are currently essential qualifies it for listing as either available, after conducting a review of to the conservation of this species. threatened or endangered. Section 3 of the species’ status and after taking into

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account efforts being made by any state The commenter also felt that continued under the ESA. Rather, they stated that or foreign nation to protect the species. efforts to list the species under the the Banggai cardinalfish should be In making a listing determination, we Convention on International Trade in listed as a species of concern. They first determine whether a petitioned Endangered Species of Wild Fauna and recommended continued data collection species meets the ESA definition of a Flora (CITES) should be undertaken. on population trends and structure, ‘‘species.’’ Next, using the best available Response: We were petitioned to list stratified by habitat in both the information gathered during the status the Banggai cardinalfish and found that historical and introduced ranges, review for the species, we complete a the petitioned action may be warranted establishment of a sampling regime to status and extinction risk assessment. In for the species (see Background). Thus, quantify habitat trends in abundance assessing extinction risk for these two we are required to review the best and quality, studies of the Banggai species, we consider the demographic available scientific and commercial data cardinalfish’s use of alternative viability factors developed by McElhany to determine whether the species is microhabitats, and consultations with et al. (2000) and the risk matrix threatened or endangered under the the Republic of Indonesia on current approach developed by Wainwright and ESA (16 U.S.C. 1531 et seq.). We agree and future management plans for wild Kope (1999) to organize and summarize that Indonesia’s efforts to conserve and harvest and captive propagation. One extinction risk considerations. The protect the Banggai cardinalfish are commenter felt the population approach of considering demographic essential to the long-term viability of the abundance transect surveys need to be risk factors to help frame the species and should be supported. The standardized, given the species’ patchy consideration of extinction risk has been ESA recognizes the international distribution and variable density. They used in many of our status reviews, instruments, including CITES, to felt this was necessary for future including for Pacific salmonids, Pacific conserve and protect various species. evaluations on the species’ population hake, walleye pollock, Pacific cod, Further, the ESA calls for a suite of status and trends. However, they agreed Puget Sound rockfishes, Pacific herring, engagements to enhance international with the overall conclusion that scalloped hammerhead sharks, and cooperation with foreign nations where abundance has declined due to black abalone (see http:// listed species occur. Through the ESA, unsustainable harvest in the early years. www.nmfs.noaa.gov/pr/species/ for we are encouraged to work with foreign One commenter recommended we links to these reviews). In this approach, countries to enter into bilateral or extend the period to make a final the collective condition of individual multilateral agreements to provide for determination, citing a lack of data to populations is considered at the species conservation of species. Regarding support the proposed listing and the level according to four demographic CITES, in 2007, due to overharvest need to solicit additional data. viability factors: Abundance, growth concerns, the Banggai cardinalfish was Response: We disagree that the data rate/productivity, spatial structure/ proposed to be listed under CITES are insufficient to make a listing connectivity, and diversity. These Appendix II. Appendix II includes determination. Data exist on the Banggai viability factors reflect concepts that are species that are vulnerable to cardinalfish’s biology, population well-founded in conservation biology overexploitation, but not at risk of structure, abundance, trends, habitat use and that individually and collectively extinction under CITES criteria; trade and threats that were reported in the provide strong indicators of extinction must be regulated to avoid exploitation proposed rule and the status review. We risk. rates that are incompatible with species agree that standardized surveys across We then assess efforts being made to survival. Indonesia did not support the years would be ideal. However, the protect the species, to determine if these proposal and it was withdrawn. The existing data indicate an overall conservation efforts are adequate to next Conference of the Parties (COP) population decline, and decreases in mitigate the existing threats. Section will be held in 2016. The United States population density are also evidenced 4(b)(1)(A) of the ESA requires the has not determined which species it by significant declines in the catch per Secretary, when making a listing will propose for listing at the next COP. unit effort. Prior to 2003, collectors from determination for a species, to take into The United States has a public process Bone Baru typically required one day to consideration those efforts, if any, being to determine which species it will capture approximately 2,000 specimens. made by any State or foreign nation to propose. In 2007, they reported requiring one protect the species. Comment 2: One commenter stated week to capture the same number. For that requiring the aquarium trade to Banggai Island, reported mean catch Summary of Comments only buy captive-bred or maricultured declined from about 1,000 fish/hour in In the solicitation for information specimens through a section 4(d) 2000 to 25–330 fish/hour in 2004. from the public on the proposed rule, protective regulation would not control Extirpations of populations within the we received information and/or commercial trade in wild-caught fish Banggai cardinalfish’s natural range comments on the Banggai cardinalfish because there is no way to discern a have occurred. In particular, extirpation and Harrisson’s dogfish proposals from captive-bred or maricultured specimen of local populations has been 13 parties. These comments are broken from a wild-harvested one. documented in areas with increased out by species and summarized below. Response: We agree that identifying a harvest of microhabitat, such as captive-bred from a wild-harvested fish Diadema sea urchins and sea anemones, Banggai Cardinalfish would be difficult. We have not decided combined with fishing pressure on Twelve commenters submitted which, if any, of the section 9 Banggai cardinalfish. Further information and/or commented on the prohibitions to apply to the Banggai fragmentation of an already small proposed listing of the Banggai cardinalfish. We intend to announce an endemic population, which exhibits cardinalfish. advance notice of proposed rulemaking high genetic population substructuring, Comment 1: One commenter felt that to solicit public comment and increases the extinction risk for the instead of listing under the ESA, the information on any section 4(d) Banggai cardinalfish. Banggai cardinalfish would derive a protective regulation, if proposed, for Comment 4: One commenter felt that greater benefit if we would engage in the Banggai cardinalfish. the species’ life history represents an direct talks and support for Indonesia’s Comment 3: Many commenters felt adaptation of a small-bodied fish to its internal efforts to conserve the species. that the data do not support a listing physical environment (i.e., shallow

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waters separated by deep channels with cardinalfish, as well as ongoing significantly impacted the Banggai swift currents). They contend that its conservation efforts and other mitigating cardinalfish and remains a concern. early maturity, low fecundity, and factors, were considered in the proposed Data from several sources reported an extended parental care are rule. In the proposed rule, we increase in compliance with the Fish manifestations of a reproductive strategy considered the improved harvest Quarantine regulations and improved in a physically limited environment. practices, the increasing aquaculture trade practices, but an updated survey They state that situational cannibalism facilities, and the local management in 2015 reported voluntary compliance is further evidence of a behavior initiatives under these factors. If the and a lack of improved trade practices. adapted to maintain abundance within species is endangered or threatened For these reasons, we conclude that the carrying capacity of its microhabitat- with extinction because of any one of directed harvest for the live marine oriented habitat. Therefore, they do not the 4(a)(1) factors, then we must ornamental reef fish trade harvest and concur with the assertion that these determine that listing is warranted. In harvest of microhabitat remain characteristics lower Banggai our synthesis of the extinction risk to concerns. cardinalfish resilience. the Banggai cardinalfish, we stated that Comment 7: One commenter stated Response: While we agree the Banggai overutilization from direct harvest for that the introduced populations in Palu cardinalfish life history characteristics the ornamental live reef fish trade has Bay and Luwuk Harbor must be are likely adaptive, we disagree that significantly impacted the Banggai considered in the listing process. these traits do not render the species cardinalfish and remains a concern. We Response: We considered these less resilient and vulnerable to threats. further stated an increase in compliance introduced populations. The introduced The Banggai cardinalfish lacks dispersal with the Fish Quarantine regulations populations are an artifact of the ability and exhibits high site fidelity, and improved trade practices have commercial ornamental live reef trade and new recruits stay within parental occurred in recent years, and we and are not part of any conservation habitat. Thus, population discreteness is anticipated compliance and trade program to benefit the native high and recolonization is unlikely once practices will likely continue to populations. The introduced a local population is extirpated. Local improve in the future, which may populations were introduced through populations off Liang Island, Peleng mitigate impacts through sustainable the practice of high-grading (i.e., Island, and Masoni Island are reported trade. However, since the proposed rule, discarding live specimens determined to extirpated, and interviews with local interviews were held in March 2015 be of low quality/non saleable) or fishermen indicate extirpation of local escapement near trade centers for the populations throughout the Banggai with Indonesian government officials ornamental live reef market. The Archipelago. and Banggai cardinalfish collectors. The Comment 5: Several commenters interviews were conducted by Dr. introduced population at Lembeh Strait provided information on their shift from Vagelli, New Jersey Academy for is considered invasive and may be purchasing wild-harvest to mariculture Aquatic Sciences, who served as a peer impacting local diversity through specimens, including from domestic reviewer (Information Quality Act, Pub. interspecific competition for resources facilities. Many commenters felt that L. 106–554) for the Banggai cardinalfish in the area, but specific data on directed harvest for the live marine status review. The March 2015 report ecological impacts are lacking. Because ornamental reef fish trade no longer (Vagelli unpublished report 2015) is one of the purposes of the ESA is to poses a significant threat to the Banggai available upon request (see FOR FURTHER provide a means whereby the cardinalfish. INFORMATION CONTACT). Indonesian ecosystems upon which endangered and Response: We appreciate the officials and collectors reported that threatened species depend may be information submitted, as it supports compliance with the Fish Quarantine conserved (16 U.S.C. 1531(b)), we the proposed rule’s statement that regulations was largely voluntary and consider a species’ natural range to be Banggai cardinalfish exports for the that improved trade practices had not biologically and ecologically important ornamental live reef fish trade may be been implemented (Vagelli unpublished to the species’ viability to persist in the decreasing, although systematic data are report 2015). Thus, reports are face of threats. The introduced lacking. We reported that the large-scale conflicting on whether compliance and populations are outside of the Banggai aquaculture facility based in Thailand trade practices have improved and are cardinalfish’s natural range and may not and efforts to captive-breed the species likely to improve in the future. contribute to the species’ ability to in the United States may alleviate some Participation in collection of Banggai persist and therefore were not included of the pressure to collect fish from wild cardinalfish for the live ornamental reef in the analysis of the overall extinction populations, but the degree to which trade has dropped in recent years. risk to the species. aquaculture would affect harvest of wild Captive-bred facilities have recently Comment 8: One commenter populations is unknown. As we explain started in the United States and disagreed with the statement in the in more detail in the response to the Thailand and are anticipated to decrease proposed rule that designation of next comment, the evidence shows that the threat of directed harvest of the wild critical habitat was not proposed for any directed harvest for the live marine populations in the future, but the degree of the species, including the Banggai ornamental reef fish trade and harvest of to which aquaculture would affect cardinalfish, because critical habitat microhabitat remain concerns. harvest of wild populations is unknown. shall not be designated in foreign Comment 6: One commenter felt that Data also indicate that by 2007, harvest countries or other areas outside U.S. the improved harvest practices, of microhabitat (sea urchins and sea jurisdiction (50 CFR 424.12(h)). The development of significant aquaculture anemones) had negatively impacted commenter argued that we should production, and Indonesian cardinalfish populations, and the construe areas under U.S. management initiatives undertaken harvest had increased by 2011, and will ‘‘jurisdiction,’’ as used in § 424.12(h), to since 2007 were not fully considered in continue in the future, which negatively include Taiwan and areas under U.S. the proposed rule. impacts Banggai cardinalfish and their military protection. The commenter Response: We disagree. All section ability to avoid predators. cited multiple sections in U.S. Code 4(a)(1) factors that are found to pose an Overutilization from direct harvest for Title 22, Foreign Relations and extinction risk to the Banggai the ornamental live reef fish trade has Intercourse, and referenced ‘‘U.S. Navy

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Okinawan Dugong litigation’’ without percent between 1976–77 and 1996–97 Comment 11: Since the publication of citation. (Graham et al. 2001), we find that the the proposed rule, there has been a Response: We found one line of cases minimal catches of the species, even reduction in ALL effort in the SESSF, involving the Department of Defense prior to 2010, are more likely a with one boat leaving the fishery. There and the Okinawa dugong (Ctr. for reflection of the low abundance and are now only two dedicated longline Biological Diversity v. Hagel, 80 F. rarity of the species on the continental boats remaining in the fishery, as Supp. 3d 991 (N.D. Cal. 2015); Okinawa margin. opposed to the three vessels considered Dugong v. Gates, 543 F.Supp.2d 1082 Comment 10: The proposal to list in the proposed listing. Both of the (N.D. Cal. 2008); Okinawa Dugong v. Harrisson’s dogfish notes that there is remaining vessels have now been fitted Rumsfeld, No. 03–4350, 2005 WL potentially high at-vessel mortality of with electronic monitoring systems 522106 (N.D. Cal. Mar. 2, 2005) Harrisson’s dogfish in auto-longline which are required to monitor all (unpublished)). These cases interpret (ALL) gear and cites to Williams et al. fishing operations. This allows specific provisions of the National (2013a). However, the proposal does not assessment of dogfish handling Historic Preservation Act, not the ESA, appear to have considered tagging practices, as well as evaluation of the and have no bearing on interpretation or studies, which indicate post-capture effectiveness of the industry code of application of 50 CFR 424.12(h). We survival rates on ALL gear to be between conduct. also note that the Banggai cardinalfish’s 65 and 95 percent, potentially Response: We appreciate the new natural historical and present range downgrading capture on longline to a information and have updated the status does not occur within the area lower risk method (Williams et al. review accordingly. After review, we do mentioned by the commenter, and 2013a). not find that the removal of this single therefore, the question of critical habitat vessel from the fishery would Response: The Status Review Report designation is irrelevant. significantly change the overall (Miller 2014), upon which the proposed conclusions of the extinction risk Harrisson’s Dogfish rule for Harrisson’s dogfish was based, analysis. We received a single submission on discusses the potential for high at-vessel the proposal to list Harrisson’s dogfish mortality in ALL gear. Citing the Status Reviews from the Australian Government Williams et al. (2013a) paper, Miller Status reviews for the petitioned Department of the Environment. We (2014) notes that mortality of species addressed in this finding were briefly summarize their comments Harrisson’s dogfish after capture on ALL conducted by NMFS staff. Separate draft below and respond with references to gear ranged from 4 percent (if estimates status reviews were completed for the our prior documents where relevant. included only confirmed dead sharks Banggai cardinalfish (Conant 2014) and Comment 9: The proposal to list immediately after capture) to as high as Harrisson’s dogfish (Miller 2014). In Harrisson’s dogfish suggests that lower 73 percent (if estimates included sharks order to complete the status reviews, we catches in recent years reflect a that swam away slowly after capture, compiled information on the species’ decreasing population. This conclusion indicating stress or shock, as potential biology, ecology, life history, threats, appears not to have taken into account mortalities). The comment above and conservation status from restrictive catch limits for Harrisson’s appears to refer to the estimates of post information contained in the petition, dogfish in the last five years in the capture survival on ALL gear from our files, a comprehensive literature Southern and Eastern Scalefish and tagging studies on a different gulper search, and consultation with experts. Shark Fishery (SESSF). Since 2010, a species, the Southern dogfish (C. We also considered information limit of 15 kg per day of Harrisson’s zeehaani), as reported in Williams et al. submitted by the public and peer dogfish has been implemented, which (2013a) which further cited Williams et reviewers. Prior to publication of the has contributed to reductions in catch al. (2012). Based on detections from 70 proposed rule, all status reviews were rates by stopping targeted fishing and tagged Southern dogfish, post-capture subjected to peer review. Peer reviewer encouraging active avoidance of dogfish. mortality rate was estimated to be low, comments are available at http:// Response: The text in the proposed around 3 to 16 percent (Williams et al. www.cio.noaa.gov/services_programs/ rule, to which this comment refers, 2013a). However, as part of this tagging prplans/PRsummaries.html. states ‘‘However, even before the study, steps were taken to maximize The status review reports provide a prohibition, reported catch rates of survivorship (such as restricting soak thorough discussion of life history, Harrisson’s dogfish in the SESSF have times to 2–4 hours and careful de- demographic risks and threats to the been minimal in recent years, likely due hooking and handling of the sharks) that particular species. We considered all to the low abundance of the species on may not be followed during commercial identified threats, both individually and the continental margin where the fishing operations (Williams et al. cumulatively, to determine whether the fisheries operate.’’ While we agree that 2012). In fact, Williams et al. (2012) species responds in a way that causes the 2010 catch limit does, in part, notes that soak times of up to 13.45 actual impacts at the species level. The contribute to the observed low catches hours are more common during normal collective condition of individual of the species, we would like to point commercial fishing operations. Given populations was also considered at the out that even before the 2010 catch the methods taken to maximize species level, according to the four limit, C. harrissoni catches were rare. survivorship, as well as the fact that the demographic viability factors discussed According to Walker et al. (2009), study focused on Southern dogfish, we above. annual catches of Harrisson’s dogfish in find that the estimates reported in The proposed rule (79 FR 74953, the SESSF from 2000–2006 were <1 t. Williams et al. (2012; 2013a) and December 16, 2014) summarizes general Catches of all gulper sharks (C. referred to by the commenters may not background information on the natural harrissoni, C. moluccensis, C. zeehaani) be an accurate representation of post- history, range, reproduction, population have also been decreasing since the capture survivorship for Harrisson’s structure, distribution and abundance of mid-1990s (Georgeson et al. 2014). dogfish on ALL gear. As such, we find the Banggai cardinalfish and Harrisson’s Given that Harrisson’s dogfish’s relative no reason to change our initial dogfish. All of that information is abundance on the upper-slope is characterization of risk from incidental incorporated herein by reference. In estimated to have declined by over 99 capture on ALL gear. addition, an update on the Banggai

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cardinalfish population abundance and improve in the future. However, the measures from the Upper-Slope Dogfish conservation efforts (Vagelli updated information on the inadequacy Management Strategy (the ‘‘Strategy’’; unpublished report 2015) is available of existing regulatory mechanisms did see AFMA, 2012), which the Australian upon request (see FOR FURTHER not result in a higher risk of extinction Fisheries Management Authority INFORMATION CONTACT). because we previously had considered (AFMA) implemented for the that enforcement was weak, and illegal, conservation of the species, were likely Species Determinations unregulated, and unreported capture to be effective in improving the present Based on the best available scientific and trade were still a major problem in status of the species. However, we also and commercial information described the extinction risk assessment (Conant noted in the proposed rule that the above and in the status review reports, 2014). certainty of the conservation efforts we have determined that the Banggai remaining in place after 5 years could Conservation Efforts cardinalfish (Pterapogon kauderni) and not be predicted at this time. As such, Harrisson’s dogfish (Centrophorus Finally, we considered conservation we concluded that the time frame over harrissoni) are taxonomically-distinct efforts to protect each species and which the conservation efforts would species and therefore meet the evaluated whether these conservation certainly be in place was insufficient to definition of ‘‘species’’ pursuant to efforts are adequate to mitigate the increase the species’ chances of survival section 3 of the ESA and are eligible for existing threats to the point where or prevent its extinction through the listing under the ESA. extinction risk is significantly lowered foreseeable future. and the species’ status is improved. Summary of Threat Factors Affecting Our conclusion was primarily based None of the information we received the Two Species on our understanding that the legal from public comment on the proposed instrument (i.e., the ‘‘SESSF Fishery Next we considered whether any one rule affected any of our discussion or Closures Direction No. 1 2013’’) used to or a combination of the five threat conclusions regarding conservation implement the conservation efforts factors specified in section 4(a)(1) of the efforts to protect Banggai cardinalfish, within the Strategy expires in 5 years, ESA contribute to the extinction risk of so we incorporate the discussion of with no certainty of implementation of these species. For Harrisson’s dogfish, these efforts from the proposed rule (79 conservation efforts past this point in none of the information we received FR 74953, December 16, 2014) by time. Additionally, we interpreted the from public comment on the proposed reference herein. listing of the species as ‘‘conservation rule affected our discussion or For Harrisson’s dogfish, we dependent’’ under Australia’s conclusions regarding any of the section specifically requested information Commonwealth Environment Protection 4(a)(1) factors or their interactions, so during the public comment process on and Biodiversity Conservation Act 1999 we incorporate the discussion of these the conservation efforts that were (EPBC Act) to mean that it is not factors from the proposed rule (79 FR identified in the proposed rule (79 FR afforded protection by the EPBC Act 74953, December 16, 2014) by reference 74953; December 16, 2014) and their because it is not considered to be a herein. For the Banggai cardinalfish, the certainty of implementation and ‘‘matter of national significance.’’ report received from the peer review on effectiveness. We received no comments However, upon review of the the Banggai cardinalfish status review or information on our conclusions information received from the indicated that compliance with the Fish regarding the effectiveness of the Australian Government, as well as Quarantine regulations was largely conservation efforts. As such, our information we collected during the voluntary and that improved trade discussion and conclusion from the comment period, briefly discussed practices had not been implemented proposed rule remains the same (and is below, we now have a high degree of (Vagelli unpublished report 2015). incorporated herein by reference); certainty that conservation efforts will Thus, we are less certain that namely, that the implemented continue to be implemented beyond a 5- compliance and trade practices will conservation efforts are likely to year period. improve in the future under the improve the present status of the species In Australia, Commonwealth fisheries ‘‘inadequacy of existing regulatory by effectively decreasing the threat of are managed by AFMA, which is mechanisms’’ threat factor. overutilization by fisheries in the near governed by the legislative objectives in Australia’s Fisheries Management Act Extinction Risk term to the point where the species is no longer presently in danger of 1991 (FM Act). One of AFMA’s main None of the information we received extinction. legislative objectives under the FM Act from public comment on the proposed We did receive information on the is ‘‘Ensuring that the exploitation of rule affected our extinction risk other aspect of our evaluation of fisheries resources and the carrying on evaluation of Harrisson’s dogfish. As conservation efforts, namely, the of any related activities are conducted such, our evaluation remains the same certainty of implementation of these in a manner consistent with the as in the original status review report conservation efforts. Specifically, we principles of ecologically sustainable and the discussion in the proposed rule received information from the development (which include the (79 FR 74953, December 16, 2014), and Australian Government, the exercise of the precautionary principle), that discussion is incorporated herein organization in charge of implementing in particular the need to have regard to by reference. For the Banggai the conservation efforts. This the impact of fishing activities on non- cardinalfish, as stated above, the report information, as well as additional target species and the long-term received from the peer review on the information collected during the sustainability of the marine Banggai cardinalfish status review comment period and our analysis of this environment’’ (FM Act subsection indicated that compliance with the Fish new information, is discussed below. 3(1)(b)). In addition, AFMA also has the Quarantine regulations was largely objective of ‘‘Ensuring, through proper voluntary and that improved trade Certainty of Implementation of conservation and management practices had not been implemented Conservation Efforts to Protect measures, that the living resources of (Vagelli unpublished report 2015). Harrisson’s Dogfish the AFZ [Australian Fishing Zone] are Thus, we are less certain that In the proposed rule (79 FR 74954), not endangered by over-exploitation’’ compliance and trade practices will we concluded that the regulatory (FM Act subsection 3(2)(a)).

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In 1999, the EPBC Act was passed and SESSF is managed in an ecologically consultation with relevant experts, to is considered to be the key legislation sustainable way so that commercial monitor and review the adequacy of for conserving the biodiversity of export of Australian native wildlife from management measures designed to stop Australian ecosystems and protecting this fishery may continue appears to be the decline and support the recovery of the natural environments that support a priority for the Australian Harrisson’s dogfish and southern these ecosystems. Broadly, the EPBC Government. dogfish (Commonwealth of Australia Act requires that fishing actions do not The most recent assessment of the Gazette C2014G00735; 8 May 2014 have a significant impact on the SESSF occurred in 2013, before the (OTLF); C2014G01029; 20 June 2014 Commonwealth marine environment, EPBC Act listing of Harrisson’s dogfish. (OTF)). These approvals are valid for 3 including protected species or However, in recognition of the decline years, after which, again, the fisheries ecological communities. Objectives of in Harrisson’s dogfish and the potential must be re-assessed to ensure ecological the EPBC Act include providing for the impacts that continued SESSF sustainability. If any of these fisheries protection of the environment, operations may have on the shark, the fail to follow the conditions set forth in especially matters of national Department of Environment the wildlife trade operation declaration, environmental significance (which recommended that the accreditation be then they would be prohibited from includes Commonwealth marine areas), subject to a number of conditions that exporting products derived from the conserving Australian biodiversity, and must be addressed by AFMA within the fishery, essentially shutting down the promoting ecologically sustainable period of the approved wildlife trade fishery operations. development through the conservation operation declaration for the fishery. For To meet the approval conditions and and ecologically sustainable use of Harrisson’s dogfish, these conditions satisfy the management requirements for natural resources. were: (1) Implement long-term a conservation dependent listing under Part of AFMA’s obligations under the management measures, including the EPBC Act (TSSC 2013), AFMA EPBC Act is the requirement to prepare fisheries closures and other actions, that identified and implemented fishery strategic assessment reports for all are clearly directed towards stopping management measures in the Strategy Commonwealth fisheries, particularly the decline and supporting the recovery that were deemed necessary to stop the those with an export component. These of Harrisson’s dogfish and southern decline of, and support the recovery of, reports are prepared to address the dogfish, and (2) continue, in the species so that its chances of long Australian Government’s Guidelines for consultation with relevant experts, to term survival in nature are maximized. the Ecologically Sustainable monitor and review the adequacy of In the proposed rule, we determined Management of Fisheries—2nd Edition, management measures designed to stop that these conservation efforts would be which specifies principles and the decline and support the recovery of effective at preventing the extinction of objectives designed to ensure a strategic Harrisson’s dogfish and southern Harrisson’s dogfish (see 79 FR 74954, and transparent way of evaluating the dogfish (Department of Environment discussion of Harrisson’s Dogfish ecological sustainability of fishery 2013). On February 25, 2013, Australia’s Protective Efforts). These measures have management measures. These reports Minister for the Environment officially ultimately been given legal effect also provide updates on the declared the harvest operations of the through legislative instruments under implementation of conditions and SESSF an approved wildlife trade the FM Act, including the Fishery recommendations from the previous operation but subject to a number of Closure Direction (‘‘SESSF Fishery assessments of the fishery. These reports conditions, including the ones Closures Direction No. 1 2013’’). are then submitted to and assessed by concerning Harrisson’s dogfish stated Although the current closure direction Australia’s Department of Environment above (Commonwealth of Australia will expire in 5 years (which is the for accreditation. The Department of the Gazette S 30; 25 February 2013). This longest time period that closure Environment ultimately evaluates the approval is valid until February 25, directions are in effect; G. Day, AFMA, environmental performance of fisheries, 2016, at which point the SESSF will personal communication 2014), the including: The strategic assessment of have to be re-assessed to ensure the objectives of and requirements under fisheries under Part 10 of the EPBC Act; sustainability of the fishery, including the FM Act and the EPBC Act (as stated assessments relating to impacts on AFMA’s progress on meeting the above) compel ongoing management protected marine species under Part 13 conditions from the approval measures to be implemented to protect of the EPBC Act; and assessments for declaration. Harrisson’s dogfish from extinction the purpose of export approval under The state-managed New South Wales through the foreseeable future. Part 13A of the EPBC Act. Ocean, Trap, and Line Fishery (OTLF) To assist with these ongoing This accreditation process is and Ocean Trawl Fishery (OTF) also conservation efforts, AFMA published extremely important for the SESSF. As potentially bycatch Harrisson’s dogfish the ‘‘Upper-Slope Dogfish Management noted in the proposed rule, Harrisson’s and were assessed in March and May Strategy Research and Monitoring dogfish are primarily caught as bycatch 2014, respectively, after Harrisson’s Workplan,’’ (‘‘Workplan’’; AFMA 2014) by the SESSF, which operates over an dogfish was listed as conservation which uses the principles of adaptive extensive area of the AFZ around dependent under the EPBC Act. Similar management to assess the effectiveness eastern, southern, and southwestern to the conditions set forth for the SESSF of the Strategy in stopping the decline Australia. In fact, the management area accreditation, the OTLF and OTF are of and promoting the rebuilding of covers almost half of the AFZ also subject to conditions for protecting Harrisson’s dogfish. According to the (Georgeson et al. 2014). In 2012–2013, Harrisson’s dogfish. Specifically, the Workplan, the scheduled periodic the SESSF was the largest New South Wales Department of reviews of its outcomes ‘‘provides for a commonwealth fishery in terms of Primary Industries, in consultation with feedback loop whereby arrangements in production value, and also the most AFMA, must: (1) Maintain long-term the Strategy can be adapted as necessary valuable, with a gross value of management measures that are clearly to meet developments in the fishery and production (GVP) of $91.8 million (28 directed towards stopping the decline the improved understanding of percent of the total GVP for and supporting the recovery of Harrisson’s dogfish biology and stock Commonwealth fisheries) (Georgeson et Harrisson’s dogfish and southern structure’’ (AFMA 2014). The Workplan al. 2014). As such, ensuring that the dogfish, and (2) continue, in also outlines explicit incremental

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objectives for the conservation effort, In light of the new information sufficiently certain to be implemented steps needed to achieve the objectives, received and collected during the public and effective over a timeframe necessary timeframes associated with the steps, as comment period regarding Australia’s to stop the decline of, and support well as performance indicators, legislative objectives, requirements, and recovery of, the species so that its monitoring mechanisms and progress actions, especially as they pertain to chances of long term survival in nature reporting on the implementation and Harrisson’s dogfish, we no longer find are maximized, thereby making it evaluation of the success of the that the timeframe over which unlikely that the species will become in objectives. conservation efforts will certainly be in danger of extinction in the foreseeable Given the implementation of current place is insufficient to increase the future. Therefore, we find that listing conservation efforts, with a published species’ chances of survival or prevent Harrisson’s dogfish as an endangered or Workplan that allows for the continued its extinction through the foreseeable threatened species under the ESA is not monitoring and reporting on the future. Rather, we now have a high warranted at this time. implementation and effectiveness of degree of certainty that conservation We will continue to monitor the these conservation efforts, as well as efforts to protect the species from status of Harrisson’s dogfish and if, at legislative obligations that compel these further decline (and with the primary any time, data indicate that protective efforts, we find there to be a high objective of rebuilding) will continue to status under the ESA may be necessary likelihood that management measures be implemented after 5 years and and should be considered again, for the protection of Harrisson’s dogfish through the foreseeable future, including information that the will continue to be implemented effectively mitigating existing threats to implementation of necessary through the foreseeable future. As noted the species and improving the status of conservation efforts has ceased, or if we by the Australian Government in their the species to the point where become aware of noncompliance issues public submission, ‘‘following the extinction is unlikely now or in the with the conservation measures, or if expiration of the current Closure foreseeable future. there are new or increasing threats, we Direction, management measures will be can initiate listing procedures, Final Determination reviewed and subsequent spatial closure including, if appropriate, emergency decisions or other conservation efforts We have reviewed the best available listing pursuant to section 4(b)(7) of the will be implemented for the protection scientific and commercial information, ESA. of Harrisson’s Dogfish in light of the including the petition, the information performance of the Strategy against its in the status review reports, public Effects of Listing objectives and the objectives of the FM comments, and the comments of peer Conservation measures provided for Act and EPBC Act.’’ Based on the above, reviewers. Based on the information species listed as endangered or we have determined that the presented, we find that the Banggai threatened under the ESA include conservation efforts protecting cardinalfish (Pterapogon kauderni) is recovery actions (16 U.S.C. 1533(f)); Harrisson’s dogfish from risk of likely to become an endangered species concurrent designation of critical extinction through the foreseeable within the foreseeable future throughout habitat, if prudent and determinable (16 future have a high certainty of being all or a significant portion of its range. U.S.C. 1533(a)(3)(A)); Federal agency implemented. We assessed the ESA section 4(a)(1) requirements to consult with NMFS In the proposed rule we also noted factors and demographic risk factors and under section 7 of the ESA to ensure that the protection of the species is not conclude that habitat destruction and their actions do not jeopardize the required under the EPBC Act due to its overutilization affect Banggai species or result in adverse modification conservation dependent status. cardinalfish. After considering efforts or destruction of critical habitat should However, as noted above, there are a being made to protect Banggai it be designated (16 U.S.C. 1536); and number of legislative protections for cardinalfish, we could not conclude that prohibitions on taking (16 U.S.C. 1538). Harrisson’s dogfish. In addition, the proposed conservation efforts would Recognition of the species’ plight although the species is not directly alter the extinction risk for the species. through listing promotes conservation characterized as a matter of national Therefore, we are listing the Banggai actions by Federal and state agencies, significance due to its conservation cardinalfish as threatened under the foreign entities, private groups, and dependent status under the EPBC Act, ESA. individuals. the species is indirectly protected by the Based on the information presented, EPBC Act through the designation of we find that Harrisson’s dogfish is not Identifying Section 7 Consultation Commonwealth Marine Areas as matters in danger of extinction, or likely to Requirements of national significance. Under this become so in the foreseeable future, Section 7(a)(2) (16 U.S.C. 1536(a)(2)) designation, an action that is likely to throughout all or a significant portion of of the ESA and NMFS/USFWS have a substantial adverse effect on a its range. We assessed the ESA section regulations require Federal agencies to population of a marine species (such as 4(a)(1) factors and demographic risk consult with us to ensure that activities Harrisson’s dogfish), including its life factors and conclude that Harrisson’s they authorize, fund, or carry out are not cycle (for example, breeding, feeding, dogfish faces threats from likely to jeopardize the continued migration behavior, life expectancy) and overutilization, with the species’ natural existence of listed species or destroy or spatial distribution, is considered to biological vulnerability to adversely modify critical habitat. It is have a significant impact on the overexploitation and demographic risks unlikely that the listing of the Banggai environment in a Commonwealth exacerbating the severity of the threats. cardinalfish under the ESA will increase Marine Area and must be referred to However, we also conclude that ongoing the number of section 7 consultations, Australia’s Minister of the Environment conservation efforts implemented by the because this species occurs outside of and undergo an environmental Australian Government are currently the United States and is unlikely to be assessment and approval process. This effective in decreasing this main threat affected by Federal actions. is an additional protection afforded to of overutilization to the point where the Harrisson’s dogfish under the Australian species is not presently in danger of Critical Habitat Government’s legal framework that was extinction. In addition, we conclude Critical habitat is defined in section 3 not considered in the proposed rule. that these conservation efforts are of the ESA (16 U.S.C. 1532(5)) as: (1)

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The specific areas within the the case of threatened species, ESA economic impacts cannot be considered geographical area occupied by a species, section 4(d) leaves it to the Secretary’s when assessing the status of a species. at the time it is listed in accordance discretion whether, and to what extent, Therefore, the economic analysis with the ESA, on which are found those to extend the section 9(a) ‘‘take’’ requirements of the Regulatory physical or biological features (a) prohibitions to the species, and Flexibility Act are not applicable to the essential to the conservation of the authorizes us to issue regulations listing process. In addition, this final species and (b) that may require special necessary and advisable for the rule is exempt from review under management considerations or conservation of the species. Thus, we Executive Order 12866. This final rule protection; and (2) specific areas outside have flexibility under section 4(d) to does not contain a collection-of- the geographical area occupied by a tailor protective regulations, taking into information requirement for the species at the time it is listed upon a account the effectiveness of available purposes of the Paperwork Reduction determination that such areas are conservation measures. The 4(d) Act. essential for the conservation of the protective regulations may prohibit, Executive Order 13132, Federalism species. ‘‘Conservation’’ means the use with respect to threatened species, some of all methods and procedures needed or all of the acts which section 9(a) of In accordance with E.O. 13132, we to bring the species to the point at the ESA prohibits with respect to determined that this final rule does not which listing under the ESA is no endangered species. These section 9(a) have significant Federalism effects and longer necessary (16 U.S.C. 1532(3)). prohibitions apply to all individuals, therefore a Federalism assessment is not Section 4(a)(3)(A) of the ESA (16 U.S.C. organizations, and agencies subject to required. 1533(a)(3)(A)) requires that, to the U.S. jurisdiction. We will consider extent prudent and determinable, potential protective regulations List of Subjects in 50 CFR Part 223 critical habitat be designated pursuant to section 4(d) for the Banggai Administrative practice and concurrently with the listing of a cardinalfish in a future rulemaking. procedure, Endangered and threatened species. However, critical habitat shall References species, Exports, Imports, Reporting and not be designated in foreign countries or recordkeeping requirements, other areas outside U.S. jurisdiction (50 Vagelli, A.A. 2015. Update on Transportation. CFR 424.12 (h)). populations’ condition of the The best available scientific and Banggai cardinalfish Pterapogon Dated: January 7, 2016. commercial data as discussed above kauderni. Unpublished report. 17 Samuel D. Rauch, III, identify the geographical areas occupied pages. Deputy Assistant Administrator for by Pterapogon kauderni as being Regulatory Programs, National Marine A complete list of the references used entirely outside U.S. jurisdiction, so we Fisheries Service. in this proposed rule is available upon cannot designate critical habitat for this request (see ADDRESSES). For the reasons set out in the species. We can designate critical preamble, 50 CFR part 223 is amended habitat in areas in the United States Classification as follows: currently unoccupied by the species, if National Environmental Policy Act the area(s) are determined by the PART 223—THREATENED MARINE Secretary to be essential for the The 1982 amendments to the ESA, in AND ANADROMOUS SPECIES conservation of the species. Based on section 4(b)(1)(A), restrict the the best available information, we have information that may be considered ■ 1. The authority citation for part 223 not identified unoccupied area(s) in when assessing species for listing. Based continues to read as follows: on this limitation of criteria for a listing U.S. waters that are currently essential Authority: 16 U.S.C. 1531–1543; subpart B, to the conservation of the Banggai decision and the opinion in Pacific § 223.201–202 also issued under 16 U.S.C. cardinalfish. Therefore, based on the Legal Foundation v. Andrus, 675 F. 2d 1361 et seq.; 16 U.S.C. 5503(d) for available information, we will not 825 (6th Cir. 1981), NMFS has § 223.206(d)(9). designate critical habitat for Pterapogon concluded that ESA listing actions are kauderni. not subject to the environmental ■ 2. In § 223.102, amend the table in assessment requirements of the National paragraph (e) by adding the entry Protective Regulations Under Section Environmental Policy Act (NEPA) (See ‘‘Cardinalfish, Banggai’’ in alphabetical 4(d) of the ESA NOAA Administrative Order 216–6). order under the subheading ‘‘Fishes’’ to Section 9 of the ESA prohibits the read as follows: take of endangered species. The term Executive Order 12866, Regulatory ‘‘take’’ means to harass, harm, pursue, Flexibility Act, and Paperwork § 223.102 Enumeration of threatened hunt, shoot, wound, kill, trap, capture, Reduction Act marine and anadromous species. or collect, or to attempt to engage in any As noted in the Conference Report on * * * * * such conduct (16 U.S.C. 1532(19)). In the 1982 amendments to the ESA, (e) * * *

Species 1 Citation(s) for listing Critical ESA rules Common name Scientific name Description of listed entity determination(s) habitat

*******

Fishes

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Species 1 Citation(s) for listing Critical ESA rules Common name Scientific name Description of listed entity determination(s) habitat

******* Cardinalfish, Banggai Pterapogon kauderni ...... Entire species ...... January 20, 2016 [Insert NA ...... NA. Federal Register cita- tion].

******* 1 Species includes taxonomic species, subspecies, distinct population segments (DPSs) (for a policy statement, see 61 FR 4722, February 7, 1996), and evolutionarily significant units (ESUs) (for a policy statement, see 56 FR 58612, November 20, 1991).

* * * * * Grouper Fishery of the South Atlantic Atlantic snapper-grouper fishery has [FR Doc. 2016–00943 Filed 1–19–16; 8:45 am] Region (FMP). The FMP was prepared been issued, the bag and possession BILLING CODE 3510–22–P by the South Atlantic Fishery limits and the sale and purchase Management Council and is provisions of the commercial closure for implemented by NMFS under the greater amberjack would apply DEPARTMENT OF COMMERCE authority of the Magnuson-Stevens regardless of whether the fish are Fishery Conservation and Management harvested in state or Federal waters, as National Oceanic and Atmospheric Act (Magnuson-Stevens Act) by specified in 50 CFR 622.190(c)(1)(ii). Administration regulations at 50 CFR part 622. Classification The commercial quota (equivalent to 50 CFR Part 622 the commercial ACL) for greater The Regional Administrator, [Docket No. 100812345–2142–03] amberjack in the South Atlantic is Southeast Region, NMFS, has 769,388 lb (348,989 kg), gutted weight, determined this temporary rule is RIN 0648–XE397 as specified in 50 CFR 622.190(a)(3). necessary for the conservation and Under 50 CFR 622.193(k)(1), NMFS is management of greater amberjack and Fisheries of the Caribbean, Gulf of the South Atlantic snapper-grouper Mexico, and South Atlantic; 2015 required to close the commercial sector for greater amberjack when the fishery and is consistent with the Commercial Accountability Measure Magnuson-Stevens Act and other and Closure for South Atlantic Greater commercial quota (commercial ACL) is reached, or is projected to be reached, applicable laws. Amberjack This action is taken under 50 CFR by filing a notification to that effect with 622.193(k)(1) and is exempt from review AGENCY: National Marine Fisheries the Office of the Federal Register. NMFS Service (NMFS), National Oceanic and under Executive Order 12866. projects that commercial landings of These measures are exempt from the Atmospheric Administration (NOAA), South Atlantic greater amberjack will Commerce. procedures of the Regulatory Flexibility reach the commercial ACL by January Act, because the temporary rule is ACTION: Temporary rule; closure. 21, 2016. Accordingly, the commercial issued without opportunity for prior sector for South Atlantic greater SUMMARY: NMFS implements notice and comment. amberjack is closed effective 12:01 a.m., accountability measures (AMs) for This action responds to the best local time, January 21, 2016, until 12:01 commercial greater amberjack in the scientific information available. The a.m., local time, March 1, 2016. exclusive economic zone (EEZ) of the Assistant Administrator for Fisheries, The operator of a vessel with a valid South Atlantic. NMFS projects NOAA (AA), finds that the need to commercial vessel permit for South commercial landings of greater immediately implement this action to Atlantic snapper-grouper with greater amberjack will reach the commercial close the commercial sector for greater amberjack on board must have landed annual catch limit (ACL) (equivalent to amberjack constitutes good cause to and bartered, traded, or sold such the commercial quota) by January 21, waive the requirements to provide prior greater amberjack prior to 12:01 a.m., 2016. Therefore, NMFS closes the notice and opportunity for public local time, January 21, 2016. During the commercial sector for greater amberjack comment pursuant to the authority set commercial closure, harvest and in the South Atlantic EEZ on January forth in 5 U.S.C. 553(b)(B), as such possession of greater amberjack in or 21, 2016, and it will remain closed until procedures would be unnecessary and from the South Atlantic EEZ is limited the start of the next fishing year on contrary to the public interest. Such to the bag and possession limits, as March 1, 2016. This closure is necessary procedures are unnecessary because the specified in § 622.187(b)(1) and (c)(1). to protect the greater amberjack rule itself has been subject to notice and Also during the commercial closure, the resource. comment, and all that remains is to sale or purchase of greater amberjack notify the public of the closure. Such DATES: This rule is effective 12:01 a.m., taken from the South Atlantic EEZ is procedures are contrary to the public local time, January 21, 2016, until 12:01 prohibited. The prohibition on sale or interest because of the need to a.m., local time, March 1, 2016. purchase does not apply to the sale or immediately implement this action to FOR FURTHER INFORMATION CONTACT: purchase of greater amberjack that were protect greater amberjack since the Mary Vara, NMFS Southeast Regional harvested, landed ashore, and sold prior capacity of the fishing fleet allows for Office, telephone: 727–824–5305, email: to 12:01 a.m., local time, January 21, rapid harvest of the commercial ACL [email protected]. 2016, and were held in cold storage by (commercial quota). Prior notice and SUPPLEMENTARY INFORMATION: The a dealer or processor, as specified in opportunity for public comment would snapper-grouper fishery of the South § 622.190(c)(1)(i). require time and would potentially Atlantic includes greater amberjack and For a person on board a vessel for result in a harvest well in excess of the is managed under the Fishery which a Federal commercial or charter established commercial ACL Management Plan for the Snapper- vessel/headboat permit for the South (commercial quota).

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For the aforementioned reasons, the Authority: 16 U.S.C. 1801 et seq. Dated: January 13, 2016. AA also finds good cause to waive the Emily H. Menashes, 30-day delay in the effectiveness of this Acting Director, Office of Sustainable action under 5 U.S.C. 553(d)(3). Fisheries, National Marine Fisheries Service. [FR Doc. 2016–00907 Filed 1–15–16; 11:15 am] BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 81, No. 12

Wednesday, January 20, 2016

This section of the FEDERAL REGISTER DATES: We will consider all comments program. Conditions for importation of contains notices to the public of the proposed that we receive on or before March 21, fresh apple and pear fruit from the issuance of rules and regulations. The 2016. above countries include a trust fund purpose of these notices is to give interested ADDRESSES: You may submit comments agreement between the national plant persons an opportunity to participate in the by either of the following methods: protection organization (NPPO) of the rule making prior to the adoption of the final • rules. Federal eRulemaking Portal: Go to exporting country and APHIS; orchard http://www.regulations.gov/ and packinghouse inspections for #!docketDetail;D=APHIS-2015-0073. Leucoptera malifoliella and other DEPARTMENT OF AGRICULTURE • Postal Mail/Commercial Delivery: quarantine plant pests; approved Send your comment to Docket No. mitigations for infested orchards; cold Animal and Plant Health Inspection APHIS–2015–0073, Regulatory Analysis treatment of fruit against Mediterranean Service and Development, PPD, APHIS, Station fruit fly (Ceratitis capitata, or Medfly) in 3A–03.8, 4700 River Road Unit 118, countries where the pest is known to 7 CFR Part 319 Riverdale, MD 20737–1238. occur; identification of orchards and Supporting documents and any packinghouses for traceback of each [Docket No. APHIS–2015–0073] comments we receive on this docket consignment; packinghouse handling may be viewed at http:// and safeguarding requirements for fruit RIN 0579–AE18 www.regulations.gov/ intended for shipment to the United #!docketDetail;D=APHIS-2015-0073 or Importation of Fresh Apple and Pear States; and preclearance inspection. in our reading room, which is located in Fruit Into the Continental United States As an alternative to the preclearance room 1141 of the USDA South Building, From Certain Countries in the program, the European Commission, the 14th Street and Independence Avenue European Union executive body of the European Union SW., Washington, DC. Normal reading (EU), has requested that APHIS amend AGENCY: Animal and Plant Health room hours are 8 a.m. to 4:30 p.m., the regulations to allow the importation Inspection Service, USDA. Monday through Friday, except into the continental United States from ACTION: Proposed rule. holidays. To be sure someone is there to certain EU countries of fresh apple and help you, please call (202) 799–7039 pear fruit that has been produced in SUMMARY: We are proposing to amend before coming. accordance with an approved systems the regulations to allow the importation FOR FURTHER INFORMATION CONTACT: Mr. approach. Any alternative approach to of fresh apple and pear fruit from David B. Lamb, Senior Regulatory the preclearance program for importing certain countries in the European Union Policy Specialist, USDA/APHIS/PPQ, these articles requires that the current into the continental United States, 4700 River Road Unit 133, Riverdale, regulations be amended. provided that the fruit is produced in MD 20737–1236; (301) 851–2103; As part of our evaluation of the EU’s accordance with a systems approach, as [email protected]. request, we prepared a pest list 1 of an alternative to importation under the SUPPLEMENTARY INFORMATION: quarantine pests that could follow the current preclearance program. The pathway of commercial shipments of proposed systems approach for fresh Background fresh apple and pear fruit into the apple and pear fruit consists of Under the regulations in ‘‘Subpart— continental United States from the EU production site and packinghouse Fruits and Vegetables’’ (7 CFR 319.56– member countries included in the registration, inspection of registered 1 through 319.56–74, referred to below request. A quarantine pest is defined in production sites twice a season, as the regulations or the fruits and § 319.56–2 as ‘‘a pest of potential production site pest control and vegetables regulations), the Animal and economic importance to the area sanitation, post-harvest safeguards, fruit Plant Health Inspection Service (APHIS) endangered thereby and not yet present culling, traceback, sampling, cold of the United States Department of there, or present but not widely treatment against Mediterranean fruit fly Agriculture (USDA) prohibits or distributed and being officially in countries where the pest is known to restricts the importation of fruits and controlled.’’ The pest list reported 32 occur, a phytosanitary certificate, port of vegetables into the United States from quarantine pests (26 arthropods, 1 entry inspection, and importation as certain parts of the world to prevent bacterium, 4 fungi and 1 viroid) that commercial consignments only. Fresh plant pests from being introduced into may follow the pathway of commercial apple and pear fruit that does not meet and spread within the United States. shipments of apples and pears into the the requirements in the systems Currently, § 319.56–22 provides continental United States. They are: approach would continue to be allowed conditions for importation of fresh Arthropods: to be imported into the United States apple fruit (Malus domestica Borkh.) Adoxophyes orana (Fischer von subject to the conditions of the from Belgium, Denmark, France, Ro¨eslerstamm) (Lepidoptera: Tortricidae) preclearance program. This action Germany, Great Britain, Italy, the Aphanostigma piri (Cholodkovsky) would provide an alternative for the Netherlands, Northern Ireland, Norway, (Hemiptera: Phylloxeridae) importation of fresh apple and pear fruit Portugal, the Republic of Ireland, Spain, from certain countries in the European Sweden, and Switzerland, and fresh 1 ‘‘Pest List for Importation of Fresh Fruit of Union while continuing to provide pear fruit (Pyrus communis L.) from Apple, Malus domestica, and Pear, Pyrus communis, into the Continental United States from protection against the introduction of Belgium, France, Great Britain, Italy, the eight countries in the European Union (Belgium, plant pests into the continental United Netherlands, Portugal, and Spain, into Germany, France, Italy, Poland, Portugal, Spain, the States. the United States under a preclearance Netherlands)’’ (USDA, 2014).

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Archips podana (Scopoli) (Lepidoptera: applied to mitigate the pest risk exporting country to develop an Tortricidae) associated with the importation of fresh operational workplan, subject to APHIS Argyrotaenia pulchellana (Haworth) apple and pear fruit from certain EU approval, that details the activities that (Lepidoptera: Tortricidae) member countries into the continental the NPPO would carry out to meet the Ceratitis capitata (Wiedemann) (Diptera: Tephritidae) United States. Copies of the pest list and requirements of proposed § 319.56–75. Ceroplastes japonicus Green (Hemiptera: RMD may be obtained from the person An operational workplan is an Coccidae) listed under FOR FURTHER INFORMATION agreement developed between APHIS’ Choristoneura hebenstreitella (Muller) CONTACT or viewed on the Plant Protection and Quarantine (Lepidoptera: Tortricidae) Regulations.gov Web site (see program, officials of the NPPO of a Cryptoblabes gnidiella (Milliere) ADDRESSES above for a link to foreign government, and, when (Lepidoptera: Pyralidae) Regulations.gov and information on the necessary, foreign commercial entities, Cydia pyrivora (Danilevsky) (Lepidoptera: location and hours of the reading room). that specifies in detail the phytosanitary Tortricidae) Diloba caeruleocephala (L.) (Lepidoptera: In the RMD, entitled, ‘‘Importation of measures that will be carried out to Noctuidae) Fresh Fruit of Apple, Malus domestica, comply with our regulations governing Eutetranychus orientalis (Klein) (Acari: and Pear, Pyrus communis, into the the importation of a specific Tetranychidae) Continental United States from eight commodity. Operational workplans Euzophera bigella (Zeller) (Lepidoptera: countries in the European Union apply only to the signatory parties and Pyralidae) (Belgium, Germany, France, Italy, establish detailed procedures and Grapholita funebrana Treitschke Poland, Portugal, Spain, the guidance for the day-to-day operations (Lepidoptera: Tortricidae) Netherlands),’’ (July 2015), we of specific import/export programs. Grapholita lobarzewskii (Nowicki) determined that phytosanitary measures (Lepidoptera: Tortricidae) Operational workplans also establish Hedya pruniana (Hubner) (Lepidoptera: could be applied as a systems approach how specific phytosanitary issues are Tortricidae) to mitigate the risks of introducing or dealt with in the exporting country and Lacanobia oleracea L. (Lepidoptera: disseminating the quarantine pests in make clear who is responsible for Noctuidae) the pest list into the continental United dealing with those issues. The Leucoptera malifoliella (Costa) (Lepidoptera: States. Therefore, we are proposing to implementation of a systems approach Lyonetiidae) allow the importation of fresh apple and typically requires an operational Lobesia botrana Dennis & Schiffermuller pear fruit from the EU countries of workplan to be developed. The (Lepidoptera: Tortricidae) Belgium, Germany, France, Italy, operational workplan may include, but Mamestra brassicae L. (Lepidoptera: Poland, Portugal, Spain, and the Noctuidae) is not limited to, details of the orchard Pammene rhediella (Clerck) (Lepidoptera: Netherlands into the continental United monitoring, pest action thresholds, Tortricidae) States if the fruit is produced under the orchard phytosanitary measures Pandemis cerasana (Hubner) (Lepidoptera: systems approach described below. including removing fallen fruit, Tortricidae) Fresh apple and pear fruit that does not packinghouse inspection procedures, Pandemis heparana (Denis & Schiffermuller) meet the conditions of the systems and traceback requirements. (Lepidoptera: Tortricidae) approach would still be allowed to be Paragraph (a)(2) of proposed § 319.56– Rhynchites aequatus (L.) (Coleoptera: imported into the continental United 75 would state that only commercial Curculionidae) States if it is produced in accordance consignments of fresh apple and pear Rhynchites auratus (Scopoli) (Coleoptera: with the requirements of § 319.56–22. fruit from certain EU countries would be Curculionidae) Rhynchites bacchus (L.) (Coleoptera: Fruit imported under § 319.56–22 allowed to be imported into the Curculionidae) would still be required to be in continental United States. Commercial Syndemis musculana (Hubner) (Lepidoptera: commercial consignments and consignments, as defined in § 319.56–2, Tortricidae) accompanied by documentation to are consignments that an inspector Bacteria: validate foreign site preclearance identifies as having been imported for Erwinia pyrifoliae Kim et al. inspection after the required treatment sale and distribution. Such Fungi: is completed. identification is based on a variety of Alternaria gaisen Nagano (Ascomycetes: We have determined that the specific indicators, including, but not limited to: Pleosporales) Quantity of produce, type of packaging, Ascochyta pyricola Sacc. (Ascomycetes: mitigation measures proposed for the Pleosporales) quarantine pests identified in the pest identification of grower or packinghouse Monilinia fructigena Honey ex Whetzel list, along with the general requirements on the packaging, and documents (Ascomycetes: Helotiales) for the importation of fruits and consigning the fruits or vegetables to a Monilinia polystroma (G.C.M. Leeuwen) vegetables in the regulations, will be wholesaler or retailer. Commercial Kohn (Ascomycetes: Helotiales) sufficient to prevent the introduction of consignments are less likely to be Viroid: quarantine pests into the continental infested with plant pests than 2 Pear blister canker viroid (PBCVd) United States via importation of fresh noncommercial consignments. We prepared a risk management apple and pear fruit from the EU Noncommercial consignments are more document (RMD) to determine what countries listed above. Therefore, we are prone to infestations because the phytosanitary measures should be proposing to add the systems approach commodity is often ripe to overripe, to the regulations in a new § 319.56–75. may be of a variety with unknown 2 Apples and pears infected with the plant susceptibility to pests, and is often pathogenic pear blister canker viroid (PBCVd) are General Requirements grown with little or no pest control. not a pathway. The pathogen is not insect or seed Paragraph (a) of proposed § 319.56–75 transmitted, and cannot be transmitted from the Production Site Requirements vascular tissue of fruit (Hadidi et al., 2011). This would set out general requirements for systemic pathogen could be present in the fruit, but the NPPO of the exporting country and Under proposed § 319.56–75(b)(1), it will not establish in the United States because the for growers and packers producing fresh production sites where fresh apple or pathogen is neither seed transmitted nor insect apple and pear fruit for export to the pear fruit is grown would be required to vectored (Flores et al., 2003). Since there is no evidence that apples or pears are pathways for continental United States. be registered with the NPPO of the PBCVd (USDA, 2014) we would not require any Paragraph (a)(1) of proposed § 319.56– exporting country. Such registration mitigation measures for the disease. 75 would require the NPPO of the would facilitate traceback of a

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consignment of fresh apple or pear fruit remove the leaf mining pest Leucoptera the apple and pear fruit for signs of pest to the production site in the event that malifoliella. Packinghouse culling and infestation and confirm absence of the quarantine pests were discovered in the inspection procedures would have to be pests listed in the operational workplan. consignment at the port of first arrival followed to remove fruit with pupae of Upon detection of Adoxophyes orana, into the continental United States. Leucoptera malifoliella. These Alternaria gaisen, Argyrotaenia APHIS would reserve the right to procedures would be detailed in the pulchellana, Ascochyta piricola, conduct oversight visits at the operational workplan. Ceratitis capitata, Grapholita (Cydia) production site in the event of pest Under paragraph (c)(3), all packed funebrana, Leucoptera malifoliella, interceptions or other problems. fruit intended for shipment to the Monilinia fructigena and/or Monilinia Under proposed paragraph (b)(2), the United States would need to be polystroma in a consignment for export, registered grower of the production site safeguarded from infestation by fruit the NPPO of the exporting country would be responsible for following the flies and other pests at the packinghouse would be required to reject that phytosanitary measures agreed upon by and during transport to the continental consignment and may, under conditions APHIS and the NPPO of the exporting United States. Safeguarding measures specified in the operational workplan, country, including removal of fallen for packinghouses and packed fruit, be required to suspend the production fruit and other control measures that are which would be detailed in the site and/or packinghouse from authorized for use in the EU and the operational workplan, include importation to the continental United United States to reduce pest protecting fruit by a pest-proof screen or States for the remainder of that season. populations. The NPPO of the exporting plastic tarpaulin while the fruit is in If any of these pests are found in a country or officials authorized by the transit to the packinghouse and while consignment at U.S. ports of entry, NPPO would be responsible for awaiting packing. Other safeguarding APHIS may, under conditions specified monitoring pest populations at measures include the use of in the operational workplan, reject the production sites in order to determine packinghouse screens and double doors consignment and suspend imports from the need and timing of such control that are sufficient to prevent pests from the production site and/or packinghouse measures and ensure effective control of entering the packing area and requiring until an investigation is completed by pests. The NPPO would also be required fruit to be packed in insect-proof cartons the NPPO of the exporting country and to ensure that registered production or containers, or covered with insect- APHIS. The investigation may include sites are inspected twice every season, proof mesh or a plastic tarpaulin, for site visits by APHIS and reports from with special emphasis on quarantine transport to the United States. the NPPO of the exporting country. pests listed in the operational workplan. Under proposed paragraph (c)(4), Procedures for suspension of production Details of production site traceback apple and pear fruit would have to be sites and/or packinghouses would be and pest monitoring requirements, pest held in a cold storage facility while detailed in the operational workplan. action thresholds, field sanitation, and awaiting export. If any other fruit from The exportation to the continental other phytosanitary measures would be unregistered production sites are stored United States of fresh apple and pear included in the operational workplan in the same facility, the apple and pear fruit from a suspended production site approved by the NPPO of the exporting fruit must be isolated from that other and/or packinghouse may resume in the country and APHIS. fruit. next growing season if an investigation Paragraph 319.56–75(b)(3) would Under proposed § 319.75(c)(5), each is conducted and APHIS and the NPPO require that apple and pear propagative shipping box would need to be marked of the exporting country agree that material introduced into registered with the identity of the packing facility, appropriate remedial actions have been production sites be certified free of the production site, and grower or taken. quarantine pests by the NPPO of the grower organization to enable trace back exporting country. as necessary. Phytosanitary Certificate Mitigations for Medfly Paragraph § 319.56–75 (f) would Packinghouse Requirements require that each consignment of fresh Paragraph (c) of proposed § 319.56–75 Under proposed § 319.56–75(d), apple apple or pear fruit be accompanied by would set forth requirements for pest and pear fruit being exported from a phytosanitary certificate issued by the mitigation, fruit sampling, inspection, countries where APHIS has determined NPPO of the exporting country. and other measures that would have to that Medfly is known to occur would be Requiring a phytosanitary certificate take place at registered packinghouses required to undergo cold treatment in ensures that the NPPO of the exporting under the operational workplan. accordance with the phytosanitary country has inspected the fruit and Under proposed § 319.75(c)(1), all treatments regulations in 7 CFR part certified that the fruit meets the fresh apple and pear fruit for export to 305. Currently, treatment schedule T conditions under the systems approach 3 the United States would be required to 107–a is approved for apples and pears for export to the continental United be packed in packinghouses that are from countries where Medfly is known States. registered and approved by the NPPO of to occur. Details of required cold APHIS has determined that the above the exporting country. Packinghouses treatment procedures would be risk management measures under the would have to be able to exclude plant included in the operational workplan. proposed systems approach will pests and have a tracking system to Phytosanitary Inspection mitigate the risk of pest introductions identify individual production sites. on fresh apple and pear fruit from Paragraph § 319.56–75(e) would Requirements for packinghouse Belgium, Germany, France, Italy, require that, after post-harvest specifications and procedures would be Poland, Portugal, Spain, and the processing, the NPPO of the exporting detailed in the operational workplan. Netherlands into the continental United country or officials authorized by the Under proposed § 319.75(c)(2), States. packinghouses would not be permitted NPPO of the exporting country inspect to pack apple or pear fruit for other Executive Order 12866 and Regulatory 3 USDA/PPQ Treatment Manual, section 5, Flexibility Act countries while packing for the Treatment Schedules. https://www.aphis.usda.gov/ continental United States. All leaves import_export/plants/manuals/ports/downloads/ This proposed rule has been reviewed would have to be removed from fruit to treatment.pdf. under Executive Order 12866. The

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proposed rule has been determined to is, 80 percent apple (11,200 MT) and 20 affected include those in auxiliary be not significant for the purposes of percent pear (2,800 MT). industries that support the production Executive Order 12866 and, therefore, Apple and pear imports from the and distribution of fresh apples and has not been reviewed by the Office of EU–8 would directly compete with U.S. pears in the United States, as well as Management and Budget. produced fruit since the growing importers of fresh apples and pears. In accordance with 5 U.S.C. 603, we seasons are the same. Most apple and have performed an initial regulatory pear imports by the United States come Executive Order 12988 flexibility analysis, which is from southern hemisphere countries (89 This proposed rule would allow fresh summarized below, regarding the percent of apple imports, 78 percent of apple and pear fruit to be imported into economic effects of this proposed rule pear imports) and, notwithstanding the continental United States from on small entities. Copies of the full year-round storage capabilities, we certain EU countries under a systems analysis are available by contacting the expect any displacement of apple and approach. If this proposed rule is person listed under FOR FURTHER pear imports from current sources by adopted, State and local laws and INFORMATION CONTACT or on the EU–8 shipments would be limited due regulations regarding fresh apple and Regulations.gov Web site (see to different growing seasons. For this pear fruit imported under this rule ADDRESSES above for instructions for analysis, we therefore assume that not would be preempted while the fruit is accessing Regulations.gov). more than 10 percent of U.S. apple and in foreign commerce. Fresh fruits are Based on the information we have, pear imports from the EU–8 countries generally imported for immediate there is no reason to conclude that would displace imports from elsewhere. distribution and sale to the consuming adoption of this proposed rule would We use a non-spatial, net trade, public and would remain in foreign result in any significant economic effect partial equilibrium approach to welfare commerce until sold to the ultimate on a substantial number of small analysis to compute expected impacts of consumer. The question of when foreign entities. However, we do not currently the proposed rule on U.S. producers and commerce ceases in other cases must be have all of the data necessary for a consumers. We model changes in U.S. addressed on a case-by-case basis. If this comprehensive analysis of the effects of consumption, production, price, proposed rule is adopted, no retroactive this proposed rule on small entities. consumer welfare, and producer welfare effect will be given to this rule, and this Therefore, we are inviting comments on for three import levels (the expected rule will not require administrative potential effects. In particular, we are quantity, and this quantity plus or proceedings before parties may file suit interested in determining the number minus 10 percent). In all cases, in court challenging this rule. and kind of small entities that may consumer welfare gains under the Paperwork Reduction Act incur benefits or costs from the proposed rule outweigh producer implementation of this proposed rule. welfare losses, yielding a positive net In accordance with section 3507(d) of This proposed rule would allow the welfare impact. The expected net the Paperwork Reduction Act of 1995 importation of fresh apples (Malus benefit for the two fruits exceeds $1.3 (44 U.S.C. 3501 et seq.), the information domestica) and fresh pears (Pyrus million per year. collection or recordkeeping communis) from eight European Union For apples, producer welfare losses requirements included in this proposed (EU) countries (Belgium, France, under the three import levels range rule have been submitted for approval to Germany, Italy, the Netherlands, between $9.2 million and $11.2 million, the Office of Management and Budget Poland, Portugal, and Spain, referred to the equivalent of about 0.3 percent of (OMB). Please send written comments here as the EU–8) into the continental the annual value of fresh apple to the Office of Information and United States, if they are produced in production. Consumer welfare gains Regulatory Affairs, OMB, Attention: accordance with an approved systems range between $10.0 million and $12.2 Desk Officer for APHIS, Washington, DC approach. At present, importation of million, yielding net welfare gains of 20503. Please state that your comments fresh pear from Germany and fresh between $800,000 and $1 million. refer to Docket No. APHIS–2015–0073. apple and fresh pear from Poland is not Apple prices are calculated to decline Please send a copy of your comments to: allowed. For the other EU–8 countries, by about 0.5 percent when 11,200 MT (1) APHIS, using one of the methods this action would provide an alternative of fresh apples are imported annually described under ADDRESSES at the to current preclearance import from the EU–8. This quantity is beginning of this document, and (2) requirements. equivalent to about 0.5 percent of Clearance Officer, OCIO, USDA, room The United States and the EU both annual fresh apple consumption in the 404–W, 14th Street and Independence have large apple and pear industries. United States. Avenue SW., Washington, DC 20250. A U.S. demand for EU–8 apples and pears For pears, producer welfare losses comment to OMB is best assured of imported under the proposed rule under the three import levels range having its full effect if OMB receives it would depend on relative prices and on between $1.9 million and $2.3 million, within 30 days of publication of this market characteristics as determined by coincidentally also equivalent to about proposed rule. domestic and foreign supplies and 0.3 percent of the annual value of fresh The regulations in ‘‘Subpart—Fruits consumer preferences. The pear production. Consumer welfare and Vegetables’’ (Title 7, Code of competitiveness of EU–8 apples and gains range between $2.3 million and Federal Regulations (CFR) 319.56 pears would largely rest on their prices, $2.8 million, and net welfare gains are through 319.56–74, referred to as the the varieties shipped, and their quality. less than $500,000. Pear prices are regulations), prohibit or restrict the The EU estimates that annual apple calculated to decline by about 0.4 importation of fruits and vegetables into and pear exports by the EU–8 to the percent when 2,800 MT of fresh pears the United States from certain parts of United States would total 14,000 MT are imported annually from the EU–8. the world to prevent the introduction under the proposed rule. EU–8 apple This quantity is equivalent to about 0.7 and dissemination of plant pests that are and pear exports in recent years to percent of annual fresh pear new to or not widely distributed with countries outside of the EU show the consumption in the United States. the United States. quantity of apples to have been four Small-entity apple and pear producers APHIS is proposing to amend the times that of pears. For our analysis, we may be directly affected by the proposed regulations to allow the importation of apportion the 14,000 MT similarly, that rule. Other small entities that may be fresh apple and pear fruit from certain

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countries in the European Union into is estimated to average .00627 hours per ■ 3. Section 319.56–75 is added to the continental United States, provided response. subpart—Fruits and Vegetables to read that the fruit is produced in accordance Respondents: Foreign businesses and as follows: with a systems approach, as an NPPOs. alternative to importation under the Estimated annual number of § 319.56–75 Fresh apple and pear fruit from Belgium, Germany, France, Italy, current preclearance program. The respondents: 72. Estimated annual number of Poland, Portugal, Spain and the proposed systems approach for fresh Netherlands. apple and pear fruit consists of responses per respondent: 2,230. Fresh apple (Malus domestica Borkh.) production site and packinghouse Estimated annual number of and fresh pear (Pyrus communis L.) fruit registration, inspection of registered responses: 160,553. from Belgium, Germany, France, Italy, production sites twice a season, Estimated total annual burden on production site pest control and respondents: 1,007 hours. (Due to Poland, Portugal, Spain, and the sanitation, post-harvest safeguards, fruit averaging, the total annual burden hours Netherlands may be imported into the culling, traceback, sampling, cold may not equal the product of the annual continental United States in accordance treatment against Mediterranean fruit fly number of responses multiplied by the with the conditions listed in this in countries where the pest is known to reporting burden per response.) section. See § 319.56–22 for alternative occur, a phytosanitary certificate, port of Copies of this information collection provisions authorizing the importation entry inspection, and importation as can be obtained from Ms. Kimberly of apples and pears from certain commercial consignments only. Fresh Hardy, APHIS’ Information Collection countries in Europe. apple and pear fruit that does not meet Coordinator, at (301) 851–2727. (a) General requirements. (1) The NPPO of the exporting country must the requirements in the systems E-Government Act Compliance approach would continue to be allowed develop an operational workplan, to be imported into the United States The Animal and Plant Health subject to APHIS approval, that details subject to the conditions of the Inspection Service is committed to the activities that the NPPO would carry preclearance program. compliance with the EGovernment Act out to meet the requirements of this This action would provide an to promote the use of the Internet and section. alternative for the importation of fresh other information technologies, to (2) The fresh apple and pear fruit apple and pear fruit from certain provide increased opportunities for must be imported in commercial countries in the European Union while citizen access to Government consignments only. continuing to provide protection against information and services, and for other (b) Production site requirements. (1) the introduction of plant pests into the purposes. For information pertinent to Production sites where the fresh apple continental United States. E-Government Act compliance related and pear fruit is grown must be Implementing this rule will require an to this proposed rule, please contact Ms. registered with the NPPO of the operational workplan, production site Kimberly Hardy, APHIS’ Information exporting country. and packing house registrations, Collection Coordinator, at (301) 851– (2) The registered grower of the tracking system, monitoring, 2727. production site must follow the phytosanitary measures agreed upon by inspections, investigations, box List of Subjects in 7 CFR Part 319 markings, cold treatment burden APHIS and the NPPO of the exporting requirements, and phytosanitary Coffee, Cotton, Fruits, Imports, Logs, country in the operational workplan, certificates. Nursery stock, Plant diseases and pests, including applying control measures We are soliciting comments from the Quarantine, Reporting and that are authorized for use in the EU and public (as well as affected agencies) recordkeeping requirements, Rice, the United States to reduce pest concerning our proposed information Vegetables. populations. The NPPO of the exporting collection and recordkeeping Accordingly, we propose to amend 7 country or officials authorized by the requirements. These comments will CFR part 319 as follows: NPPO must monitor pest populations at help us: production sites in order to determine (1) Evaluate whether the proposed PART 319—FOREIGN QUARANTINE the need and timing of such control information collection is necessary for NOTICES measures and ensure effective control of pests. The NPPO must also ensure that the proper performance of our agency’s ■ 1. The authority citation for part 319 registered production sites are inspected functions, including whether the continues to read as follows: information will have practical utility; twice every season with emphasis on (2) Evaluate the accuracy of our Authority: 7 U.S.C. 450, 7701–7772, and the quarantine pests listed in the estimate of the burden of the proposed 7781–7786; 21 U.S.C. 136 and 136a; 7 CFR operational workplan. information collection, including the 2.22, 2.80, and 371.3. (3) Any apple and pear propagative validity of the methodology and ■ 2. In § 319.56–22, the introductory material introduced into registered assumptions used; text of paragraph (a) is revised to read production sites must be certified free of (3) Enhance the quality, utility, and as follows: quarantine pests by the NPPO of the clarity of the information to be exporting country. collected; and § 319.56–22 Apples and pears from certain (c) Packinghouse requirements. (1) All (4) Minimize the burden of the countries in Europe. fresh apple and pear fruit for export to information collection on those who are (a) Importations allowed. The the continental United States must be to respond (such as through the use of following fruits may be imported into packed in packinghouses that are appropriate automated, electronic, the United States in accordance with registered and approved by the NPPO of mechanical, or other technological this section and all other applicable the exporting country. Packinghouses collection techniques or other forms of provisions of this subpart. See § 319.56– must be able to exclude plant pests and information technology; e.g., permitting 75 for alternative provisions authorizing have a tracking system to identify electronic submission of responses). the importation of apples and pears individual production sites in Estimate of burden: Public reporting from certain countries in Europe. accordance with the operational burden for this collection of information * * * * * workplan.

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(2) Packinghouses must not pack country and APHIS. The investigation doors, and corrective actions if apple and pear fruit for other countries may include site visits by APHIS and/ necessary; replacement of the MLG while packing for shipment to the or reports from the NPPO of the fairing seal; and a terminating action continental United States. All leaves exporting country. Procedures for involving increasing the clearances must be removed from the fruit to suspension of production sites and/or between the MLG fairing and MLG door. remove Leucoptera malifoliella, and packinghouses will be detailed in the This proposed AD would also add one packinghouse culling and inspection operational workplan. The exportation airplane and remove others from the procedures must be followed to remove to the continental United States of fresh applicability. We are proposing this AD fruit with pupae of Leucoptera apple and pear fruit from a suspended to prevent loss of controllability of the malifoliella. production site and/or packinghouse airplane during landing. (3) All packed fruit intended for may resume in the next growing season DATES: We must receive comments on shipment to the continental United if an investigation is conducted and this proposed AD by March 7, 2016. States must be safeguarded from APHIS and the NPPO of the exporting ADDRESSES: You may send comments by infestation by fruit flies and other pests country agree that appropriate remedial any of the following methods: while at the packinghouse and during actions have been taken. • Federal eRulemaking Portal: Go to shipment to the continental United (f) Phytosanitary certificate. Each http://www.regulations.gov. Follow the States in accordance with the consignment of fresh apple or pear fruit instructions for submitting comments. operational workplan. must be accompanied by a • Fax: 202–493–2251. (4) Apple and pear fruit must be held phytosanitary certificate issued by the • Mail: U.S. Department of in a cold storage facility while awaiting NPPO of the exporting country Transportation, Docket Operations, M– export. If any other fruit from certifying that the fruit meets the 30, West Building Ground Floor, Room unregistered production sites are stored conditions under this section for export W12–140, 1200 New Jersey Avenue SE., in the same facility, the apple and pear to the continental United States. Washington, DC 20590. fruit must be isolated from that other • Hand Delivery: U.S. Department of fruit. Done in Washington, DC, this 13th day of January 2016. Transportation, Docket Operations, M– (5) Each shipping box must be marked 30, West Building Ground Floor, Room Kevin Shea, with the identity of the packing facility, W12–140, 1200 New Jersey Avenue SE., the production site, and grower or Administrator, Animal and Plant Health Washington, DC, between 9 a.m. and 5 Inspection Service. grower organization to ensure traceback. p.m., Monday through Friday, except (d) Mitigation for Mediterranean fruit [FR Doc. 2016–00992 Filed 1–19–16; 8:45 am] Federal holidays. fly. Apple and pear fruit being exported BILLING CODE 3410–34–P For service information identified in from countries where Mediterranean this proposed AD, contact, Bombardier, fruit fly is known to occur must undergo Inc., 400 Coˆte-Vertu Road West, Dorval, cold treatment in accordance with the DEPARTMENT OF TRANSPORTATION Que´bec H4S 1Y9, Canada; telephone phytosanitary treatments regulations in 514–855–5000; fax 514–855–7401; email part 305 of this chapter. Cold treatment Federal Aviation Administration [email protected]; Internet procedures and schedules will be http://www.bombardier.com. You may included in the operational workplan. 14 CFR Part 39 view this referenced service information (e) Phytosanitary inspection. After [Docket No. FAA–2015–8471; Directorate at the FAA, Transport Airplane post-harvest processing, the NPPO of Identifier 2013–NM–153–AD] Directorate, 1601 Lind Avenue SW., the exporting country or officials Renton, WA. For information on the authorized by the NPPO of the exporting RIN 2120–AA64 availability of this material at the FAA, country must inspect the apple and pear call 425–227–1221. fruit for signs of pest infestation and Airworthiness Directives; Bombardier, confirm absence of the pests listed in Inc. Airplanes Examining the AD Docket the operational workplan. Upon AGENCY: Federal Aviation You may examine the AD docket on detection of Adoxophyes orana, Administration (FAA), DOT. the Internet at http:// Alternaria gaisen, Argyrotaenia ACTION: Notice of proposed rulemaking www.regulations.gov by searching for pulchellana, Ascochyta piricola, (NPRM). and locating Docket No. FAA–2015– Ceratitis capitata, Grapholita (Cydia) 8471; or in person at the Docket funebrana, Leucoptera malifoliella, SUMMARY: We propose to supersede Management Facility between 9 a.m. Monilinia fructigena and/or Monilinia Airworthiness Directive (AD) 2010–23– and 5 p.m., Monday through Friday, polystroma in a consignment for export, 19, that applies to certain Bombardier, except Federal holidays. The AD docket the NPPO of the exporting country must Inc. Model CL–600–2C10 (Regional Jet contains this proposed AD, the reject the consignment and may, under Series 700, 701, and 702) airplanes, regulatory evaluation, any comments conditions specified in the operational Model CL–600–2D15 (Regional Jet received, and other information. The workplan, be required to suspend the Series 705) airplanes, and Model CL– street address for the Docket Operations production site and/or packinghouse 600–2D24 (Regional Jet Series 900) office (telephone 800–647–5527) is in from importation to the continental airplanes. AD 2010–23–19 requires the ADDRESSES section. Comments will United States for the remainder of that repetitive inspections for damage of the be available in the AD docket shortly season. If any of these pests are found main landing gear (MLG) inboard doors after receipt. in a consignment at U.S. ports of entry, and fairing, and corrective actions if FOR FURTHER INFORMATION CONTACT: Ezra APHIS may, under conditions specified necessary. Since we issued AD 2010– Sasson, Aerospace Engineer, Airframe in the operational workplan, reject the 23–19, we have received reports of the and Mechanical Systems Branch, ANE– consignment and suspend the MLG failing to fully extend. This 171, FAA, New York Aircraft production site and/or packinghouse proposed AD would require repetitive Certification Office, 1600 Stewart from importation to the continental inspections for damage of the MLG Avenue, Suite 410, Westbury, NY United States until an investigation is inboard doors, MLG fairing, and 11590; telephone 516–228–7320; fax completed by the NPPO of the exporting adjacent structures of the MLG inboard 516–794–5531.

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SUPPLEMENTARY INFORMATION: Damage includes the following: Related Service Information Under 1 CFR Part 51 Comments Invited • For the MLG fairing seal: Cracks, cuts, or tears in the material of the MLG We invite you to send any written Bombardier, Inc. has issued Alert fairing seal, and cuts in the material relevant data, views, or arguments about Service Bulletin A670BA–32–030, base. this proposed AD. Send your comments Revision D, dated August 6, 2013, to an address listed under the • For the MLG inboard doors: Missing which describes procedures for an ADDRESSES section. Include ‘‘Docket No. or broken rollers on the MLG inboard inspection of the MLG inboard doors, FAA–2015–8471; Directorate Identifier door, missing stops, loose or missing MLG fairing, and adjacent structure of 2013–NM–153–AD’’ at the beginning of fasteners from the stops, and damage the MLG inboard doors. This service your comments. We specifically invite (including, but not limited to, corrosion, bulletin also describes procedures for comments on the overall regulatory, cracking, and dents) along the edge of replacement of damaged MLG fairing economic, environmental, and energy the MLG inboard door adjacent to the seal(s) and for a clearance check of the aspects of this proposed AD. We will MLG fairing. MLG door or, if necessary, for removing and/or installing a MLG door. consider all comments received by the • For the MLG fairing: Missing Bombardier, Inc. has also issued closing date and may amend this forward and aft stops, loose or missing Bombardier Service Bulletin 670BA–32– proposed AD based on those comments. fasteners from the forward and aft stops, 040, Revision E, dated November 13, We will post all comments we and damage (including, but not limited 2014, which describes procedures for receive, without change, to http:// to, corrosion, cracking, and dents) along increasing the clearances between the www.regulations.gov, including any the edge of the MLG fairing adjacent to fairing and the MLG inboard doors, and personal information you provide. We the MLG inboard door. between the MLG fairing and adjacent will also post a report summarizing each • substantive verbal contact we receive For the stops and wedges on the structure of the MLG doors. This service about this proposed AD. forward and aft spars: Missing stops, bulletin also describes procedures for loose or missing fasteners from the adjusting the MLG doors. Discussion stops, missing wedges, and loose or This service information is reasonably On November 1, 2010, we issued AD missing fasteners from the wedges. available because the interested parties 2010–23–19, Amendment 39–16508 (75 Corrective actions include have access to it through their normal FR 68695, November 9, 2010). AD 2010– replacement of MLG fairing seals, and course of business or by the means 23–19 requires actions intended to increasing the clearances between the identified in the ADDRESSES section of address an unsafe condition on certain MLG fairing and MLG door. this NPRM. Bombardier, Inc. Model CL–600–2C10 The terminating modification (Regional Jet Series 700, 701, and 702) FAA’s Determination and Requirements involves increasing the clearance airplanes, Model CL–600–2D15 of This Proposed AD between the left and right MLG fairings (Regional Jet Series 705) airplanes, and and the left and right MLG doors. This product has been approved by Model CL–600–2D24 (Regional Jet Related investigative actions for the the aviation authority of another Series 900) airplanes. country, and is approved for operation Transport Canada Civil Aviation terminating modification include the following inspections: in the United States. Pursuant to our (TCCA), which is the aviation authority bilateral agreement with the State of • for Canada, has issued Airworthiness A detailed inspection of the MLG Design Authority, we have been notified Directive CF–2010–36R1, dated July 18, fairing for missing forward and aft stops, of the unsafe condition described in the 2013 (referred to after this as the loose or missing fasteners from the MCAI and service information Mandatory Continuing Airworthiness forward and aft stops, and damage along referenced above. We are proposing this Information, or ‘‘the MCAI’’), to correct the edge of the MLG fairing adjacent to AD because we evaluated all pertinent an unsafe condition for the specified the MLG inboard door. information and determined an unsafe products. The MCAI states: • A detailed visual inspection of the condition exists and is likely to exist or Two cases of main landing gear (MLG) MLG inboard door for missing or broken develop on other products of the same failure to fully extend have been reported. An rollers on the MLG inboard door, type design. MLG failing to extend may result in an missing stops, loose or missing fasteners Costs of Compliance unsafe asymmetric landing configuration. from the stops, and damage along the Preliminary investigation has shown that edge of the MLG inboard door adjacent We estimate that this proposed AD interference between the MLG door and the affects 416 airplanes of U.S. registry. MLG fairing seal prevented the MLG door to the MLG fairing. from opening. • A detailed visual inspection on the The actions that are required by AD This [Canadian] AD mandates the stops and wedge on the forward and aft 2010–23–19, Amendment 39–16508 (75 [detailed] inspection [for damage] and spars for missing stops, loose or missing FR 68695, November 9, 2010), and rectification [corrective action], as required, fasteners from the stops, missing retained in this proposed AD take about of the MLG fairing and seal, MLG door, and 1 work-hour per product, at an average adjacent structures. wedges, and loose or missing fasteners from the wedges. labor rate of $85 per work-hour. Based Data collected from the Original Issue of on these figures, the estimated cost of this [Canadian] AD shows potential • A liquid penetrant inspection or an deficiencies with the inspection. This the actions that are required by AD eddy current inspection for cracks in the 2010–23–19 is $85 per inspection cycle [Canadian] AD is revised to update the aft stop-fitting and stiffener of the applicability section and to introduce for each product. additional mitigating actions and the forward member of the MLG inboard We also estimate that it would take terminating action [a modification that door. about 50 work-hours for each product to includes related investigative actions, and You may examine the MCAI in the comply with the basic requirements of corrective action if necessary]. AD docket on the Internet at http:// this proposed AD. The average labor The unsafe condition is the loss of www.regulations.gov by searching for rate is $85 per work-hour. Based on controllability of the airplane during and locating Docket No. FAA–2015– these figures, we estimate the cost of landing. 8471. this proposed AD on U.S. operators to

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be $1,768,000, or $4,250 for each the FAA proposes to amend 14 CFR part Accomplishment Instructions of Bombardier product. 39 as follows: Alert Service Bulletin A670BA–32–030, In addition, we estimate that any Revision A, dated October 22, 2010; or necessary follow-on replacement actions PART 39—AIRWORTHINESS Bombardier Alert Service Bulletin A670BA– DIRECTIVES 32–030, Revision D, dated August 6, 2013; as would take about 24 work-hours and applicable. As of the effective date of this require parts costing $2,626, for a cost ■ AD, use only Bombardier Alert Service of $4,666 per product. We have no way 1. The authority citation for part 39 continues to read as follows: Bulletin A670BA–32–030, Revision D, dated of determining the number of aircraft August 6, 2013, to accomplish the actions that might need these actions. Authority: 49 U.S.C. 106(g), 40113, 44701. required by this paragraph. Repeat the inspections thereafter at intervals not to Authority for This Rulemaking § 39.13 [Amended] exceed 600 flight hours. Title 49 of the United States Code ■ 2. The FAA amends § 39.13 by (i) Do a detailed inspection for damage specifies the FAA’s authority to issue removing Airworthiness Directive (AD) (including wear lines, cracks, fraying, tears, 2010–23–19, Amendment 39–16508 (75 and evidence of chafing) of the rubber seal rules on aviation safety. Subtitle I, of the MLG fairing. section 106, describes the authority of FR 68695, November 9, 2010), and adding the following new AD: (ii) Do a detailed inspection for damage the FAA Administrator. ‘‘Subtitle VII: (including missing and broken rollers, loose Aviation Programs,’’ describes in more Bombardier, Inc.: Docket No. FAA–2015– and missing fasteners, and damaged and detail the scope of the Agency’s 8471; Directorate Identifier 2013–NM– missing stops) of the MLG inboard doors, and authority. 153–AD. for damage along the edge of the MLG We are issuing this rulemaking under (a) Comments Due Date inboard door adjacent to the MLG fairing. (iii) Do a detailed inspection of the MLG the authority described in ‘‘Subtitle VII, We must receive comments by March 7, Part A, Subpart III, Section 44701: fairing for damage (including missing 2016. forward and aft stops, and loose and missing General requirements.’’ Under that (b) Affected ADs fasteners), and for damage along the edge of section, Congress charges the FAA with the MLG fairing adjacent to the MLG door. promoting safe flight of civil aircraft in This AD replaces AD 2010–23–19, (iv) Do a detailed inspection for damage air commerce by prescribing regulations Amendment 39–16508 (75 FR 68695, (including missing stops, loose and missing for practices, methods, and procedures November 9, 2010). fasteners, and missing wedges) of the stops the Administrator finds necessary for (c) Applicability and wedge on the forward and aft spars. (2) This paragraph restates the safety in air commerce. This regulation This AD applies to the Bombardier, Inc. requirements of paragraph (h) of AD 2010– is within the scope of that authority airplanes identified in paragraphs (c)(1) and 23–19, Amendment 39–16508 (75 FR 68695, because it addresses an unsafe condition (c)(2) of this AD, certificated in any category. November 9, 2010), with revised service (1) Model CL–600–2C10 (Regional Jet that is likely to exist or develop on information. For airplanes not identified in Series 700, 701, & 702) airplanes, having products identified in this rulemaking paragraph (g)(1) of this AD, excluding the serial numbers (S/Ns) 10002 through 10333 action. airplane having S/N 10002, and excluding inclusive. airplanes having MLG fairing seals having Regulatory Findings (2) Model CL–600–2D15 (Regional Jet part numbers (P/Ns) CC670–39244–5 and Series 705) and CL–600–2D24 (Regional Jet We determined that this proposed AD CC670–39244–6: Within 600 flight hours Series 900) airplanes, having S/Ns 15001 after November 24, 2010 (the effective date of would not have federalism implications through 15284 inclusive. under Executive Order 13132. This AD 2010–23–19), do the inspections proposed AD would not have a (d) Subject specified in paragraphs (g)(2)(i) through substantial direct effect on the States, on Air Transport Association (ATA) of (g)(2)(iv) of this AD, in accordance with the relationship between the national America Code 32: Landing gear. ‘‘PART A—Inspection of the MLG Inboard Doors, MLG Fairing and Adjacent Structure’’ Government and the States, or on the (e) Reason of the Accomplishment Instructions of distribution of power and This AD was prompted by reports of the Bombardier Alert Service Bulletin A670BA– responsibilities among the various main landing gear (MLG) failing to fully 32–030, Revision A, dated October 22, 2010; levels of government. extend. We are issuing this AD to prevent or Bombardier Alert Service Bulletin For the reasons discussed above, I loss of controllability of the airplane during A670BA–32–030, Revision D, dated August certify this proposed regulation: landing. 6, 2013. As of the effective date of this AD, 1. Is not a ‘‘significant regulatory use only Bombardier Alert Service Bulletin action’’ under Executive Order 12866; (f) Compliance A670BA–32–030, Revision D, dated August 2. Is not a ‘‘significant rule’’ under the Comply with this AD within the 6, 2013, to accomplish the actions required DOT Regulatory Policies and Procedures compliance times specified, unless already by this paragraph. Repeat the inspections done. thereafter at intervals not to exceed 600 flight (44 FR 11034, February 26, 1979); hours. 3. Will not affect intrastate aviation in (g) Retained Repetitive Inspections and (i) Do a detailed inspection for damage Alaska; and Corrective Actions, With New Service (including wear lines, cracks, fraying, tears, 4. Will not have a significant Information and Revised Repair Instructions and evidence of chafing) of the rubber seal economic impact, positive or negative, (1) This paragraph restates the of the MLG fairing. on a substantial number of small entities requirements of paragraph (g) of AD 2010– (ii) Do a detailed inspection for damage under the criteria of the Regulatory 23–19, Amendment 39–16508 (75 FR 68695, (including missing and broken rollers, loose Flexibility Act. November 9, 2010), with new service and missing fasteners, and damaged and information. For airplanes having S/Ns 10003 missing stops) of the MLG inboard doors, and List of Subjects in 14 CFR Part 39 through 10313 inclusive, 15001 through for damage along the edge of the MLG Air transportation, Aircraft, Aviation 15238 inclusive, and 15240 through 15255 inboard door adjacent to the MLG fairing. inclusive: Within 50 flight cycles after (iii) Do a detailed inspection of the MLG safety, Incorporation by reference, November 24, 2010 (the effective date of AD fairing for damage (including missing Safety. 2010–23–19), do the inspections specified in forward and aft stops, and loose and missing The Proposed Amendment paragraphs (g)(1)(i) through (g)(1)(iv) of this fasteners), and for damage along the edge of AD, in accordance with ‘‘PART A— the MLG fairing adjacent to the MLG door. Accordingly, under the authority Inspection of the MLG Inboard Doors, MLG (iv) Do a detailed inspection for damage delegated to me by the Administrator, Fairing and Adjacent Structure’’ of the (including missing stops, loose and missing

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fasteners, and missing wedges) of the stops 32–030, Revision D, dated August 6, 2013, Accomplishment Instructions of Bombardier and wedge on the forward and aft spars. except as specified in paragraph (o) of this Alert Service Bulletin A670BA–32–030, (3) This paragraph restates the AD. Repeat the inspections thereafter at the Revision D, dated August 6, 2013. Within 200 requirements of paragraph (i) of AD 2010– time specified in paragraph (i)(2) of this AD. flight hours after installing the MLG fairing 23–19, Amendment 39–16508 (75 FR 68695, (1) Do a detailed inspection for damage seals, do the actions required by paragraph November 9, 2010), with revised service (including cracking, cuts, and tears in the (h) of this AD. information. If damage to only the rubber seal material (fabric/rubber)) of the MLG fairing (2) If any damage other than that specified on the MLG fairing is found during any and seal. in paragraph (j)(1) of this AD is found, or if inspection required by paragraph (g)(1) or (2) Do a detailed inspection for damage parts or fasteners are found missing, during (g)(2) of this AD, before further flight, do (including missing and broken rollers, loose any inspection required by paragraph (h) of either action specified in paragraph (g)(3)(i) and missing fasteners, and damaged and this AD, before further flight, repair using a or (g)(3)(ii) of this AD. missing stops) of the MLG inboard doors, and method approved by the Manager, New York (i) Replace the rubber seal on the MLG for damage along the edge of the MLG ACO, ANE–170, FAA; or TCCA; or fairing with a new rubber seal, in accordance inboard door adjacent to the MLG fairing. Bombardier, Inc.’s TCCA DAO. with ‘‘PART B—Replacement of the Forward (3) Do a detailed inspection of the MLG Rubber Seal on the MLG Fairing’’ of the fairing for damage (including missing (k) New Replacement of MLG Fairing Seals Accomplishment Instructions of Bombardier forward and aft stops, and loose and missing Within 2,500 flight hours or 12 months, Alert Service Bulletin A670BA–32–030, fasteners), and for damage (including, but not whichever occurs first, after the effective date Revision A, dated October 22, 2010; or the limited to, corrosion, cracking, and dents) of this AD: Replace any MLG fairing seals Accomplishment Instructions of Bombardier along the edge of the MLG fairing adjacent to having P/Ns CC670–39244–1 and CC670– Alert Service Bulletin A670BA–32–030, the MLG door. 39244–2 with P/Ns CC670–39244–5 and Revision D, dated August 6, 2013. As of the (4) Do a detailed inspection for damage CC670–39244–6, respectively, in accordance effective date of this AD, use only (including missing stops, loose and missing with Part E of the Accomplishment Bombardier Alert Service Bulletin A670BA– fasteners, and missing wedges) of the stops Instructions of Bombardier Alert Service 32–030, Revision D, dated August 6, 2013, to and wedge on the forward and aft spars. Bulletin A670BA–32–030, Revision D, dated accomplish the actions required by this (i) New Compliance Times for the Actions August 6, 2013, except as specified in paragraph. Required by Paragraph (h) of This AD paragraph (o) of this AD. (ii) Remove the MLG inboard door, in This paragraph specifies the compliance accordance with ‘‘PART C—Removal of MLG (l) New MLG Fairing Seal Post-Replacement times for the actions required by paragraph Inboard Door’’ of the Accomplishment Inspections (h) of this AD. Instructions of Bombardier Alert Service Within 600 flight hours after installing (1) The initial compliance time is specified Bulletin A670BA–32–030, Revision A, dated fairing seals having P/Ns CC670–39244–5 or in paragraphs (i)(1)(i) and (i)(1)(ii) of this AD. October 22, 2010; or Bombardier Alert CC670–39244–6: Do the inspections specified (i) For airplanes having S/Ns 10002 Service Bulletin A670BA–32–030, Revision in paragraphs (h)(1) through (h)(4) of this AD, through 10313 inclusive; 15001 through in accordance with the Accomplishment D, dated August 6, 2013. For airplanes on 15238 inclusive; and 15240 through 15255 Instructions of Bombardier Alert Service which the MLG inboard door is re-installed, inclusive: Within 50 flight cycles after the do the installation of the MLG inboard door effective date of this AD. Bulletin A670BA–32–030, Revision D, dated in accordance with ‘‘PART D—Installation of (ii) For all other airplane serial numbers: August 6, 2013. If any damage to the MLG MLG Inboard Door’’ of the Accomplishment Within 600 flight hours after the effective fairing seal is found during any inspection Instructions of Bombardier Alert Service date of this AD. required by this paragraph: Before further Bulletin A670BA–32–030, Revision A, dated (2) Repeat the inspections specified in flight, do the applicable actions specified in October 22, 2010; or Bombardier Alert paragraph (h) of this AD at the earlier of the paragraphs (j)(1) or (j)(2) of this AD. If no Service Bulletin A670BA–32–030, Revision times specified in paragraphs (i)(2)(i) and damage is found during any inspection D, dated August 6, 2013. As of the effective (i)(2)(ii) of this AD. required by this paragraph, repeat the date of this AD, use only Bombardier Alert (i) Repeat the inspections within 200 flight inspections specified in paragraphs (h)(1) Service Bulletin A670BA–32–030, Revision hours after the effective date of this AD. through (h)(4) of this AD thereafter at D, dated August 6, 2013, to accomplish the Repeat the inspections thereafter at intervals intervals not to exceed 600 flight hours, actions required by this paragraph. not to exceed 200 flight hours. except as provided in paragraph (m) of this (4) This paragraph restates the (ii) Repeat the inspections within 600 flight AD. requirements of paragraph (j) of AD 2010–23– hours after the most recent inspection done (m) New Exception to MLG Fairing Seal 19, Amendment 39–16508 (75 FR 68695, in accordance with the requirements of AD Post-Replacement Inspections November 9, 2010), with revised repair 2010–23–19, Amendment 39–16508 (75 FR instructions. If damage other than the damage 68695, November 9, 2010). Repeat the After accomplishment of the initial identified in paragraph (g)(3) of this AD is inspections thereafter at intervals not to inspections specified in paragraph (l) of this found during any inspection required by exceed 200 flight hours. AD, removal of the MLG inboard door, in paragraph (g)(1) or (g)(2) of this AD, before accordance with the Accomplishment further flight, contact the Bombardier (j) New Corrective Actions Instructions of Bombardier Alert Service Regional Aircraft Customer Response Center (1) If any damage to the MLG fairing seal Bulletin A670BA–32–030, Revision D, dated for repair instructions and do the repair; or is found during any inspection required by August 6, 2013, defers the repetitive repair using a method approved by the paragraph (h) of this AD: Before further inspections required by paragraph (l) of this Manager, New York ACO, ANE–170, FAA; or flight, do the actions specified in paragraph AD until the MLG inboard door is re- Transport Canada Civil Aviation (TCCA); or (j)(1)(i) or (j)(1)(ii) of this AD, except as installed. For airplanes on which the MLG Bombardier, Inc.’s TCCA Design Approval specified in paragraph (o) of this AD. inboard door is re-installed, do the Organization (DAO). (i) Before further flight, remove the MLG installation of the MLG inboard door in inboard doors, in accordance with Part C of accordance with the Accomplishment (h) New Inspections of MLG Fairing Seal the Accomplishment Instructions of Instructions of Bombardier Alert Service Having P/N CC670–39244–1 or CC670– Bombardier Alert Service Bulletin A670BA– Bulletin A670BA–32–030, Revision D, dated 39244–2 32–030, Revision D, dated August 6, 2013. August 6, 2013, except as specified in For airplanes on which an MLG fairing seal For airplanes on which the MLG inboard paragraph (o) of this AD; and before the having P/N CC670–39244–1 or P/N CC670– door is re-installed, do the installation of the accumulation of 600 flight hours on the MLG 39244–2 is installed: At the applicable time MLG inboard door in accordance with Part D inboard door since the actions required by specified in paragraph (i)(1) of this AD, do of the Accomplishment Instructions of paragraph (k) of this AD were accomplished, the inspections specified in paragraphs (h)(1) Bombardier Alert Service Bulletin A670BA– do the inspections specified in paragraph (l) through (h)(4) of this AD, in accordance with 32–030, Revision D, dated August 6, 2013. of this AD, and repeat the inspections the Accomplishment Instructions of (ii) Before further flight, replace the MLG thereafter at the applicable time specified in Bombardier Alert Service Bulletin A670BA– fairing seals, in accordance with Part E of the paragraph (l) of this AD.

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(n) New Terminating Modification (i) Bombardier Service Bulletin 670BA–32– DEPARTMENT OF TRANSPORTATION Within 6,600 flight hours or 36 months, 040, Revision B, dated August 6, 2013. whichever occurs first after the effective date (iii) Bombardier Service Bulletin 670BA– Federal Aviation Administration of this AD: Modify the airplane by increasing 32–040, Revision C, dated November 1, 2013. the clearance between the left and right MLG (iv) Bombardier Service Bulletin 670BA– 14 CFR Part 39 fairings and the left and right MLG doors; 32–040, Revision D, dated July 2, 2014. and do all applicable related investigative [Docket No. FAA–2015–8472; Directorate and corrective actions; in accordance with (q) Other FAA AD Provisions Identifier 2014–NM–106–AD] the Accomplishment Instructions of The following provisions also apply to this RIN 2120–AA64 Bombardier Service Bulletin 670BA–32–040, AD: Revision E, dated November 13, 2014, except Airworthiness Directives; Fokker as provided by paragraph (o) of this AD. Do (1) Alternative Methods of Compliance all applicable related investigative and (AMOCs): The Manager, New York ACO, Services B.V. Airplanes corrective actions before further flight. If an ANE–170, FAA, has the authority to approve AGENCY: Federal Aviation MLG door has been removed, the AMOCs for this AD, if requested using the modification may be delayed until the MLG procedures found in 14 CFR 39.19. In Administration (FAA), DOT. door is re-installed in accordance with the accordance with 14 CFR 39.19, send your ACTION: Notice of proposed rulemaking Accomplishment Instructions of Bombardier request to your principal inspector or local (NPRM). Alert Service Bulletin A670BA–32–030, Flight Standards District Office, as Revision D, dated August 6, 2013. SUMMARY: We propose to adopt a new appropriate. If sending information directly Accomplishing this modification terminates to the ACO, send it to ATTN: Program airworthiness directive (AD) for all the requirements of paragraphs (g) through Fokker Services B.V. Model F.28 Mark (m) of this AD for that MLG door. Manager, Continuing Operational Safety, FAA, New York ACO, 1600 Stewart Avenue, 1000, 2000, 3000, and 4000 airplanes. (o) Exceptions to Bombardier Service Suite 410, Westbury, NY 11590; telephone This proposed AD was prompted by a Bulletins 516–228–7300; fax 516–794–5531. Before design review, that revealed a hot spot Where Bombardier Alert Service Bulletin using any approved AMOC, notify your may develop in the main fuel tank A670BA–32–030, Revision D, dated August appropriate principal inspector, or lacking a under certain failure conditions of the 6, 2013; and Bombardier Service Bulletin principal inspector, the manager of the local solenoid of the level control pilot valve, 670BA–32–040, Revision E, dated November flight standards district office/certificate the reed switch of the main tank 14, 2014; specify to contact the Bombardier overflow valve, the level float switch of Customer Response Center for an analysis or holding district office. The AMOC approval to get an approved disposition, repair using letter must specifically reference this AD. the collector tank, or the solenoid of the a method approved by the Manager, New (2) Contacting the Manufacturer: As of the main tank fueling shut-off valve. This York ACO, ANE–170, FAA; or TCCA; or effective date of this AD, for any requirement proposed AD would require installing Bombardier, Inc.’s TCCA DAO. in this AD to obtain corrective actions from fuses in the wiring of the solenoid of the (p) Credit for Previous Actions a manufacturer, the action must be level control pilot valve, the reed switch accomplished using a method approved by of the main tank overflow valve, the (1) This paragraph restates the provisions level float switch of the collector tank, of paragraph (l) of AD 2010–23–19, the Manager, New York ACO, ANE–170, Amendment 39–16508 (75 FR 68695, FAA; or TCCA; or Bombardier, Inc.’s TCCA and the solenoid of the main tank November 9, 2010), with additional service DAO. If approved by the DAO, the approval fueling shut-off valve, as applicable. information. This paragraph provides credit must include the DAO-authorized signature. This proposed AD would also require for the actions required by paragraph (g) of accomplishing concurrent actions and (r) Related Information this AD, if those actions were performed revising the airplane maintenance or before November 24, 2010 (the effective date (1) Refer to Mandatory Continuing inspection program, as applicable, by of AD 2010–23–19) using Bombardier Alert Airworthiness Information (MCAI) Canadian incorporating fuel airworthiness Service Bulletin A670BA–32–030, dated Airworthiness Directive CF–2010–36R1, limitation items and critical design October 18, 2010; or Bombardier Alert dated July 18, 2013, for related information. Service Bulletin A670BA–32–030, Revision configuration control limitations This MCAI may be found in the AD docket A, dated October 22, 2010. (CDCCLs). We are proposing this AD to (2) This paragraph provides credit for the on the Internet at http://www.regulations.gov prevent an ignition source in the main corresponding actions required by by searching for and locating Docket No. fuel tank vapor space, which could paragraphs (g)(1), (g)(2), (g)(3)(i), (g)(3)(ii), (h), FAA–2015–8471. result in a fuel tank explosion and (j)(1), (k), (l), (m), and (n) of this AD, if those (2) For service information identified in consequent loss of the airplane. actions were performed before the effective this AD, contact Bombardier, Inc., 400 Coˆte- DATES: date of this AD using the service bulletins Vertu Road West, Dorval, Que´bec H4S 1Y9, We must receive comments on specified in paragraph (p)(2)(i), (p)(2)(ii), or Canada; telephone 514–855–5000; fax 514– this proposed AD by March 7, 2016. (p)(2)(iii) of this AD. 855–7401; email thd.crj@ ADDRESSES: You may send comments, (i) Bombardier Alert Service Bulletin aero.bombardier.com; Internet http:// using the procedures found in 14 CFR A670BA–32–030, Revision A, dated October www.bombardier.com. You may view this 11.43 and 11.45, by any of the following 22, 2010. referenced service information at the FAA, methods: (ii) Bombardier Alert Service Bulletin • A670BA–32–030, Revision B, dated Transport Airplane Directorate, 1601 Lind Federal eRulemaking Portal: Go to November 3, 2011. Avenue SW., Renton, WA. For information http://www.regulations.gov. Follow the (iii) Bombardier Alert Service Bulletin on the availability of this material at the instructions for submitting comments. A670BA–32–030, Revision C, dated March FAA, call 425–227–1221. • Fax: 202–493–2251. 13, 2013. • Mail: U.S. Department of (3) This paragraph provides credit for the Issued in Renton, Washington, on January Transportation, Docket Operations, M– corresponding actions required by paragraph 6, 2016. 30, West Building Ground Floor, Room (n) of this AD, if those actions were Victor Wicklund, W12–140, 1200 New Jersey Avenue SE., performed before the effective date of this AD Acting Manager, Transport Airplane Washington, DC 20590. using the service information specified in • paragraph (p)(3)(i), (p)(3)(ii), (p)(3)(iii), or Directorate, Aircraft Certification Service. Hand Delivery: U.S. Department of (p)(3)(iv) of this AD. [FR Doc. 2016–00698 Filed 1–19–16; 8:45 am] Transportation, Docket Operations, M– (i) Bombardier Service Bulletin 670BA–32– BILLING CODE 4910–13–P 30, West Building Ground Floor, Room 040, Revision A, dated March 13, 2013. W12–140, 1200 New Jersey Avenue SE.,

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Washington, DC, between 9 a.m. and 5 Discussion 2001). In addition to new airworthiness p.m., Monday through Friday, except The European Aviation Safety Agency standards for transport airplanes and Federal holidays. (EASA), which is the Technical Agent new maintenance requirements, this For service information identified in for the Member States of the European rule included Special Federal Aviation this proposed AD, contact Fokker Union, has issued EASA Airworthiness Regulation No. 88 (‘‘SFAR 88,’’ Services B.V., Technical Services Dept., Directive 2014–0107, dated May 7, 2014 Amendment 21–78, and subsequent P.O. Box 1357, 2130 EL Hoofddorp, the (referred to after this the Mandatory Amendments 21–82 and 21–83). Netherlands; telephone +31 (0)88–6280– Continuing Airworthiness Information, Among other actions, SFAR 88 (66 FR 350; fax +31 (0)88–6280–111; email or ‘‘the MCAI’’), to correct an unsafe 23086, May 7, 2001) requires certain [email protected]; Internet condition for all Fokker Services B.V. type design (i.e., type certificate (TC) http://www.myfokkerfleet.com. You may Model F.28 Mark 1000, 2000, 3000, and and supplemental type certificate (STC)) view this referenced service information 4000 airplanes. The MCAI states: holders to substantiate that their fuel tank systems can prevent ignition at the FAA, Transport Airplane Prompted by an accident * * *, the Directorate, 1601 Lind Avenue SW., sources in the fuel tanks. This Federal Aviation Administration (FAA) requirement applies to type design Renton, WA. For information on the published Special Federal Aviation availability of this material at the FAA, Regulation (SFAR) 88 [(66 FR 23086, May 7, holders for large turbine-powered call 425–227–1221. 2001)], and the Joint Aviation Authorities transport airplanes and for subsequent (JAA) published Interim Policy INT/POL/25/ modifications to those airplanes. It Examining the AD Docket 12. requires them to perform design reviews The review conducted by Fokker Services and to develop design changes and You may examine the AD docket on on the Fokker F28 design in response to these maintenance procedures if their designs the Internet at http:// regulations revealed that, under certain do not meet the new fuel tank safety www.regulations.gov by searching for failure conditions of the solenoid of the level standards. As explained in the preamble and locating Docket No. FAA–2015– control pilot valve, the main tank overflow to the rule, we intended to adopt 8472; or in person at the Docket valve reed switch, the collector tank level airworthiness directives to mandate any Operations office between 9 a.m. and 5 float switch or the main tank fuelling shut- changes found necessary to address p.m., Monday through Friday, except off valve solenoid, a hot spot may develop in unsafe conditions identified as a result Federal holidays. The AD docket the tank. This condition, if not corrected, could of these reviews. contains this proposed AD, the create an ignition source in the main tank In evaluating these design reviews, we regulatory evaluation, any comments vapour space, possibly resulting in a fuel have established four criteria intended received, and other information. The tank explosion and consequent loss of the to define the unsafe conditions street address for the Docket Operations aeroplane. associated with fuel tank systems that office (telephone 800–647–5527) is in To address this potential unsafe condition, require corrective actions. The the ADDRESSES section. Comments will Fokker Services developed a modification to percentage of operating time during be available in the AD docket shortly the wiring (installation of fuses) of the which fuel tanks are exposed to after receipt. affected components. For the reasons described above, this AD flammable conditions is one of these FOR FURTHER INFORMATION CONTACT: Tom requires the installation of fuses in the wiring criteria. The other three criteria address Rodriguez, Aerospace Engineer, of the affected components [the solenoid of the failure types under evaluation: International Branch, ANM–116, the level control pilot valve, the reed switch Single failures, single failures in Transport Airplane Directorate, FAA, of the main tank overflow valve, the level combination with a latent condition(s), 1601 Lind Avenue SW., Renton, WA float switch of the collector tank, and the and in-service failure experience. For all solenoid of the main tank fuelling shut-off 98057–3356; telephone 425–227–1137; valve] and, subsequently, the implementation four criteria, the evaluations included fax 425–227–1149. of the associated Critical Design consideration of previous actions taken that may mitigate the need for further SUPPLEMENTARY INFORMATION: Configuration Control Limitations (CDCCL) items [and revision of the maintenance or action. Comments Invited inspection program]. The Joint Aviation Authorities (JAA) More information on this subject can be has issued a regulation that is similar to We invite you to send any written found in Fokker Services All Operators SFAR 88 (66 FR 23086, May 7, 2001). relevant data, views, or arguments about Message AOF28.038#02. (The JAA is an associated body of the this proposed AD. Send your comments You may examine the MCAI in the European Civil Aviation Conference to an address listed under the AD docket on the Internet at http:// (ECAC) representing the civil aviation ADDRESSES section. Include ‘‘Docket No. www.regulations.gov by searching for regulatory authorities of a number of FAA–2015–8472; Directorate Identifier and locating Docket No. FAA–2015– European States who have agreed to co- 2014–NM–106–AD’’ at the beginning of 8472. operate in developing and your comments. We specifically invite The FAA has examined the implementing common safety regulatory comments on the overall regulatory, underlying safety issues involved in fuel standards and procedures.) Under this economic, environmental, and energy tank explosions on several large regulation, the JAA stated that all aspects of this proposed AD. We will transport airplanes, including the members of the ECAC that hold type consider all comments received by the adequacy of existing regulations, the certificates for transport category closing date and may amend this service history of airplanes subject to airplanes are required to conduct a proposed AD based on those comments. those regulations, and existing design review against explosion risks. We will post all comments we maintenance practices for fuel tank We have determined that the actions receive, without change, to http:// systems. As a result of those findings, identified in this AD are necessary to www.regulations.gov, including any we issued a regulation titled ‘‘Transport reduce the potential of ignition sources personal information you provide. We Airplane Fuel Tank System Design inside fuel tanks, which, in combination will also post a report summarizing each Review, Flammability Reduction and with flammable fuel vapors, could result substantive verbal contact we receive Maintenance and Inspection in fuel tank explosions and consequent about this proposed AD. Requirements’’ (66 FR 23086, May 7, loss of the airplane.

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Related Service Information Under 1 actions and/or CDCCLs is required by 14 1. Is not a ‘‘significant regulatory CFR Part 51 CFR 91.403(c). For airplanes that have action’’ under Executive Order 12866; We reviewed the following service been previously modified, altered, or 2. Is not a ‘‘significant rule’’ under the information. repaired in the areas addressed by this DOT Regulatory Policies and Procedures • Fokker Service Bulletin SBF28–28– AD, the operator may not be able to (44 FR 11034, February 26, 1979); 049, Revision 2, dated November 3, accomplish the actions described in the 3. Will not affect intrastate aviation in 2014, including Fokker Drawing revisions. In this situation, to comply Alaska; and W57273, Sheet 002, Issue C, undated, with 14 CFR 91.403(c), the operator 4. Will not have a significant Fokker Drawing W58048, Sheet 1, must request approval for an alternative economic impact, positive or negative, undated, and Fokker Manual Change method of compliance according to on a substantial number of small entities Notification MCNM–F28–035, Rev 1, paragraph (k)(1) of this AD. The request under the criteria of the Regulatory dated January 9, 2014. This service should include a description of changes Flexibility Act. to the required actions that will ensure information describes procedures for List of Subjects in 14 CFR Part 39 installing fuses packed in jiffy junctions the continued operational safety of the in the collector tank. airplane. Air transportation, Aircraft, Aviation • Fokker Proforma Service Bulletin Costs of Compliance safety, Incorporation by reference, SBF28–28–056, dated January 9, 2014, Safety. including Appendix SBF28–28–056/ We estimate that this proposed AD The Proposed Amendment APP01, dated July 15, 2014. This service affects 5 airplanes of U.S. registry. information describes procedures for We also estimate that it would take Accordingly, under the authority installing fuses in the wiring of the about 21 work-hours per product to delegated to me by the Administrator, solenoid of the level control pilot valve, comply with the basic requirements of the FAA proposes to amend 14 CFR part the reed switch of the main tank this proposed AD. The average labor 39 as follows: overflow valve, the level float switch of rate is $85 per work-hour. Required the collector tank, and the solenoid of parts would cost about $5,320 per PART 39—AIRWORTHINESS the main tank fueling shut-off valve. product. Based on these figures, we DIRECTIVES This service information also describes estimate the cost of this proposed AD on ■ certain CDCCLs. U.S. operators to be $35,525, or $7,105, 1. The authority citation for part 39 • Fokker Service Bulletin SBF28–28– or per product. continues to read as follows: 051, Revision 2, dated November 3, Authority for This Rulemaking Authority: 49 U.S.C. 106(g), 40113, 44701. 2014, including Drawing W57231, Sheets 010 and 011, Issue K, undated; Title 49 of the United States Code § 39.13 [Amended] Drawing W58048, Sheet 2, dated April specifies the FAA’s authority to issue ■ 2. The FAA amends § 39.13 by adding 29, 2010; and Manual Change rules on aviation safety. Subtitle I, the following new airworthiness Notification—Maintenance Document section 106, describes the authority of directive (AD): MCNM–F28–034 Rev 1, dated January 9, the FAA Administrator. ‘‘Subtitle VII: Fokker Services B.V.: Docket No. FAA– 2014. This service information describes Aviation Programs,’’ describes in more 2015–8472; Directorate Identifier 2014– procedures for reworking the wiring and detail the scope of the Agency’s NM–106–AD. authority. installing fuses packed in jiffy junctions (a) Comments Due Date in the power supply wire of the We are issuing this rulemaking under the authority described in ‘‘Subtitle VII, We must receive comments by March 7, solenoid in the left and right level 2016. control pilot valves. Part A, Subpart III, Section 44701: This service information is reasonably General requirements.’’ Under that (b) Affected ADs available because the interested parties section, Congress charges the FAA with This AD affects AD 2011–17–03, have access to it through their normal promoting safe flight of civil aircraft in Amendment 39–16767 (76 FR 50115, August course of business or by the means air commerce by prescribing regulations 12, 2011); and AD 2011–21–01, Amendment 39–16824 (76 FR 63156, October 12, 2011). identified in the ADDRESSES section. for practices, methods, and procedures the Administrator finds necessary for (c) Applicability FAA’s Determination and Requirements safety in air commerce. This regulation of This Proposed AD This AD applies to Fokker Services B.V. is within the scope of that authority Model F.28 Mark 1000, 2000, 3000, and 4000 This product has been approved by because it addresses an unsafe condition airplanes, certificated in any category, all the aviation authority of another that is likely to exist or develop on serial numbers. products identified in this rulemaking country, and is approved for operation (d) Subject in the United States. Pursuant to our action. bilateral agreement with the State of Air Transport Association (ATA) of Regulatory Findings America Code 28, Fuel. Design Authority, we have been notified of the unsafe condition described in the We determined that this proposed AD (e) Reason MCAI and service information would not have federalism implications This AD was prompted by a design review, referenced above. We are proposing this under Executive Order 13132. This which revealed that a hot spot may develop AD because we evaluated all pertinent proposed AD would not have a in the main fuel tank under certain failure information and determined an unsafe substantial direct effect on the States, on conditions of the solenoid of the level control condition exists and is likely to exist or the relationship between the national pilot valve, the reed switch of the main tank develop on other products of these same Government and the States, or on the overflow valve, the level float switch of the distribution of power and collector tank, or the solenoid of the main type designs. tank fueling shut-off valve. We are issuing This AD requires revisions to certain responsibilities among the various this AD to prevent an ignition source in the operator maintenance documents to levels of government. main fuel tank vapor space, which could include new actions (e.g., inspections) For the reasons discussed above, I result in a fuel tank explosion and and/or CDCCLs. Compliance with these certify this proposed regulation: consequent loss of the airplane.

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(f) Compliance (i) Revision of Maintenance or Inspection (0)88–6280–111; email technicalservices@ Comply with this AD within the Program fokker.com; Internet http:// compliance times specified, unless already Before further flight after completing the www.myfokkerfleet.com. You may view this service information at the FAA, Transport done. installation specified in paragraph (g) of this AD, or within 30 days after the effective date Airplane Directorate, 1601 Lind Avenue SW., (g) Modification of Main Fuel Tank Wiring of this AD, whichever occurs later: Revise the Renton, WA. For information on the Within 24 months after the effective date airplane maintenance or inspection program, availability of this material at the FAA, call 425–227–1221. of this AD, install fuses in the wiring of the as applicable, by incorporating the critical solenoid of the level control pilot valve, the design configuration control limitations Issued in Renton, Washington, on January reed switch of the main tank overflow valve, (CDCCLs) specified in paragraph 1.L.(1)(c) of 6, 2016. the level float switch of the collector tank, Fokker Services Proforma Service Bulletin Victor Wicklund, and the solenoid of the main tank fueling SBF28–28–056, dated January 9, 2014, including Appendix SBF28–28–056/APP01, Acting Manager, Transport Airplane shut-off valve, as applicable, in accordance dated July 15, 2014. Directorate, Aircraft Certification Service. with the Accomplishment Instructions of [FR Doc. 2016–00700 Filed 1–19–16; 8:45 am] Fokker Services Proforma Service Bulletin (j) No Alternative CDCCLs BILLING CODE 4910–13–P SBF28–28–056, dated January 9, 2014, After accomplishing the revision required including Appendix SBF28–28–056/APP01, by paragraph (i) of this AD, no alternative dated July 15, 2014. CDCCLs may be used unless the CDCCLs are DEPARTMENT OF TRANSPORTATION approved as an alternative method of (h) Concurrent Requirements compliance (AMOC) in accordance with the Federal Aviation Administration Prior to or concurrently with procedures specified in paragraph (k)(1) of accomplishing the requirements of paragraph this AD. (g) of this AD, do the actions specified in 14 CFR Part 39 (k) Other FAA AD Provisions paragraphs (h)(1) and (h)(2) of this AD. The following provisions also apply to this [Docket No. FAA–2015–8470; Directorate (1) Install fuses packed in jiffy junctions Identifier 2013–NM–199–AD] (i.e., crimped wire in-line junction device(s)), AD: in accordance with the Accomplishment (1) Alternative Methods of Compliance: RIN 2120–AA64 Instructions of Fokker Service Bulletin The Manager, International Branch, ANM– SBF28–28–049, Revision 2, dated November 116, Transport Airplane Directorate, FAA, Airworthiness Directives; Airbus 3, 2014, including Fokker Drawing W57273, has the authority to approve AMOCs for this Airplanes AD, if requested using the procedures found Sheet 002, Issue C, undated, Fokker Drawing in 14 CFR 39.19. In accordance with 14 CFR W58048, Sheet 1, undated, and Fokker AGENCY: Federal Aviation 39.19, send your request to your principal Manual Change Notification MCNM–F28– Administration (FAA), DOT. inspector or local Flight Standards District 035, Rev 1, dated January 9, 2014. Office, as appropriate. If sending information ACTION: Notice of proposed rulemaking Accomplishment of the actions in this directly to the International Branch, send it (NPRM). paragraph terminates the requirement of to ATTN: Tom Rodriguez, Aerospace paragraph (g) of AD 2011–17–03, Engineer, International Branch, ANM–116, SUMMARY: We propose to supersede Amendment 39–16767 (76 FR 50115, August Transport Airplane Directorate, FAA, 1601 Airworthiness Directive (AD) 95–21–09, 12, 2011). Lind Avenue SW., Renton, WA 98057–3356; for all Airbus Model A300 series Note 1 to paragraph (h)(1) of this AD: telephone 425–227–1137; fax 425–227–1149. airplanes, and Airbus Model A300 B4– Accomplishment of this action is required by Information may be emailed to: 9-ANM-116- 600, B4–600R, and F4–600R series AD 2011–17–03, Amendment 39–16767 (76 [email protected]. Before using airplanes, and Model A300 C4–605R FR 50115, August 12, 2011). any approved AMOC, notify your appropriate Variant F airplanes (collectively called (2) Rework the wiring and install fuses principal inspector, or lacking a principal packed in jiffy junctions in the power supply inspector, the manager of the local flight Model A300–600 series airplanes). AD wire of the solenoid in the left and right level standards district office/certificate holding 95–21–09 currently requires repetitive control pilot valve, in accordance with the district office. The AMOC approval letter inspections for cracking of the No. 2 flap Accomplishment Instructions of Fokker must specifically reference this AD. beams, and replacement of the flap Service Bulletin SBF28–28–051, Revision 2, (2) Contacting the Manufacturer: For any beams, if necessary; and provides dated November 3, 2014, including Drawing requirement in this AD to obtain corrective optional modifications for extending W57231, Sheets 010 and 011, Issue K, actions from a manufacturer, the action must certain inspection thresholds, and an undated; Drawing W58048, Sheet 2, dated be accomplished using a method approved optional terminating modification for April 29, 2010; and Manual Change by the Manager, International Branch, ANM– certain inspections. Since we issued AD Notification—Maintenance Document 116, Transport Airplane Directorate, FAA; or the European Aviation Safety Agency 95–21–09, we have determined that the MCNM–F28–034, Rev 1, dated January 9, compliance times must be reduced. This 2014. Accomplishment of the actions in this (EASA); or Fokker B.V. Service’s EASA Design Organization Approval (DOA). If proposed AD would reduce the paragraph terminates the requirement of compliance times for inspections and paragraph (g) of AD 2011–21–01, approved by the DOA, the approval must Amendment 39–16824 (76 FR 63156, October include the DOA-authorized signature. also reduce the number of airplanes 12, 2011), for the actions specified in the (l) Related Information affected. We are proposing this AD to Accomplishment Instructions of Fokker detect and correct cracking of the No. 2 (1) Refer to Mandatory Continuing flap beams, which could result in Service Bulletin SBF28–28–051, Revision 2, Airworthiness Information (MCAI) European dated November 3, 2014, including Drawing Aviation Safety Agency Airworthiness rupture of the flap beams and reduced W57231, Sheets 010 and 011, Issue K, Directive 2014–0107, dated May 7, 2014, for structural integrity of the airplane. undated; Drawing W58048, Sheet 2, dated related information. This MCAI may be DATES: We must receive comments on April 29, 2010; and Manual Change found in the AD docket on the Internet at this proposed AD by March 7, 2016. Notification—Maintenance Document http://www.regulations.gov. by searching for ADDRESSES: You may send comments by MCNM–F28–034, Rev 1, dated January 9, and locating Docket No. FAA–2015–8472. 2014, only. any of the following methods: (2) For service information identified in • Note 2 to paragraph (h)(2) of this AD: this AD, contact Fokker Services B.V., Federal eRulemaking Portal: Go to Accomplishment of this action is required by Technical Services Dept., P.O. Box 1357, http://www.regulations.gov. Follow the AD 2011–21–01, Amendment 39–16824 (76 2130 EL Hoofddorp, the Netherlands; instructions for submitting comments. FR 63156, October 12, 2011). telephone +31 (0)88–6280–350; fax +31 • Fax: 202–493–2251.

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• Mail: U.S. Department of We will post all comments we France AD 1986–187–076(B)R4, which is Transportation, Docket Operations, M– receive, without change, to http:// superseded, and requires those inspections to 30, West Building Ground Floor, Room www.regulations.gov, including any be accomplished at reduced thresholds and W12–140, 1200 New Jersey Avenue SE., personal information you provide. We intervals. This [EASA] AD has been revised to Washington, DC 20590. will also post a report summarizing each • correct typographical errors in some Hand Delivery: U.S. Department of substantive verbal contact we receive compliance times defined in Appendix 1, Transportation, Docket Operations, M– about this proposed AD. Tables 1 and 2. 30, West Building Ground Floor, Room Discussion W12–140, 1200 New Jersey Avenue SE., The MCAI also reduces the number of Washington, DC, between 9 a.m. and 5 On October 3, 1995, we issued AD airplanes identified in the applicability p.m., Monday through Friday, except 95–21–09, Amendment 39–9395 (60 FR by exempting certain Model A300–600 Federal holidays. 53847, October 18, 1995). AD 95–21–09 airplanes on which certain Airbus For service information identified in requires actions intended to address an modifications have been embodied. You this proposed AD, contact Airbus SAS, unsafe condition on Airbus Model A300 may examine the MCAI in the AD Airworthiness Office—EAW, 1 Rond and A300–600 series airplanes. docket on the Internet at http:// Point Maurice Bellonte, 31707 Blagnac Since we issued AD 95–21–09, www.regulations.gov by searching for Cedex, France; telephone +33 5 61 93 36 Amendment 39–9395 (60 FR 53847, and locating Docket No. FAA–2015– 96; fax +33 5 61 93 44 51; email October 18, 1995), we have received a 8470. [email protected]; report that analyses showed a need for Related Service Information Under 1 Internet http://www.airbus.com. You reduced compliance times. CFR Part 51 may view this referenced service The European Aviation Safety Agency Airbus has issued Service Bulletins information at the FAA, Transport (EASA), which is the Technical Agent A300–57–0116, Revision 07, dated Airplane Directorate, 1601 Lind Avenue for the Member States of the European September 19, 2011; and A300–57– SW., Renton, WA. For information on Union, has issued EASA AD 2013– 6005, Revision 06, dated November 14, the availability of this material at the 0234R2, dated October 7, 2013 (referred 2013. This service information describes FAA, call 425–227–1221. to after this as the Mandatory Continuing Airworthiness Information, procedures for ultrasonic inspections of Examining the AD Docket or ‘‘the MCAI’’), to correct an unsafe the number 2 flap beam base and side You may examine the AD docket on condition for certain Airbus Model members. The actions described in this the Internet at http:// A300 and A300–600 series airplanes. service information are intended to www.regulations.gov by searching for The MCAI states: correct the unsafe condition identified in the MCAI. This service information is and locating Docket No. FAA–2015– Fatigue and ‘‘fail safe’’ tests developed on 8470; or in person at the Docket reasonably available because the a test specimen confirmed that cracks may interested parties have access to it Management Facility between 9 a.m. appear and propagate from the bolt holes of and 5 p.m., Monday through Friday, the base member and the side members of through their normal course of business except Federal holidays. The AD docket flap beam No. 2. or by the means identified in the contains this proposed AD, the The development of such cracks, if not ADDRESSES section. regulatory evaluation, any comments detected, could result in a rupture of flap FAA’s Determination and Requirements received, and other information. The beams No. 2, which could adversely affect the structural integrity of the airframe. of This Proposed AD street address for the Docket Operations To address this potential unsafe condition, This product has been approved by office (telephone 800–647–5527) is in Airbus issued Service Bulletin (SB) A300– the aviation authority of another the ADDRESSES section. Comments will 57–0116 and SB A300–57–6005 and DGAC country, and is approved for operation be available in the AD docket shortly France issued AD 1986–187–076(B) in the United States. Pursuant to our after receipt. [available at http://ad.easa.europa.eu/blob/ _ bilateral agreement with the State of FOR FURTHER INFORMATION CONTACT: 1986-187-076%28B%29R4en.pdf/AD F- Dan _ Design Authority, we have been notified Rodina, Aerospace Engineer, 1986-187-076R4 1], later revised, to require a repetitive inspection programme [and of the unsafe condition described in the International Branch, ANM–116, corrective action] for A300 and A300–600 MCAI and service information Transport Airplane Directorate, FAA, aeroplanes. [French AD 86–187–076(B)R3, referenced above. We are proposing this 1601 Lind Avenue SW., Renton, WA dated March 2, 1994, corresponds to FAA AD AD because we evaluated all pertinent 98057–3356; telephone 425–227–2125; 95–21–09, Amendment 39–9395 (60 FR information and determined an unsafe fax 425–227–1149. 53847, October 18, 1995), which superseded condition exists and is likely to exist or SUPPLEMENTARY INFORMATION: FAA AD 85–07–04, Amendment 39–5027 (49 develop on other products of the same FR 45755, April 2, 1985).] Comments Invited For A300 aeroplanes, and in the frame of type design. the Extended Service Goal (ESG) exercise, it We invite you to send any written Differences Between This Proposed AD was shown that design changes (Airbus Mod. and the MCAI or Service Information relevant data, views, or arguments about 4740/Airbus SB A300–57–0128 or Airbus this proposed AD. Send your comments Mod. 5815/Airbus SB A300–57–0141) were Although the MCAI or service to an address listed under the not sufficient to enable full ESG life without information allows further flight after ADDRESSES section. Include ‘‘Docket No. inspections. cracks are found during compliance FAA–2015–8470; Directorate Identifier For A300–600 aeroplanes, since DGAC with the required action, paragraph (m) 2013–NM–199–AD’’ at the beginning of France AD 1986–187–076(B) was issued, a of this proposed AD requires that you your comments. We specifically invite fleet survey and updated Fatigue and Damage replace the flap beam before further comments on the overall regulatory, Tolerance analyses have been performed in order to substantiate the second A300–600 flight. economic, environmental, and energy ESG2 exercise. Airbus SB A300–57–6005 has aspects of this proposed AD. We will Explanation of ‘‘RC’’ Procedures and been revised accordingly to decrease the Tests in Service Information consider all comments received by the inspection thresholds and intervals. closing date and may amend this For the reasons described above, this The FAA worked in conjunction with proposed AD based on those comments. [EASA] AD retains the requirements of DGAC industry, under the Airworthiness

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Directive Implementation Aviation Authority for This Rulemaking § 39.13 [Amended] ■ Rulemaking Committee (ARC), to Title 49 of the United States Code 2. The FAA amends § 39.13 by enhance the AD system. One specifies the FAA’s authority to issue removing Airworthiness Directive (AD) enhancement was a new process for rules on aviation safety. Subtitle I, 95–21–09, Amendment 39–9395 (60 FR annotating which procedures and tests section 106, describes the authority of 53847, October 18, 1995), and adding in the service information are required the FAA Administrator. ‘‘Subtitle VII: the following new AD: for compliance with an AD. Aviation Programs,’’ describes in more Airbus: Docket No. FAA–2015–8470; Differentiating these procedures and detail the scope of the Agency’s Directorate Identifier 2013–NM–199–AD. tests from other tasks in the service authority. information is expected to improve an (a) Comments Due Date We are issuing this rulemaking under owner’s/operator’s understanding of We must receive comments by March 7, the authority described in ‘‘Subtitle VII, crucial AD requirements and help 2016. provide consistent judgment in AD Part A, Subpart III, Section 44701: General requirements.’’ Under that (b) Affected ADs compliance. The procedures and tests This AD replaces AD 95–21–09, identified as Required for Compliance section, Congress charges the FAA with promoting safe flight of civil aircraft in Amendment 39–9395 (60 FR 53847, October (RC) in any service information have a 18, 1995). direct effect on detecting, preventing, air commerce by prescribing regulations resolving, or eliminating an identified for practices, methods, and procedures (c) Applicability unsafe condition. the Administrator finds necessary for This AD applies to the Airbus airplanes As specified in a NOTE under the safety in air commerce. This regulation identified in paragraphs (c)(1) through (c)(5) Accomplishment Instructions of the is within the scope of that authority of this AD, certificated in any category. specified service information, because it addresses an unsafe condition (1) Model Airbus Model A300 B2–1A, B2– 1C, B2K–3C, B2–203, B4–2C, B4–103, and procedures and tests that are identified that is likely to exist or develop on products identified in this rulemaking B4–203 airplanes, all manufacturer serial as RC in any service information must numbers (MSNs). be done to comply with the proposed action. (2) Airbus Model A300 B4–601, B4–603, AD. However, procedures and tests that Regulatory Findings B4–620, B4–622, B4–605R, and B4–622R are not identified as RC are airplanes, all MSNs. recommended. Those procedures and We determined that this proposed AD (3) Airbus Model A300 F4–605R, all MSNs, tests that are not identified as RC may would not have federalism implications except those airplanes on which both Airbus be deviated from using accepted under Executive Order 13132. This Modifications 11133 and 12699 have been proposed AD would not have a embodied. methods in accordance with the (4) Airbus Model A300 F4–622R airplanes, operator’s maintenance or inspection substantial direct effect on the States, on the relationship between the national all MSNs, except those airplanes on which program without obtaining approval of all Airbus Modifications 11133, 12047, an alternative method of compliance Government and the States, or on the 12048, and 12050 have been embodied, and (AMOC), provided the procedures and distribution of power and except those airplanes on which both Airbus tests identified as RC can be done and responsibilities among the various Modifications 11133 and 12699 have been the airplane can be put back in an levels of government. embodied. airworthy condition. Any substitutions For the reasons discussed above, I (5) Airbus Model A300 C4–605R Variant F or changes to procedures or tests certify this proposed regulation: airplanes, all MSNs. identified as RC will require approval of 1. Is not a ‘‘significant regulatory (d) Subject an AMOC. action’’ under Executive Order 12866; Air Transport Association (ATA) of 2. Is not a ‘‘significant rule’’ under the America Code 57, Wings. Costs of Compliance DOT Regulatory Policies and Procedures We estimate that this proposed AD (44 FR 11034, February 26, 1979); (e) Reason affects 49 airplanes of U.S. registry. 3. Will not affect intrastate aviation in This AD was prompted by a determination The actions that are required by AD Alaska; and that the compliance times must be reduced. 95–21–09, Amendment 39–9395 (60 FR 4. Will not have a significant We are issuing this AD to detect and correct 53847, October 18, 1995), and retained cracking of the No. 2 flap beams, which economic impact, positive or negative, could result in rupture of the flap beams and in this proposed AD take about 6 work- on a substantial number of small entities reduced structural integrity of the airplane. hours per product, at an average labor under the criteria of the Regulatory rate of $85 per work-hour. Required Flexibility Act. (f) Compliance parts cost about $0 per product. Based Comply with this AD within the on these figures, the estimated cost of List of Subjects in 14 CFR Part 39 compliance times specified, unless already the actions that were required by AD Air transportation, Aircraft, Aviation done. 95–21–09 is $510 per product, per safety, Incorporation by reference, (g) Retained Inspection and Corrective inspection cycle. Safety. Actions for Model A300 Series Airplanes, We also estimate that it would take With Note 3 of AD 95–21–09, Amendment about 6 work-hours per product to The Proposed Amendment 39–9395 (60 FR 53847, October 18, 1995), comply with the basic requirements of Accordingly, under the authority Incorporated and Additional Terminating this proposed AD. The average labor delegated to me by the Administrator, Provisions rate is $85 per work-hour. Based on the FAA proposes to amend 14 CFR part This paragraph restates the requirements of these figures, we estimate the cost of 39 as follows: paragraph (a) of AD 95–21–09, Amendment this proposed AD on U.S. operators to 39–9395 (60 FR 53847, October 18, 1995), with Note 3 of AD 95–21–09 incorporated be $24,990 per inspection cycle, or $510 PART 39—AIRWORTHINESS DIRECTIVES and additional terminating provisions. For per product, per inspection cycle. Model A300 series airplanes: Prior to the We have received no definitive data ■ 1. The authority citation for part 39 accumulation of 15,000 total landings, or that would enable us to provide cost within the next 120 days after May 9, 1985 estimates for the on-condition actions continues to read as follows: (the effective date of AD 85–07–04, specified in this proposed AD. Authority: 49 U.S.C. 106(g), 40113, 44701. Amendment 39–5027 (49 FR 45755, April 2,

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1985)), whichever occurs later, inspect for beam in accordance with Airbus Service (j) Retained Ultrasonic Inspection and cracking of the base steel member and light Bulletin A300–57–116, Revision 6, dated July Corrective Actions for Model A300–600 alloy side members of the No. 2 flap beams, 16, 1993, and prior to the accumulation of Series Airplanes, With Terminating left hand and right hand, in accordance with 15,000 flight cycles on the replaced flap Provisions the Accomplishment Instructions of Airbus beam, perform the ultrasonic inspection as This paragraph restates the requirements of Service Bulletin A300–57–116, Revision 6, required by this paragraph. paragraph (d) of AD 95–21–09, Amendment dated July 16, 1993. Accomplishing the 39–9395 (60 FR 53847, October 18, 1995), (i) Retained Modification of the No. 2 Track requirements of paragraph (h) or (l) of this with terminating provisions. For Model Beam for Model A300 Series Airplanes, With AD terminates the requirements of this A300–600 series airplanes: Prior to the Changes to Compliance Extension paragraph. Measurement of crack length is accumulation of 15,000 total landings, or performed by measurement of the probe This paragraph restates the provisions of within the next 1,000 landings after displacement (perpendicular to symmetry paragraph (c) of AD 95–21–09, Amendment November 17, 1995 (the effective date of AD plane of beam) between defect indication 39–9395 (60 FR 53847, October 18, 1995), 95–21–09), whichever occurs later, perform appearance and its complete disappearance. with changes to compliance extension. For an ultrasonic inspection to detect cracking of The bolt hole indication should not be Model A300 series airplanes: After the No. 2 flap track beams, in accordance interpreted as an indication of a defect. These accomplishing the initial inspection required with Airbus Service Bulletin A300–57–6005, two indications appear very close together by paragraph (h) of this AD, accomplishment Revision 2, dated December 16, 1993. because the defects originate from the bolt of either paragraph (i)(1) or (i)(2) of this AD Accomplishing the actions required by holes. before the effective date of this AD extends paragraph (l) of this AD terminates the (1) If no cracking is detected: Except as the fatigue life of the No. 2 flap track beam requirements of this paragraph. provided by paragraph (i) of this AD, repeat as specified in those paragraphs, provided (1) If no cracking is detected, repeat the the inspection at intervals not to exceed ultrasonic inspections thereafter at intervals 1,700 landings until the requirements of that no cracking is detected during any inspection required by paragraph (g) or (h) of not to exceed 1,700 landings. paragraph (h) or (l) of this AD are (2) If any crack is detected beyond the bolt this AD. accomplished. hole and that crack is less than or equal to (1) Removal of any damage and the (2) If any crack is detected that is less than 4 mm in length: Repeat the ultrasonic installation of larger diameter bolts on the or equal to 4 mm: Repeat the inspection at inspections thereafter at intervals not to intervals not to exceed 250 landings, until No. 2 flap track beam (Modification No. exceed 250 landings. the requirements of paragraph (h) or (l) of 4740), in accordance with Airbus Service (3) If any crack is detected beyond the bolt this AD are accomplished. Bulletin A300–57–128, Revision 3, dated hole and that crack is greater than 4 mm in (3) If any crack is detected that exceeds 4 January 26, 1990, extends the interval for the length: Prior to further flight, replace the flap mm: Prior to further flight, replace the flap first repetitive inspection required by beam in accordance with Airbus Service beam in accordance with the paragraph (h) of this AD from 1,700 landings Bulletin A300–57–6005, Revision 2, dated Accomplishment Instructions of Airbus to 12,000 landings, provided that December 16, 1993, and prior to the Service Bulletin A300–57–116, Revision 6, Modification No. 4740 is accomplished prior accumulation of 15,000 landings on the dated July 16, 1993, and prior to the to the accumulation of 16,700 total landings replaced flap beam, perform the ultrasonic accumulation of 15,000 flight cycles on the on the flap beams. Following inspection required by paragraph (j) of this replaced flap beam, perform the ultrasonic accomplishment of the first repetitive AD. inspection as required by paragraph (h) or (l) inspection, subsequent repetitive inspections (k) Retained Optional Action With Note 5 of of this AD. shall be performed at intervals not to exceed AD 95–21–09 Amendment 39–9395 (60 FR 1,700 landings. Or (h) Retained Ultrasonic Inspection and 53847, October 18, 1995), Incorporated and Corrective Action for Model A300 Series (2) Cold working of the bolt holes and the Changes to Terminating Action installation of larger diameter bolts on the Airplanes, With Additional Terminating This paragraph restates the provisions of Provisions No. 2 flap track beam (Modification No. 5815), in accordance with Airbus Service paragraph (e) of AD 95–21–09, Amendment This paragraph restates the requirements of Bulletin A300–57–141, Revision 7, dated July 39–9395 (60 FR 53847, October 18, 1995), paragraph (b) of AD 95–21–09, Amendment 16, 1993, extends the interval for the first with Note 5 of AD 95–21–09 incorporated 39–9395 (60 FR 53847, October 18, 1995), repetitive inspection required by paragraph and changes to terminating action. For Model with additional terminating provisions. For (h) of this AD from 1,700 landings to the A300–600 series airplanes: Installation of Model A300 series airplanes: Prior to the oversized transition fit bolts in cold-worked interval specified in paragraph (i)(2)(i) or accumulation of 15,000 total landings, or holes, in accordance with Airbus Service (i)(2)(ii) of this AD. within the next 1,000 landings after Bulletin A300–57–6006 (Modification 5815), (i) If interference fit bolts that are 15/32- November 17, 1995 (the effective date of AD Revision 4, dated July 25, 1994, constitutes inch in diameter are fitted, the interval for 95–21–09), whichever occurs later, perform terminating action for the repetitive the first repetitive inspection required by an ultrasonic inspection to detect cracking of inspection requirements of paragraph (j) of the No. 2 flap beams, in accordance with paragraph (h) of this AD is extended to this AD, provided that no cracking is Airbus Service Bulletin A300–57–116, 22,000 landings, provided that Modification detected during any inspection required by Revision 6, dated July 16, 1993. 5815 is accomplished prior to the paragraph (j) of this AD, and provided that Accomplishment of this inspection accumulation of 16,700 total landings on the the installation is accomplished prior to the terminates the inspections required by flap beam. Following accomplishment of the accumulation of 15,000 total landings and paragraph (g) of this AD. Accomplishment of first repetitive inspection required by before the effective date of this AD. If any the requirements of paragraph (l) of this AD paragraph (h) of this AD, subsequent bolt requires oversizing above 7/16-inch terminates the requirements of this repetitive inspections shall be performed at diameter during accomplishment of this paragraph. intervals not to exceed 1,700 landings. Or installation, prior to further flight, repair (1) If no cracking is detected: Except as (ii) If interference fit bolts that are 7/16- or using a method approved by the Manager, provided by paragraph (i) of this AD, repeat 3/8-inch in diameter are fitted, the interval Standardization Branch, ANM–113, FAA, the ultrasonic inspections thereafter at for the first repetitive inspection required by Transport Airplane Directorate, or by the intervals not to exceed 1,700 landings. paragraph (h) of this AD is extended to Manager, International Branch, ANM–116, (2) If any crack is detected beyond the bolt 33,000 landings, provided that Modification Transport Airplane Directorate, FAA. As of hole, and that crack is less than or equal to 5815 is accomplished prior to the the effective date of this AD, any new repair 4 mm in length: Repeat the ultrasonic accumulation of 16,700 total landings on the approval must be done using a method inspections thereafter at intervals not to flap beam. Following accomplishment of the approved by the Manager, International exceed 250 landings. first repetitive inspection required by Branch, ANM–116, Transport Airplane (3) If any crack is detected beyond the bolt paragraph (h) of this AD, subsequent Directorate, FAA. If Airbus Service Bulletin hole and that crack is greater than 4 mm in repetitive inspections shall be performed at A300–57–6005, Revision 2, dated December length: Prior to further flight, replace the flap intervals not to exceed 1,700 landings. 16, 1993, is accomplished concurrently with

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Airbus Service Bulletin A300–57–6006, flap beam on the left-hand (LH) and right- airplanes (referred to as Model A300 series Revision 3, dated December 16, 1993 hand (RH) sides in accordance with the airplanes): Within the applicable compliance (Modification 5815), the ultrasonic Accomplishment Instructions of Airbus time defined in table 1 to paragraph (l) of this inspection for cracking required by paragraph Service Bulletin A300–57–0116, Revision 07, AD. (j) of this AD need not be performed since the dated September 19, 2011, including (2) For Model A300 B4–601, B4–603, B4– eddy current inspection detailed for Appendixes A and B, undated; or Airbus 620, B4–622, B4–605R, B4–622R, F4–605R, Modification 5815 is more comprehensive. Service Bulletin A300–57–6005, Revision 06, F4–622R, F4–622R airplanes, and Model (l) New Requirement of This AD: Initial and dated November 14, 2013; as applicable. For A300 C4–605R Variant F airplanes (referred Repetitive Ultrasonic Inspections the purposes of this AD, average flight time to as Model A300–600 series airplanes): At At the applicable time specified in (AFT) is considered to be the number of the later of the times specified in paragraphs paragraph (l)(1) or (l)(2) of this AD and, flight hours per flight cycle. Doing the (l)(2)(i) and (l)(2)(ii) of this AD. thereafter at intervals not to exceed those actions required by this paragraph terminates (i) Within the compliance time defined in defined in table 3 to paragraph (l) of this AD, the requirements of paragraphs (g) through table 2 to paragraph (l) of this AD. as applicable, accomplish an ultrasonic (k) of this AD. (ii) Within 300 flight cycles or 640 flight inspection for cracking of the steel base (1) For Model A300 B2–1A, B2–1C, B2K– hours after the effective date of this AD, member and the aluminum side members’ 3C, B2–203, B4–2C, B4–103, and B4–203 whichever occurs first.

TABLE 1 TO PARAGRAPH (l) OF THIS AD—INSPECTION COMPLIANCE TIMES FOR MODEL A300 SERIES AIRPLANES

Compliance times for airplanes with an AFT of Compliance times for airplanes with an AFT of Airplane configuration less than 1.5 more than or equal to 1.5

Model A300 B2–1A, B2–1C, B2K–3C, B2–203 Within 15,000 flight cycles or 16,900 flight Within 15,000 flight cycles or 16,900 flight airplanes on which Airbus Modifications hours since first flight of the airplane, which- hours since first flight of the airplane, which- 4740 and 5815 have not been embodied. ever occurs first. ever occurs first. Model A300 B4–103 airplanes on which Airbus Within 15,000 flight cycles or 20,500 flight Within 15,000 flight cycles or 20,500 flight Modifications 4740 and 5815 have not been hours since first flight of the airplane, which- hours since first flight of the airplane, which- embodied. ever occurs first. ever occurs first. Model A300 B4–2C, and B4–203 airplanes on Within 16,200 flight cycles or 22,200 flight Within 15,000 flight cycles or 34,000 flight which Airbus Modifications 4740 and 5815 hours since first flight of the airplane, which- hours since first flight of the airplane, which- have not been embodied. ever occurs first. ever occurs first. Model A300 B2–1A, B2–1C, B2K–3C, B2–203 Within 12,000 flight cycles or 13,500 flight Within 12,000 flight cycles or 13,500 flight airplanes on which Airbus Modification 4740 hours since embodiment of Airbus Modifica- hours since embodiment of Airbus Modifica- has been embodied. tion 4740, whichever occurs first. tion 4740, whichever occurs first. Model A300 B4–103 airplanes on which Airbus Within 12,000 flight cycles or 16,400 flight Within 12,000 flight cycles or 16,400 flight Modification 4740 has been embodied. hours since embodiment of Airbus Modifica- hours since embodiment of Airbus Modifica- tion 4740, whichever occurs first. tion 4740, whichever occurs first. Model A300 B4–2C, and B4–203 airplanes on Within 12,900 flight cycles or 17,700 flight Within 12,000 flight cycles or 27,200 flight which Airbus Modification 4740 has been hours since embodiment of Airbus Modifica- hours since embodiment of Airbus Modifica- embodied. tion 4740, whichever occurs first. tion 4740, whichever occurs first. Model A300 B2–1A, B2–1C, B2K–3C, B2–203 Within 33,000 flight cycles or 37,200 flight Within 33,000 flight cycles or 37,200 flight airplanes on which Airbus Modification 5815 hours since embodiment of Airbus Modifica- hours since embodiment of Airbus Modifica- has been embodied and no bolt larger than tion 5815, whichever occurs first. tion 5815, whichever occurs first. 7/16-inch diameter is fitted. Model A300 B4–103 airplanes on which Airbus Within 33,000 flight cycles or 45,200 flight Within 33,000 flight cycles or 45,200 flight Modification 5815 has been embodied and hours since embodiment of Airbus Modifica- hours since embodiment of Airbus Modifica- no bolt larger than 7/16-inch diameter is tion 5815, whichever occurs first. tion 5815, whichever occurs first. fitted. Model A300 B4–2C, and B4–203 airplanes on Within 35,600 flight cycles or 48,800 flight Within 33,000 flight cycles or 74,900 flight which Airbus Modification 5815 has been hours since embodiment of Airbus Modifica- hours since embodiment of Airbus Modifica- embodied and no bolt larger than 7/16-inch tion 5815, whichever occurs first. tion 5815, whichever occurs first. diameter is fitted. Model A300 B2–1A, B2–1C, B2K–3C, B2–203 Within 22,000 flight cycles or 24,800 flight Within 22,000 flight cycles or 24,800 flight airplanes on which Airbus Modification 5815 hours since embodiment of Airbus Modifica- hours since embodiment of Airbus Modifica- has been embodied and at least one bolt tion 5815, whichever occurs first. tion 5815, whichever occurs first. with a 15/32-inch diameter is fitted. Model A300 B4–103 airplanes on which Airbus Within 22,000 flight cycles or 30,100 flight Within 22,000 flight cycles or 30,100 flight Modification 5815 has been embodied and hours since embodiment of Airbus Modifica- hours since embodiment of Airbus Modifica- at least one bolt with a 15/32-inch diameter tion 5815, whichever occurs first. tion 5815, whichever occurs first. is fitted. Model A300 B4–2C, and B4–203, airplanes on Within 23,700 flight cycles or 32,500 flight Within 22,000 flight cycles or 49,900 flight which Airbus Modification 5815 has been hours since embodiment of Airbus Modifica- hours since embodiment of Airbus Modifica- embodied and at least one bolt with a 15/32- tion 5815, whichever occurs first. tion 5815, whichever occurs first. inch diameter is fitted.

TABLE 2 TO PARAGRAPH (l) OF THIS AD—COMPLIANCE TIMES FOR MODEL A300–600 SERIES AIRPLANES

Compliance times for airplanes with an AFT of Compliance times for airplanes with an AFT of Airplane configuration less than 1.5 more than or equal to 1.5

Model A300–600 series airplanes on which Air- Within 16,200 flight cycles or 24,300 flight Within 15,000 flight cycles or 32,400 flight bus Modification 5815 and Airbus Modifica- hours since first flight of the airplane, which- hours since first flight of the airplane, which- tion 11133 have not been embodied. ever occurs first. ever occurs first.

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TABLE 2 TO PARAGRAPH (l) OF THIS AD—COMPLIANCE TIMES FOR MODEL A300–600 SERIES AIRPLANES—Continued

Compliance times for airplanes with an AFT of Compliance times for airplanes with an AFT of Airplane configuration less than 1.5 more than or equal to 1.5

Model A300–600 series airplanes on which Air- Within 35,600 flight cycles or 53,400 flight Within 33,000 flight cycles or 71,200 flight bus Modification 5815 has been embodied hours since embodiment of Airbus Modifica- hours since embodiment of Airbus Modifica- and no bolt larger than 7/16-inch diameter is tion 5815, whichever occurs first. tion 5815, whichever occurs first. fitted. Model A300–600 series airplanes on which Air- Within 23,700 flight cycles or 35,600 flight Within 22,000 flight cycles or 47,500 flight bus Modification 5815 has been embodied hours since embodiment of Airbus Modifica- hours since embodiment of Airbus Modifica- and at least one bolt 15/32-inch diameter is tion 5815, whichever occurs first. tion 5815, whichever occurs first. fitted. Model A300–600 series airplanes on which Air- Within 35,600 flight cycles or 53,400 flight Within 33,000 flight cycles or 71,200 flight bus Modification 11133 has been embodied. hours since first flight, whichever occurs first. hours since first flight, whichever occurs first.

TABLE 3 TO PARAGRAPH (l) OF THIS AD—REPETITIVE INSPECTION INTERVALS

Repetitive interval (not to exceed) for air- Repetitive interval (not to exceed) for air- Airplane models planes with an AFT of less than 1.5 planes with an AFT equal to or more than 1.5

A300 B2–1A, B2–1C, B2K–3C, B2–203 ...... 1,500 flight cycles or 1,600 flight hours, which- 1,500 flight cycles or 1,600 flight hours, which- ever occurs first. ever occurs first. A300B4–103 airplanes ...... 1,500 flight cycles or 2,000 flight hours, which- 1,500 flight cycles or 2,000 flight hours, which- ever occurs first. ever occurs first. A300 B4–2C, and B4–203 ...... 1,600 flight cycles or 2,200 flight hours, which- 1,500 flight cycles or 3,400 flight hours, which- ever occurs first. ever occurs first. A300–600 series airplanes ...... 1,600 flight cycles or 2,400 flight hours, which- 1,500 flight cycles or 3,200 flight hours, which- ever occurs first. ever occurs first.

(m) New Requirement of This AD: Corrective (iii) Airbus Service Bulletin A300–57– Flight Standards District Office, as Action 6005, Revision 05, dated April 25, 2013, appropriate. If sending information directly If any crack is found during any inspection which was not previously incorporated by to the International Branch, send it to ATTN: required by paragraph (l) of this AD: Before reference. Dan Rodina, Aerospace Engineer, (iv) Airbus Service Bulletin A300–57– International Branch, ANM–116, Transport further flight, replace the flap beam using a 6005, Revision 2, dated December 16, 1993, Airplane Directorate, FAA, 1601 Lind method approved by the Manager, which was previously incorporated by Avenue SW., Renton, WA 98057–3356; International Branch, ANM–116, Transport reference on November 17 1995 (60 FR telephone 425–227–2125; fax 425–227–1149. Airplane Directorate, FAA; or the European 53847, October 18, 1995). Information may be emailed to: 9-ANM-116- Aviation Safety Agency (EASA); or Airbus’s (v) Airbus Service Bulletin A300–57–116, [email protected]. EASA Design Organization Approval (DOA). Revision 1, dated August 27, 1983, which (i) Before using any approved AMOC, Replacement of the flap beam does not was not previously incorporated by notify your appropriate principal inspector, constitute terminating action for the reference. or lacking a principal inspector, the manager inspections required by paragraph (l) of this (vi) Airbus Service Bulletin A300–57–116, of the local flight standards district office/ AD. Revision 2, dated April 24, 1984, which was certificate holding district office. The AMOC (n) Credit for Previous Actions not previously incorporated by reference. approval letter must specifically reference (vii) Airbus Service Bulletin A300–57–116, this AD. (1) This paragraph provides credit for Revision 3, dated July 20, 1984, which was (ii) AMOCs approved previously for AD inspections required by paragraph (g) of this not previously incorporated by reference. 95–21–09, Amendment 39–9395 (60 FR AD, if those inspections were performed (viii) Airbus Service Bulletin A300–57– 53847, October 18, 1995), are approved as before November 17, 1995 (the effective date 116, Revision 4, dated August 13, 1986, AMOCs for the corresponding provisions of of AD 95–21–09, Amendment 39–9395 (60 which was not previously incorporated by paragraphs (g) through (j) of this AD. FR 53847, October 18, 1995)) using Airbus reference. (2) Contacting the Manufacturer: As of the Service Bulletin A300–57–116, Revision 1, (ix) Airbus Service Bulletin A300–57–116, effective date of this AD, for any requirement dated August 27, 1983; Revision 2, dated Revision 5, dated July 10, 1989, which was in this AD to obtain corrective actions from April 24, 1984; Revision 3, dated July 20, not previously incorporated by reference. a manufacturer, the action must be 1984; Revision 4, dated August 13, 1986; or (x) Airbus Service Bulletin A300–57–116, accomplished using a method approved by Revision 5, dated July 10, 1989; as Revision 6, dated July 16, 1993, which was the Manager, International Branch, ANM– applicable. previously incorporated by reference on 116, Transport Airplane Directorate, FAA; or (2) This paragraph provides credit for November 17, 1995 (60 FR 53847, October EASA; or Airbus’s EASA DOA. If approved actions required by paragraph (l) of this AD, 18, 1995). by the DOA, the approval must include the if those actions were performed before the DOA-authorized signature. effective date of this AD using the applicable (o) Other FAA AD Provisions (3) Required for Compliance (RC): Except service information identified in paragraphs The following provisions also apply to this as required by paragraph (m) of this AD: If (n)(2)(i) through (n)(2)(x) of this AD. AD: any service information contains procedures (i) Airbus Service Bulletin A300–57–6005, (1) Alternative Methods of Compliance or tests that are identified as RC, those Revision 03, dated November 25, 1997, (AMOCs): The Manager, International procedures and tests must be done to comply which was not previously incorporated by Branch, ANM–116, Transport Airplane with this AD; any procedures or tests that are reference. Directorate, FAA, has the authority to not identified as RC are recommended. Those (ii) Airbus Service Bulletin A300–57–6005, approve AMOCs for this AD, if requested procedures and tests that are not identified Revision 04, dated October 25, 1999, which using the procedures found in 14 CFR 39.19. as RC may be deviated from using accepted was not previously incorporated by In accordance with 14 CFR 39.19, send your methods in accordance with the operator’s reference. request to your principal inspector or local maintenance or inspection program without

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obtaining approval of an AMOC, provided this AD to prevent an ignition source in Comments Invited the procedures and tests identified as RC can the fuel tank vapor space, which could be done and the airplane can be put back in We invite you to send any written result in a fuel tank explosion and relevant data, views, or arguments about an airworthy condition. Any substitutions or consequent loss of the airplane. changes to procedures or tests identified as this proposed AD. Send your comments RC require approval of an AMOC. DATES: We must receive comments on to an address listed under the this proposed AD by March 7, 2016. ADDRESSES section. Include ‘‘Docket No. (p) Related Information FAA–2015–8467; Directorate Identifier (1) Refer to Mandatory Continuing ADDRESSES: You may send comments, using the procedures found in 14 CFR 2014–NM–107–AD’’ at the beginning of Airworthiness Information (MCAI) EASA AD your comments. We specifically invite 2013–0234R2, dated October 7, 2013, for 11.43 and 11.45, by any of the following related information. This MCAI may be methods: comments on the overall regulatory, economic, environmental, and energy found in the AD docket on the Internet at • Federal eRulemaking Portal: Go to aspects of this proposed AD. We will http://www.regulations.gov by searching for http://www.regulations.gov. Follow the consider all comments received by the and locating Docket No. FAA–2015–8470. instructions for submitting comments. (2) For service information identified in closing date and may amend this • this AD, contact Airbus SAS, Airworthiness Fax: 202–493–2251. proposed AD based on those comments. Office—EAW, 1 Rond Point Maurice • Mail: U.S. Department of We will post all comments we Bellonte, 31707 Blagnac Cedex, France; Transportation, Docket Operations, M– receive, without change, to http:// telephone +33 5 61 93 36 96; fax +33 5 61 30, West Building Ground Floor, Room www.regulations.gov, including any 93 44 51; email account.airworth-eas@ W12–140, 1200 New Jersey Avenue SE., personal information you provide. We airbus.com; Internet http://www.airbus.com. Washington, DC 20590. will also post a report summarizing each You may view this service information at the • FAA, Transport Airplane Directorate, 1601 Hand Delivery: U.S. Department of substantive verbal contact we receive Lind Avenue SW., Renton, WA. For Transportation, Docket Operations, M– about this proposed AD. information on the availability of this 30, West Building Ground Floor, Room Discussion material at the FAA, call 425–227–1221. W12–140, 1200 New Jersey Avenue SE., The European Aviation Safety Agency Issued in Renton, Washington, on January Washington, DC, between 9 a.m. and 5 6. 2016. p.m., Monday through Friday, except (EASA), which is the Technical Agent for the Member States of the European Victor Wicklund, Federal holidays. For service information identified in Union, has issued EASA Airworthiness Acting Manager, Transport Airplane Directive 2014–0108, dated May 8, 2014 Directorate, Aircraft Certification Service. this proposed AD, contact Fokker Services B.V., Technical Services Dept., (referred to after this the Mandatory [FR Doc. 2016–00634 Filed 1–19–16; 8:45 am] Continuing Airworthiness Information, BILLING CODE 4910–13–P P.O. Box 1357, 2130 EL Hoofddorp, the Netherlands; telephone +31 (0)88–6280– or ‘‘the MCAI’’), to correct an unsafe 350; fax +31 (0)88–6280–111; email condition for all Fokker Services B.V. Model F.28 Mark 1000, 2000, 3000, and DEPARTMENT OF TRANSPORTATION [email protected]; Internet http://www.myfokkerfleet.com. You may 4000 airplanes. The MCAI states: Federal Aviation Administration view this referenced service information Prompted by an accident * * *, the at the FAA, Transport Airplane Federal Aviation Administration (FAA) 14 CFR Part 39 Directorate, 1601 Lind Avenue SW., published Special Federal Aviation Regulation (SFAR) 88 [(66 FR 23086, May 7, [Docket No. FAA–2015–8467; Directorate Renton, WA. For information on the 2001)], and the Joint Aviation Authorities Identifier 2014–NM–107–AD] availability of this material at the FAA, (JAA) published Interim Policy INT/POL/25/ call 425–227–1221. 12. RIN 2120–AA64 The review conducted by Fokker Services Examining the AD Docket on the Fokker F28 design, in response to Airworthiness Directives; Fokker these regulations, revealed that no controlled Services B.V. Airplanes You may examine the AD docket on the Internet at http:// bonding provisions are present on a number of critical locations, inside the fuel tank or AGENCY: Federal Aviation www.regulations.gov by searching for connected to the fuel tank wall. Administration (FAA), DOT. and locating Docket No. FAA–2015– This condition, if not corrected, could ACTION: Notice of proposed rulemaking 8467; or in person at the Docket create an ignition source in the fuel tank (NPRM). Operations office between 9 a.m. and 5 vapour space, possibly resulting in a fuel p.m., Monday through Friday, except tank explosions and consequent loss of the SUMMARY: We propose to adopt a new Federal holidays. The AD docket aeroplane. airworthiness directive (AD) for all contains this proposed AD, the To address this potential unsafe condition, Fokker Services B.V. Model F.28 Mark regulatory evaluation, any comments Fokker Services developed a set of fuel tank 1000, 2000, 3000, and 4000 airplanes. bonding modifications. received, and other information. The For the reasons described above, this This proposed AD was prompted by a street address for the Docket Operations design review that revealed no [EASA] AD requires the Installation of office (telephone 800–647–5527) is in additional and improved bonding provisions controlled bonding provisions are the ADDRESSES section. Comments will [and a revision of the maintenance or present on a number of critical locations be available in the AD docket shortly inspection program, as applicable]. These inside the fuel tanks or connected to the after receipt. modifications require opening of the fuel walls of the fuel tanks. This proposed tank access panels. AD would require installing additional FOR FURTHER INFORMATION CONTACT: Tom More information on this subject can be and improved bonding provisions in the Rodriguez, Aerospace Engineer, found in Fokker Services All Operators fuel tanks and revising the airplane International Branch, ANM–116, Message AOF28.038#02. maintenance or inspection program, as Transport Airplane Directorate, FAA, You may examine the MCAI in the applicable, by incorporating fuel 1601 Lind Avenue SW., Renton, WA AD docket on the Internet at http:// airworthiness limitation items and 98057–3356; telephone 425–227–1137; www.regulations.gov by searching for critical design configuration control fax 425–227–1149. and locating Docket No. FAA–2015– limitations (CDCCLs). We are proposing SUPPLEMENTARY INFORMATION: 8467.

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The FAA has examined the standards and procedures.) Under this must request approval for an alternative underlying safety issues involved in fuel regulation, the JAA stated that all method of compliance according to tank explosions on several large members of the ECAC that hold type paragraph (j)(1) of this AD. The request transport airplanes, including the certificates for transport category should include a description of changes adequacy of existing regulations, the airplanes are required to conduct a to the required actions that will ensure service history of airplanes subject to design review against explosion risks. the continued operational safety of the those regulations, and existing We have determined that the actions airplane. maintenance practices for fuel tank identified in this AD are necessary to systems. As a result of those findings, reduce the potential of ignition sources Costs of Compliance we issued a regulation titled ‘‘Transport inside fuel tanks, which, in combination We estimate that this proposed AD Airplane Fuel Tank System Design with flammable fuel vapors, could result affects 5 airplanes of U.S. registry. Review, Flammability Reduction and in fuel tank explosions and consequent We also estimate that it would take Maintenance and Inspection loss of the airplane. about 21 work-hours per product to comply with the basic requirements of Requirements’’ (66 FR 23086, May 7, Related Service Information Under 1 2001). In addition to new airworthiness this proposed AD. The average labor CFR Part 51 standards for transport airplanes and rate is $85 per work-hour. Required new maintenance requirements, this Fokker Services B.V. has issued parts would cost about $0 per product. rule included Special Federal Aviation Fokker Proforma Service Bulletin Based on these figures, we estimate the Regulation No. 88 (‘‘SFAR 88,’’ SBF28–28–058, dated January 9, 2014, cost of this proposed AD on U.S. Amendment 21–78, and subsequent including Appendix SBF28–28–058/ operators to be $8,925, or $1,785 per Amendments 21–82 and 21–83). APP01, dated July 15, 2014. The service product. Among other actions, SFAR 88 (66 FR information describes procedures for 23086, May 7, 2001) requires certain installing improved bonding provisions Authority for This Rulemaking type design (i.e., type certificate (TC) for the transfer jet pumps, ventilation Title 49 of the United States Code and supplemental type certificate (STC)) float valves, center tank overflow valves, specifies the FAA’s authority to issue holders to substantiate that their fuel and level control pilot valves wiring rules on aviation safety. Subtitle I, tank systems can prevent ignition conduit, and applicable related section 106, describes the authority of sources in the fuel tanks. This investigative and corrective actions. the FAA Administrator. ‘‘Subtitle VII: requirement applies to type design Fokker Services B.V. has also issued Aviation Programs,’’ describes in more holders for large turbine-powered Fokker Service Bulletin SBF28–28–050, detail the scope of the Agency’s transport airplanes and for subsequent Revision 3, dated December 11, 2014. authority. modifications to those airplanes. It The service information describes We are issuing this rulemaking under requires them to perform design reviews certain fuel airworthiness limitation the authority described in ‘‘Subtitle VII, and to develop design changes and items and critical design configuration Part A, Subpart III, Section 44701: maintenance procedures if their designs control limitations. General requirements.’’ Under that do not meet the new fuel tank safety This service information is reasonably section, Congress charges the FAA with standards. As explained in the preamble available because the interested parties promoting safe flight of civil aircraft in to the rule, we intended to adopt have access to it through their normal air commerce by prescribing regulations airworthiness directives to mandate any course of business or by the means for practices, methods, and procedures changes found necessary to address identified in the ADDRESSES section. the Administrator finds necessary for unsafe conditions identified as a result FAA’s Determination and Requirements safety in air commerce. This regulation of these reviews. of This Proposed AD is within the scope of that authority In evaluating these design reviews, we because it addresses an unsafe condition have established four criteria intended This product has been approved by that is likely to exist or develop on to define the unsafe conditions the aviation authority of another products identified in this rulemaking associated with fuel tank systems that country, and is approved for operation action. require corrective actions. The in the United States. Pursuant to our percentage of operating time during bilateral agreement with the State of Regulatory Findings which fuel tanks are exposed to Design Authority, we have been notified We determined that this proposed AD flammable conditions is one of these of the unsafe condition described in the would not have federalism implications criteria. The other three criteria address MCAI and service information under Executive Order 13132. This the failure types under evaluation: referenced above. We are proposing this proposed AD would not have a Single failures, single failures in AD because we evaluated all pertinent substantial direct effect on the States, on combination with a latent condition(s), information and determined an unsafe the relationship between the national and in-service failure experience. For all condition exists and is likely to exist or Government and the States, or on the four criteria, the evaluations included develop on other products of these same distribution of power and consideration of previous actions taken type designs. responsibilities among the various that may mitigate the need for further This AD requires revisions to certain levels of government. action. operator maintenance documents to For the reasons discussed above, I The Joint Aviation Authorities (JAA) include new actions (e.g., inspections) certify this proposed regulation: has issued a regulation that is similar to and/or CDCCLs. Compliance with these 1. Is not a ‘‘significant regulatory SFAR 88 (66 FR 23086, May 7, 2001). actions and/or CDCCLs is required by 14 action’’ under Executive Order 12866; (The JAA is an associated body of the CFR 91.403(c). For airplanes that have 2. Is not a ‘‘significant rule’’ under the European Civil Aviation Conference been previously modified, altered, or DOT Regulatory Policies and Procedures (ECAC) representing the civil aviation repaired in the areas addressed by this (44 FR 11034, February 26, 1979); regulatory authorities of a number of AD, the operator may not be able to 3. Will not affect intrastate aviation in European States who have agreed to co- accomplish the actions described in the Alaska; and operate in developing and revisions. In this situation, to comply 4. Will not have a significant implementing common safety regulatory with 14 CFR 91.403(c), the operator economic impact, positive or negative,

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on a substantial number of small entities January 9, 2014, including Appendix SBF28– approved by the DOA, the approval must under the criteria of the Regulatory 28–058/APP01, dated July 15, 2014. include the DOA-authorized signature. Flexibility Act. (h) Revision of Maintenance or Inspection (k) Related Information List of Subjects in 14 CFR Part 39 Program (1) Refer to Mandatory Continuing Before further flight after completing the Airworthiness Information (MCAI) European Air transportation, Aircraft, Aviation installation specified in paragraph (g) of this Aviation Safety Agency Airworthiness safety, Incorporation by reference, AD, or within 30 days after the effective date Directive 2014–0108, dated May 8, 2014, for Safety. of this AD, whichever occurs later: Revise the related information. This MCAI may be found in the AD docket on the Internet at The Proposed Amendment airplane maintenance or inspection program, as applicable, by incorporating the fuel http://www.regulations.gov by searching for Accordingly, under the authority airworthiness limitation items and critical and locating Docket No. FAA–2015–8467. delegated to me by the Administrator, design configuration control limitations (2) For service information identified in the FAA proposes to amend 14 CFR part (CDCCLs) specified in paragraph 1.L.(1)(c) of this AD, contact Fokker Services B.V., 39 as follows: Fokker Services Proforma Service Bulletin Technical Services Dept., P.O. Box 1357, SBF28–28–058, dated January 9, 2014, 2130 EL Hoofddorp, the Netherlands; PART 39—AIRWORTHINESS including Appendix SBF28–28–058/APP01, telephone +31 (0)88–6280–350; fax +31 (0)88–6280–111; email technicalservices@ DIRECTIVES dated July 15, 2014. The initial compliance times for the tasks are at the latest of the fokker.com; Internet http:// ■ times specified in paragraphs (h)(1), (h)(2), www.myfokkerfleet.com. You may view this 1. The authority citation for part 39 service information at the FAA, Transport continues to read as follows: and (h)(3) of this AD. (1) At the applicable time specified in Airplane Directorate, 1601 Lind Avenue SW., Authority: 49 U.S.C. 106(g), 40113, 44701. Fokker Service Bulletin SBF28–28–050, Renton, WA. For information on the Revision 3, dated December 11, 2014. availability of this material at the FAA, call § 39.13 [Amended] (2) Before further flight after completing 425–227–1221. ■ 2. The FAA amends § 39.13 by adding the installation specified in paragraph (g) of Issued in Renton, Washington, on January the following new airworthiness this AD. 5, 2016. directive (AD): (3) Within 30 days after the effective date Victor Wicklund, of this AD. Fokker Services B.V.: Docket No. FAA– Acting Manager, Transport Airplane 2015–8467; Directorate Identifier 2014– (i) No Alternative Actions, Intervals, and Directorate, Aircraft Certification Service. NM–107–AD. CDCCLs [FR Doc. 2016–00636 Filed 1–19–16; 8:45 am] (a) Comments Due Date After accomplishment of the revision BILLING CODE 4910–13–P required by paragraph (h) of this AD, no We must receive comments by March 7, alternative actions (e.g., inspections), 2016. intervals, or CDCCLs may be used unless the DEPARTMENT OF TRANSPORTATION (b) Affected ADs actions, intervals, or CDCCLs are approved as an alternative method of compliance (AMOC) None. Federal Aviation Administration in accordance with the procedures specified (c) Applicability in paragraph (j)(1) of this AD. 14 CFR Part 39 This AD applies to Fokker Services B.V. (j) Other FAA AD Provisions Model F.28 Mark 1000, 2000, 3000, and 4000 [Docket No. FAA–2014–0922; Directorate The following provisions also apply to this airplanes, certificated in any category, all Identifier 2014–NM–156–AD] AD: serial numbers. (1) Alternative Methods of Compliance: RIN 2120–AA64 (d) Subject The Manager, International Branch, ANM– 116, Transport Airplane Directorate, FAA, Airworthiness Directives; Airbus Air Transport Association (ATA) of Airplanes America Code 28, Fuel. has the authority to approve AMOCs for this AD, if requested using the procedures found (e) Reason in 14 CFR 39.19. In accordance with 14 CFR AGENCY: Federal Aviation Administration (FAA), DOT. This AD was prompted by a design review 39.19, send your request to your principal that revealed no controlled bonding inspector or local Flight Standards District ACTION: Supplemental notice of provisions are present on a number of critical Office, as appropriate. If sending information proposed rulemaking (NPRM); locations inside the fuel tanks or connected directly to the International Branch, send it reopening of comment period. to the walls of the fuel tanks. We are issuing to ATTN: Tom Rodriguez, Aerospace this AD to prevent an ignition source in the Engineer, International Branch, ANM–116, SUMMARY: We are revising an earlier fuel tank vapor space, which could result in Transport Airplane Directorate, FAA, 1601 proposed airworthiness directive (AD) a fuel tank explosion and consequent loss of Lind Avenue SW., Renton, WA 98057–3356; for certain Airbus Model A319 and the airplane. telephone 425–227–1137; fax 425–227–1149. A320 series airplanes. The NPRM Information may be emailed to: 9-ANM-116- proposed to require the modification of (f) Compliance [email protected]. Before using eight fastener locations in the longeron Comply with this AD within the any approved AMOC, notify your appropriate compliance times specified, unless already principal inspector, or lacking a principal area below the emergency exit cut-outs done. inspector, the manager of the local flight on the left-hand (LH) and right-hand standards district office/certificate holding (RH) sides. The NPRM was prompted by (g) Installation of Bonding Provisions district office. The AMOC approval letter a report that fatigue cracking could At the next scheduled opening of the fuel must specifically reference this AD. appear at certain fastener locations in tanks after the effective date of this AD, but (2) Contacting the Manufacturer: For any the longeron area below the emergency no later than 84 months after the effective requirement in this AD to obtain corrective exit cut-outs. This proposed AD is date of this AD, install additional and actions from a manufacturer, the action must intended to complete certain mandated improved bonding provisions in the fuel be accomplished using a method approved tanks, and do the applicable related by the Manager, International Branch, ANM– programs intended to support the investigative and corrective actions, in 116, Transport Airplane Directorate, FAA; or airplane reaching its limit of validity accordance with the Accomplishment the European Aviation Safety Agency (LOV) of the engineering data that Instructions of Fokker Services Proforma (EASA); or Fokker B.V. Service’s EASA support the established structural Service Bulletin SBF28–28–058, dated Design Organization Approval (DOA). If maintenance program. This action

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revises the applicability by adding post- street address for the Docket Office the FAA added airplanes having Airbus Airbus modification 32208 airplanes, (telephone: 800–647–5527) is in the modification 32208 to the applicability which are also affected. We are ADDRESSES section. Comments will be of this proposed AD and increased the proposing this supplemental NPRM available in the AD docket shortly after number of airplanes in the Costs of (SNPRM) to detect and correct cracking receipt. Compliance section to 294 airplanes. at certain fastener locations in the FOR FURTHER INFORMATION CONTACT: The European Aviation Safety Agency, longeron area below the emergency exit Sanjay Ralhan, Aerospace Engineer, which is the Technical Agent for the cut-outs, which could lead to failure of International Branch, ANM–116, Member States of the European Union, the fasteners and reduced structural Transport Airplane Directorate, FAA, has issued EASA Airworthiness integrity of the airplane. Since these 1601 Lind Avenue SW., Renton, WA Directive 2015–0085, dated May 13, actions impose an additional burden 98057–3356; telephone 425–227–1405; 2015 (referred to after this as the over those proposed in the NPRM, we fax 425–227–1149. Mandatory Continuing Airworthiness are reopening the comment period to SUPPLEMENTARY INFORMATION: Information, or ‘‘the MCAI’’), to correct allow the public the chance to comment an unsafe condition on certain Model on these proposed changes. Comments Invited A319 and Model A320 series airplanes. DATES: We must receive comments on We invite you to send any written The MCAI states: this SNPRM by March 7, 2016. relevant data, views, or arguments about During the A320 fatigue test campaign for this proposed AD. Send your comments ADDRESSES: You may send comments, Extended Service Goal (ESG), it was using the procedures found in 14 CFR to an address listed under the determined that fatigue damage could appear ADDRESSES section. Include ‘‘Docket No. at certain fastener locations on the longeron 11.43 and 11.45, by any of the following FAA–2014–0922; Directorate Identifier [area] below the emergency exit cut-outs, on methods: 2014–NM–156–AD’’ at the beginning of the left-hand (LH) and right-hand (RH) sides • Federal eRulemaking Portal: Go to your comments. We specifically invite of the fuselage. http://www.regulations.gov. Follow the comments on the overall regulatory, This condition, if not detected and instructions for submitting comments. corrected, could affect the structural integrity economic, environmental, and energy • Fax: 202–493–2251. of the aeroplane. aspects of this proposed AD. We will • Mail: U.S. Department of To address this potential unsafe condition, consider all comments received by the Transportation, Docket Operations, M– Airbus developed a modification, which has closing date and may amend this been published through Airbus Service 30, West Building Ground Floor, Room proposed AD based on those comments. Bulletin (SB) A320–53–1265 for in-service W12–140, 1200 New Jersey Avenue SE., We will post all comments we application to allow aeroplanes to operate up Washington, DC 20590. to the new ESG limit. Consequently, EASA • receive, without change, to http:// Hand Delivery: U.S. Department of www.regulations.gov, including any issued AD 2014–0176 to require modification Transportation, Docket Operations, M– personal information you provide. We (cold working) of 8 fastener locations in the 30, West Building Ground Floor, Room longeron area (Stringer 20A) below the will also post a report summarizing each emergency exit cut-outs on the LH and RH W12–140, 1200 New Jersey Avenue SE., substantive verbal contact we receive Washington, DC, between 9 a.m. and 5 sides. about this proposed AD. Since that [EASA] AD was issued, it was p.m., Monday through Friday, except Discussion identified that post-mod 32208 aeroplanes, Federal holidays. which were excluded from the Applicability For service information identified in We issued a notice of proposed of that [EASA] AD, are also affected. this proposed AD, contact Airbus, rulemaking (NPRM) to amend 14 CFR For the reason described above, this Airworthiness Office—EIAS, 1 Rond part 39 by adding an AD that would [EASA] AD retains the requirements of EASA Point Maurice Bellonte, 31707 Blagnac apply to certain Airbus Model A319 and AD 2014–0176, which is superseded, but no Cedex, France; telephone +33 5 61 93 36 A320 series airplanes. The NPRM longer excludes post-mod 32208 aeroplanes from the Applicability. 96; fax +33 5 61 93 44 51; email published in the Federal Register on [email protected]; December 15, 2014 (79 FR 74035). As described in FAA Advisory Internet http://www.airbus.com. You The NPRM was prompted by a report Circular 120–104 (http://www.faa.gov/ may view this referenced service that fatigue cracking could appear at documentLibrary/media/Advisory_ information at the FAA, Transport certain fastener locations in the Circular/120-104.pdf), several programs Airplane Directorate, 1601 Lind Avenue longeron area below the emergency exit have been developed to support SW., Renton, WA. You may view this cut-outs. The NPRM was intended to initiatives that will ensure the referenced service information at the complete certain mandated programs continued airworthiness of aging FAA, Transport Airplane Directorate, intended to support the airplane airplane structure. The last element of 1601 Lind Avenue SW., Renton, WA. reaching its LOV of the engineering data those initiatives is the requirement to For information on the availability of that support the established structural establish a LOV of the engineering data this material at the FAA, call 425–227– maintenance program. The NPRM that support the structural maintenance 1221. proposed to require the modification of program under 14 CFR 26.21. This proposed AD is the result of an Examining the AD Docket eight fastener locations in the longeron area below the emergency exit cut-outs assessment of the previously established You may examine the AD docket on on the LH and RH sides. programs by the design approval holder the Internet at http:// (DAH) during the process of establishing www.regulations.gov by searching for Actions Since Previous NPRM (79 FR the LOV for Airbus Model A319 and and locating Docket No. FAA–2014– 74035, December 15, 2014) Was Issued A320 series airplanes. The actions 0922; or in person at the Docket Since we issued the NPRM (79 FR specified in this proposed AD are Management Facility between 9 a.m. 74035, December 15, 2014), we have necessary to complete certain programs and 5 p.m., Monday through Friday, determined that airplanes having Airbus to ensure the continued airworthiness of except Federal holidays. The AD docket modification 32208, which were aging airplane structure and to support contains this proposed AD, the excluded from the applicability of an airplane reaching its LOV. regulatory evaluation, any comments NPRM (79 FR 74035, December 15, You may examine the MCAI in the received, and other information. The 2014), are also affected. For this reason, AD docket on the Internet at http://

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www.regulations.gov/ 2014, and revised paragraph (h) of this methods in accordance with the #!documentDetail;D=FAA-2014-0922. proposed AD to allow credit for actions operator’s maintenance or inspection done using Airbus Service Bulletin program without obtaining approval of Related Service Information Under 1 A320–53–1265, Revision 01, dated July an alternative method of compliance CFR Part 51 2, 2013. Affected operators may request (AMOC), provided the procedures and Airbus has issued Service Bulletin approval to use a later revision of the tests identified as RC can be done and A320–53–1265, Revision 02, dated July referenced service information as an the airplane can be put back in an 10, 2014. The service information Alternative Method of Compliance airworthy condition. Any substitutions describes procedures for modifying the (AMOC) using the procedures specified or changes to procedures or tests fastener locations in the longeron area in paragraph (i) of this proposed AD. identified as RC will require approval of below the emergency exit cut-outs on an AMOC. both RH and LH sides of the fuselage. FAA’s Determination and Requirements This service information is reasonably of This SNPRM Costs of Compliance available because the interested parties This product has been approved by We estimate that this SNPRM affects have access to it through their normal the aviation authority of another 294 airplanes of U.S. registry. course of business or by the means country, and is approved for operation We estimate that it would take about identified in the ADDRESSES section. in the United States. Pursuant to our 12 work-hours per product to comply bilateral agreement with the State of Comments with the new basic requirements of this Design Authority, we have been notified SNPRM. The average labor rate is $85 We gave the public the opportunity to of the unsafe condition described in the per work-hour. Required parts would participate in developing this proposed MCAI and service information cost about $0 per product. Based on AD. We considered the comment referenced above. We are proposing this these figures, we estimate the cost of received. The following presents the AD because we evaluated all pertinent this SNPRM on U.S. operators to be comment received on the NPRM (79 FR information and determined an unsafe $299,880, or $1,020 per product. 74035, December 15, 2014) and the condition exists and is likely to exist or FAA’s response to the comment. develop on other products of these same Authority for This Rulemaking Request To Allow the Use of Later type designs. Title 49 of the United States Code Certain changes described above Revisions of Service Bulletin specifies the FAA’s authority to issue expand the scope of the NPRM (79 FR rules on aviation safety. Subtitle I, United Airlines (United) requested 74035, December 15, 2014). As a result, section 106, describes the authority of that the NPRM (79 FR 74035, December we have determined that it is necessary the FAA Administrator. ‘‘Subtitle VII: 15, 2014) contain a statement allowing to reopen the comment period to Aviation Programs,’’ describes in more use of later revisions of the service provide additional opportunity for the detail the scope of the Agency’s information as an acceptable method of public to comment on this SNPRM. compliance for the proposed AD. United authority. stated the modification addressed by the Explanation of ‘‘RC’’ Procedures and We are issuing this rulemaking under NPRM allows operators to reach an ESG. Tests in Service Information the authority described in ‘‘Subtitle VII, United stated that the service The FAA worked in conjunction with Part A, Subpart III, Section 44701: information mentioned in the NPRM industry, under the Airworthiness General requirements.’’ Under that may not incorporate the proper Directive Implementation Aviation section, Congress charges the FAA with effectivity, since Airbus Service Bulletin Rulemaking Committee (ARC), to promoting safe flight of civil aircraft in A320–53–1265, Revision 01, dated July enhance the AD system. One air commerce by prescribing regulations 2, 2013, is restricted to operators who enhancement was a new process for for practices, methods, and procedures have applied for Airbus’s request for annotating which procedures and tests the Administrator finds necessary for change/request for modification order in the service information are required safety in air commerce. This regulation (RFC/RMO) process. United stated the for compliance with an AD. is within the scope of that authority effectivity of Airbus Service Bulletin Differentiating these procedures and because it addresses an unsafe condition A320–53–1265, Revision 02, dated July tests from other tasks in the service that is likely to exist or develop on 10, 2014, will likely not agree with the information is expected to improve an products identified in this rulemaking applicability of the NPRM. owner’s/operator’s understanding of action. We partially agree. We disagree to crucial AD requirements and help Regulatory Findings allow use of later revisions of service provide consistent judgment in AD documents in an AD because use of compliance. The procedures and tests We determined that this proposed AD unpublished service information is not identified as RC (required for would not have federalism implications allowed by the Office of the Federal compliance) in any service information under Executive Order 13132. This Register’s regulations for approving have a direct effect on detecting, proposed AD would not have a materials incorporated by reference. preventing, resolving, or eliminating an substantial direct effect on the States, on However, we have reviewed Airbus identified unsafe condition. the relationship between the national Service Bulletin A320–53–1265, As specified in a NOTE under the Government and the States, or on the Revision 02, dated July 10, 2014, which Accomplishment Instructions of the distribution of power and updated the kit information and the specified service information, responsibilities among the various effectivity. We revised the applicability procedures and tests that are identified levels of government. in this proposed AD to reflect the as RC in any service information must For the reasons discussed above, I effectivity of Airbus Service Bulletin be done to comply with the proposed certify this proposed regulation: A320–53–1265, Revision 02, dated July AD. However, procedures and tests that 1. Is not a ‘‘significant regulatory 10, 2014. We also revised the references are not identified as RC are action’’ under Executive Order 12866; in paragraph (g) of this proposed AD to recommended. Those procedures and 2. Is not a ‘‘significant rule’’ under the refer to Airbus Service Bulletin A320– tests that are not identified as RC may DOT Regulatory Policies and Procedures 53–1265, Revision 02, dated July 10, be deviated from using accepted (44 FR 11034, February 26, 1979);

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3. Will not affect intrastate aviation in (g) Modification of Fastener Locations (j) Related Information Alaska; and Before the accumulation of 48,000 total (1) Refer to Mandatory Continuing 4. Will not have a significant flight cycles or 96,000 total flight hours, Airworthiness Information (MCAI) EASA economic impact, positive or negative, whichever occurs first since the airplane’s Airworthiness Directive 2015–0085, dated on a substantial number of small entities first flight, modify the 8 fastener locations in May 13, 2015, for related information. This the longeron area (stringer 20A) below the MCAI may be found in the AD docket on the under the criteria of the Regulatory emergency exit cut-outs on both RH and LH Internet at http://www.regulations.gov/ Flexibility Act. sides, in accordance with the #!documentDetail;D=FAA-2014-0922-0002. List of Subjects in 14 CFR Part 39 Accomplishment Instructions of Airbus (2) For service information identified in Service Bulletin A320–53–1265, Revision 02, this AD, contact Airbus, Airworthiness Air transportation, Aircraft, Aviation dated July 10, 2014. Office—EIAS, 1 Rond Point Maurice safety, Incorporation by reference, (h) Credit for Previous Actions Bellonte, 31707 Blagnac Cedex, France; Safety. telephone +33 5 61 93 36 96; fax +33 5 61 This paragraph provides credit for the 93 44 51; email account.airworth-eas@ The Proposed Amendment actions required by paragraph (g) of this AD, airbus.com; Internet http://www.airbus.com. if those actions were performed before the You may view this referenced service Accordingly, under the authority effective date of this AD using Airbus Service information at the FAA, Transport Airplane delegated to me by the Administrator, Bulletin A320–53–1265, dated January 2, Directorate, 1601 Lind Avenue SW., Renton, the FAA proposes to amend 14 CFR part 2013; or Airbus Service Bulletin A320–53– WA. You may view this service information 39 as follows: 1265, Revision 01, dated July 2, 2013; which at the FAA, Transport Airplane Directorate, are not incorporated by reference in this AD. 1601 Lind Avenue SW., Renton, WA. For PART 39–AIRWORTHINESS (i) Other FAA AD Provisions information on the availability of this material at the FAA, call 425–227–1221. DIRECTIVES The following provisions also apply to this AD: Issued in Renton, Washington, on January ■ 1. The authority citation for part 39 (1) Alternative Methods of Compliance 5, 2016. continues to read as follows: (AMOCs): The Manager, International Victor Wicklund, Branch, ANM–116, Transport Airplane Authority: 49 U.S.C. 106(g), 40113, 44701. Acting Manager, Transport Airplane Directorate, FAA, has the authority to Directorate, Aircraft Certification Service. § 39.13 [Amended] approve AMOCs for this AD, if requested using the procedures found in 14 CFR 39.19. [FR Doc. 2016–00699 Filed 1–19–16; 8:45 am] ■ 2. The FAA amends § 39.13 by adding In accordance with 14 CFR 39.19, send your BILLING CODE 4910–13–P the following new airworthiness request to your principal inspector or local directive (AD): Flight Standards District Office, as appropriate. If sending information directly DEPARTMENT OF TRANSPORTATION Airbus: Docket No. FAA–2014–0922; to the International Branch, send it to ATTN: Directorate Identifier 2014–NM–156–AD. Sanjay Ralhan, Aerospace Engineer, Federal Aviation Administration (a) Comments Due Date International Branch, ANM–116, Transport Airplane Directorate, FAA, 1601 Lind 14 CFR Part 39 We must receive comments by March 7, Avenue SW., Renton, WA 98057–3356; 2016. telephone 425–227–1405; fax 425–227–1149. [Docket No. FAA–2015–8469; Directorate (b) Affected ADs Information may be emailed to: 9-ANM-116- Identifier 2014–NM–105–AD] [email protected]. Before using None. RIN 2120–AA64 any approved AMOC, notify your appropriate (c) Applicability principal inspector, or lacking a principal Airworthiness Directives; Fokker inspector, the manager of the local flight This AD applies to the Airbus airplanes Services B.V. Airplanes identified in paragraphs (c)(1) and (c)(2) of standards district office/certificate holding this AD, certificated in any category, except district office. The AMOC approval letter AGENCY: Federal Aviation those on which Airbus modification (mod) must specifically reference this AD. Administration (FAA), DOT. (2) Contacting the Manufacturer: For any 152637 has been embodied in production. ACTION: Notice of proposed rulemaking (1) Airbus Model A319–111, –112, –113, requirement in this AD to obtain corrective –114, –115, –131, –132, and –133 airplanes, actions from a manufacturer, the action must (NPRM). all manufacturer serial numbers (MSN). be accomplished using a method approved SUMMARY: We propose to adopt a new (2) Airbus Model A320–211, –212, –214, by the Manager, International Branch, ANM– –231, –232, and –233 airplanes, all 116, Transport Airplane Directorate, FAA; or airworthiness directive (AD) for all manufacturer serial numbers (MSN). the European Aviation Safety Agency Fokker Services B.V. Model F.28 Mark (EASA); or Airbus’s EASA Design 1000, 2000, 3000, and 4000 airplanes. (d) Subject Organization Approval (DOA). If approved by This proposed AD was prompted by a Air Transport Association (ATA) of the DOA, the approval must include the design review that revealed insufficient America Code 53, Fuselage. DOA-authorized signature. measures were taken to ensure the (3) Required for Compliance (RC): If any (e) Reason service information contains procedures or correct locking of the attachments of the This AD was prompted by a report that tests that are identified as RC, those fuel quantity tank units (FQTUs) in each fatigue cracking could appear at certain procedures and tests must be done to comply wing tank. When an FQTU becomes fastener locations in the longeron area below with this AD; any procedures or tests that are loose, this could lead to insufficient the emergency exit cut-outs. We are issuing not identified as RC are recommended. Those clearance between the FQTU and the this AD to detect and correct cracking at procedures and tests that are not identified adjacent tank structure or other metal certain fastener locations in the longeron area as RC may be deviated from using accepted parts, and under certain conditions, below the emergency exit cut-outs, which methods in accordance with the operator’s create an ignition source inside the wing could lead to failure of the fasteners and maintenance or inspection program without fuel vapor space. This proposed AD reduced structural integrity of the airplane. obtaining approval of an AMOC, provided the procedures and tests identified as RC can would require modifying the FQTUs by (f) Compliance be done and the airplane can be put back in applying sealant to cover the nuts, Comply with this AD within the an airworthy condition. Any substitutions or washers, and stud ends at the FQTU compliance times specified, unless already changes to procedures or tests identified as attachments in each main wing tank. done. RC require approval of an AMOC. This proposed AD would also require

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revising the maintenance or inspection 1601 Lind Avenue SW., Renton, WA inspection program, as applicable to program, as applicable, by incorporating 98057–3356; telephone 425–227–1137; incorporate a fuel airworthiness limitation a fuel airworthiness limitation item and fax 425–227–1149. item and a CDCCL]. More information on this subject can be found in Fokker Services All a critical design configuration control SUPPLEMENTARY INFORMATION: Operators Message AOF28.038#02. limitation (CDCCL). We are proposing this AD to prevent an ignition source in Comments Invited You may examine the MCAI in the the wing fuel tank vapor space, which We invite you to send any written AD docket on the Internet at http:// could result in a wing fuel tank relevant data, views, or arguments about www.regulations.gov by searching for explosion and consequent loss of the this proposed AD. Send your comments and locating Docket No. FAA–2015– airplane. to an address listed under the 8469. The FAA has examined the ADDRESSES section. Include ‘‘Docket No. DATES: We must receive comments on underlying safety issues involved in fuel this proposed AD by March 7, 2016. FAA–2015–8469; Directorate Identifier 2014–NM–105–AD’’ at the beginning of tank explosions on several large ADDRESSES: You may send comments, your comments. We specifically invite transport airplanes, including the using the procedures found in 14 CFR adequacy of existing regulations, the comments on the overall regulatory, 11.43 and 11.45, by any of the following service history of airplanes subject to economic, environmental, and energy methods: those regulations, and existing aspects of this proposed AD. We will • Federal eRulemaking Portal: Go to maintenance practices for fuel tank consider all comments received by the http://www.regulations.gov. Follow the systems. As a result of those findings, closing date and may amend this instructions for submitting comments. we issued a regulation titled ‘‘Transport proposed AD based on those comments. • Fax: 202–493–2251. Airplane Fuel Tank System Design We will post all comments we • Mail: U.S. Department of Review, Flammability Reduction and receive, without change, to http:// Transportation, Docket Operations, M– Maintenance and Inspection www.regulations.gov, including any 30, West Building Ground Floor, Room Requirements’’ (66 FR 23086, May 7, personal information you provide. We W12–140, 1200 New Jersey Avenue SE., 2001). In addition to new airworthiness will also post a report summarizing each Washington, DC 20590. standards for transport airplanes and • Hand Delivery: U.S. Department of substantive verbal contact we receive new maintenance requirements, this Transportation, Docket Operations, M– about this proposed AD. rule included Special Federal Aviation 30, West Building Ground Floor, Room Discussion Regulation No. 88 (‘‘SFAR 88,’’ W12–140, 1200 New Jersey Avenue SE., Amendment 21–78, and subsequent The European Aviation Safety Agency Washington, DC, between 9 a.m. and 5 Amendments 21–82 and 21–83). p.m., Monday through Friday, except (EASA), which is the Technical Agent Among other actions, SFAR 88 (66 FR Federal holidays. for the Member States of the European 23086, May 7, 2001) requires certain For service information identified in Union, has issued EASA Airworthiness type design (i.e., type certificate (TC) this proposed AD, contact Fokker Directive 2014–0106, dated May 7, 2014 and supplemental type certificate (STC)) Services B.V., Technical Services Dept., (referred to after this the Mandatory holders to substantiate that their fuel P.O. Box 1357, 2130 EL Hoofddorp, the Continuing Airworthiness Information, tank systems can prevent ignition Netherlands; telephone +31 (0)88–6280– or ‘‘the MCAI’’), to correct an unsafe sources in the fuel tanks. This 350; fax +31 (0)88–6280–111; email condition for all Fokker Services B.V. requirement applies to type design [email protected]; Internet Model F.28 Mark 1000, 2000, 3000, and holders for large turbine-powered http://www.myfokkerfleet.com. You may 4000 airplanes. The MCAI states: transport airplanes and for subsequent view this referenced service information Prompted by an accident . . ., the Federal modifications to those airplanes. It at the FAA, Transport Airplane Aviation Administration (FAA) published requires them to perform design reviews Directorate, 1601 Lind Avenue SW., Special Federal Aviation Regulation (SFAR) and to develop design changes and Renton, WA. For information on the 88 [(66 FR 23086, May 7, 2001)], and the maintenance procedures if their designs availability of this material at the FAA, Joint Aviation Authorities (JAA) published Interim Policy INT/POL/25/12. do not meet the new fuel tank safety call 425–227–1221. The review conducted by Fokker Services standards. As explained in the preamble Examining the AD Docket on the Fokker F28 design, in response to to the rule, we intended to adopt these regulations, revealed that insufficient airworthiness directives to mandate any You may examine the AD docket on measures were taken to ensure the correct changes found necessary to address the Internet at http:// locking of the attachments of the Fuel unsafe conditions identified as a result www.regulations.gov by searching for Quantity Tank Units (FQTUs). When a FQTU of these reviews. and locating Docket No. FAA–2015– becomes loose, this could lead to insufficient In evaluating these design reviews, we 8469; or in person at the Docket clearance between the FQTU and the have established four criteria intended Operations office between 9 a.m. and 5 adjacent tank structure or other metal parts to define the unsafe conditions and, under certain conditions, create an p.m., Monday through Friday, except associated with fuel tank systems that Federal holidays. The AD docket ignition source inside the wing fuel tank vapour space. require corrective actions. The contains this proposed AD, the This condition, if not detected and percentage of operating time during regulatory evaluation, any comments corrected, could result in a wing fuel tank which fuel tanks are exposed to received, and other information. The explosion and consequent loss of the flammable conditions is one of these street address for the Docket Operations aeroplane. criteria. The other three criteria address office (telephone 800–647–5527) is in To address this potential unsafe condition, the failure types under evaluation: the ADDRESSES section. Comments will Fokker Services developed a modification to Single failures, single failures in be available in the AD docket shortly ensure that each FQTU remains properly combination with a latent condition(s), after receipt. attached. For the reasons described above, this and in-service failure experience. For all FOR FURTHER INFORMATION CONTACT: Tom [EASA] AD requires the application of four criteria, the evaluations included Rodriguez, Aerospace Engineer, sealant covering the nuts, washers and stud consideration of previous actions taken International Branch, ANM–116, ends at the FQTU attachment in each wing that may mitigate the need for further Transport Airplane Directorate, FAA, tank [and a revision to the maintenance or action.

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The Joint Aviation Authorities (JAA) Manual Change Notification MCNM– information and determined an unsafe has issued a regulation that is similar to F28–037, Revision 1, dated January 9, condition exists and is likely to exist or SFAR 88 (66 FR 23086, May 7, 2001). 2014. The service information describes develop on other products of these same (The JAA is an associated body of the procedures for applying sealant to the type designs. European Civil Aviation Conference attachment nuts, washers, and stud ends This AD requires revisions to certain (ECAC) representing the civil aviation of the FQTU. operator maintenance documents to regulatory authorities of a number of Fokker Services B.V. has also issued include new actions (e.g., inspections) European States who have agreed to co- Fokker Service Bulletin SBF28–28–050, and/or CDCCLs. Compliance with these operate in developing and Revision 3, dated December 11, 2014. actions and/or CDCCLs is required by 14 implementing common safety regulatory The service information describes the CFR 91.403(c). For airplanes that have standards and procedures.) Under this fuel airworthiness limitation item and been previously modified, altered, or regulation, the JAA stated that all the CDCCL. repaired in the areas addressed by this This service information is reasonably members of the ECAC that hold type AD, the operator may not be able to available because the interested parties certificates for transport category accomplish the actions described in the have access to it through their normal airplanes are required to conduct a revisions. In this situation, to comply course of business or by the means design review against explosion risks. with 14 CFR 91.403(c), the operator identified in the ADDRESSES section. We have determined that the actions must request approval for an alternative identified in this AD are necessary to FAA’s Determination and Requirements method of compliance according to reduce the potential of ignition sources of This Proposed AD paragraph (k)(1) of this proposed AD. inside fuel tanks, which, in combination This product has been approved by The request should include a with flammable fuel vapors, could result the aviation authority of another description of changes to the required in fuel tank explosions and consequent country, and is approved for operation actions that will ensure the continued loss of the airplane. in the United States. Pursuant to our operational safety of the airplane. Related Service Information Under 1 bilateral agreement with the State of Costs of Compliance CFR Part 51 Design Authority, we have been notified of the unsafe condition described in the We estimate that this proposed AD Fokker Services B.V. has issued MCAI and service information affects 5 airplanes of U.S. registry. Fokker Service Bulletin SBF28–28–054, referenced above. We are proposing this We estimate the following costs to Revision 1, which includes Fokker AD because we evaluated all pertinent comply with this proposed AD:

ESTIMATED COSTS

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

Modification and maintenance program revi- 7 work-hours × $85 per hour = $595 ...... $0 $595 $2,975 sion.

Authority for This Rulemaking proposed AD would not have a the FAA proposes to amend 14 CFR part Title 49 of the United States Code substantial direct effect on the States, on 39 as follows: specifies the FAA’s authority to issue the relationship between the national Government and the States, or on the PART 39—AIRWORTHINESS rules on aviation safety. Subtitle I, DIRECTIVES section 106, describes the authority of distribution of power and the FAA Administrator. ‘‘Subtitle VII: responsibilities among the various ■ 1. The authority citation for part 39 Aviation Programs,’’ describes in more levels of government. For the reasons discussed above, I continues to read as follows: detail the scope of the Agency’s certify this proposed regulation: Authority: 49 U.S.C. 106(g), 40113, 44701. authority. 1. Is not a ‘‘significant regulatory We are issuing this rulemaking under action’’ under Executive Order 12866; § 39.13 [Amended] the authority described in ‘‘Subtitle VII, 2. Is not a ‘‘significant rule’’ under the ■ Part A, Subpart III, Section 44701: DOT Regulatory Policies and Procedures 2. The FAA amends § 39.13 by adding General requirements.’’ Under that (44 FR 11034, February 26, 1979); the following new airworthiness section, Congress charges the FAA with 3. Will not affect intrastate aviation in directive (AD): promoting safe flight of civil aircraft in Alaska; and Fokker Services B.V.: Docket No. FAA– air commerce by prescribing regulations 4. Will not have a significant 2015–8469; Directorate Identifier 2014– for practices, methods, and procedures economic impact, positive or negative, NM–105–AD. the Administrator finds necessary for on a substantial number of small entities (a) Comments Due Date safety in air commerce. This regulation under the criteria of the Regulatory is within the scope of that authority Flexibility Act. We must receive comments by March 7, because it addresses an unsafe condition 2016. List of Subjects in 14 CFR Part 39 that is likely to exist or develop on (b) Affected ADs products identified in this rulemaking Air transportation, Aircraft, Aviation None. action. safety, Incorporation by reference, (c) Applicability Regulatory Findings Safety. The Proposed Amendment This AD applies to Fokker Services B.V. We determined that this proposed AD Model F.28 Mark 1000, 2000, 3000, and 4000 would not have federalism implications Accordingly, under the authority airplanes, certificated in any category, all under Executive Order 13132. This delegated to me by the Administrator, serial numbers.

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(d) Subject (i) No Alternative Actions, Intervals, and Airplane Directorate, 1601 Lind Avenue SW., Air Transport Association (ATA) of CDCCLs Renton, WA. For information on the availability of this material at the FAA, call America Code 28, Fuel. After accomplishing the revision required by paragraph (h) of this AD, no alternative 425–227–1221. (e) Reason actions (e.g., inspections), intervals, or Issued in Renton, Washington, on January This AD was prompted by a design review CDCCLs may be used unless the actions, 6, 2016. intervals, or CDCCLs are approved as an that revealed insufficient measures were Victor Wicklund, taken to ensure the correct locking of the alternative method of compliance (AMOC) in accordance with the procedures specified in Acting Manager, Transport Airplane attachments of the fuel quantity tank units Directorate, Aircraft Certification Service. (FQTUs) in each wing tank. When an FQTU paragraph (k)(1) of this AD. [FR Doc. 2016–00637 Filed 1–19–16; 8:45 am] becomes loose, this could lead to insufficient (j) Credit for Previous Actions BILLING CODE 4910–13–P clearance between the FQTU and the This paragraph provides credit for actions adjacent tank structure or other metal parts, required by paragraph (g) of this AD, if those and under certain conditions, create an actions were performed before the effective DEPARTMENT OF TRANSPORTATION ignition source inside the wing fuel vapor date of this AD using Fokker Service Bulletin space. We are issuing this AD to prevent an SBF28–28–054, dated June 30, 2010, which Federal Aviation Administration ignition source in the wing fuel tank vapor is not incorporated by reference in this AD. space, which could result in a wing fuel tank explosion and consequent loss of the (k) Other FAA AD Provisions 14 CFR Part 39 airplane. The following provisions also apply to this [Docket No. FAA–2015–8466; Directorate AD: Identifier 2015–NM–045–AD] (f) Compliance (1) Alternative Methods of Compliance Comply with this AD within the (AMOCs): The Manager, International RIN 2120–AA64 compliance times specified, unless already Branch, ANM–116, Transport Airplane done. Directorate, FAA, has the authority to Airworthiness Directives; Fokker approve AMOCs for this AD, if requested Services B.V. Airplanes (g) Modification of the FQTUs using the procedures found in 14 CFR 39.19. AGENCY: At the next scheduled opening of the fuel In accordance with 14 CFR 39.19, send your Federal Aviation tanks after the effective date of this AD, but request to your principal inspector or local Administration (FAA), DOT. no later than 84 months after the effective Flight Standards District Office, as ACTION: Notice of proposed rulemaking date of this AD, modify the FQTU in each appropriate. If sending information directly (NPRM). to the International Branch, send it to ATTN: main wing tank by applying sealant to cover Tom Rodriguez, Aerospace Engineer, the nuts, washers, and stud ends of the FQTU SUMMARY: We propose to adopt a new International Branch, ANM–116, Transport airworthiness directive (AD) for all attachments, and do an inspection for leakage Airplane Directorate, FAA, 1601 Lind of the tank access panels, in accordance with Fokker Services B.V. Model F.28 Mark Avenue SW., Renton, WA 98057–3356; 0070 and 0100 airplanes. This proposed the Accomplishment Instructions of Fokker telephone 425–227–1137; fax 425–227–1149. Service Bulletin SBF28–28–054, Revision 1, AD was prompted by the need for more Information may be emailed to: 9-ANM-116- restrictive fuel airworthiness including Fokker Manual Change [email protected]. Before using Notification MCNM–F28–037, Revision 1, any approved AMOC, notify your appropriate limitations. This proposed AD would dated January 9, 2014. If any fuel leakage is principal inspector, or lacking a principal require revising the maintenance found, before further flight, reapply the inspector, the manager of the local flight program or inspection program, as sealant, in accordance with the standards district office/certificate holding applicable, to incorporate certain fuel Accomplishment Instructions of Fokker district office. The AMOC approval letter system airworthiness limitations. We Service Bulletin SBF28–28–054, Revision 1, must specifically reference this AD. are proposing this AD to reduce the including Fokker Manual Change (2) Contacting the Manufacturer: For any potential of ignition sources inside fuel Notification MCNM–F28–037, Revision 1, requirement in this AD to obtain corrective tanks, which, in combination with dated January 9, 2014. actions from a manufacturer, the action must flammable fuel vapors, could result in be accomplished using a method approved fuel tank explosions and consequent (h) Revision of Maintenance or Inspection by the Manager, International Branch, ANM– Program 116, Transport Airplane Directorate, FAA; or loss of the airplane. Before further flight after completing the the European Aviation Safety Agency DATES: We must receive comments on modification specified in paragraph (g) of (EASA); or Fokker B.V. Service’s EASA this proposed AD by March 7, 2016. this AD, or within 30 days after the effective Design Organization Approval (DOA). If ADDRESSES: You may send comments, date of this AD, whichever occurs later: approved by the DOA, the approval must using the procedures found in 14 CFR Revise the airplane maintenance or include the DOA-authorized signature. 11.43 and 11.45, by any of the following inspection program, as applicable, by (l) Related Information methods: incorporating the fuel airworthiness • Federal eRulemaking Portal: Go to limitation item and critical design (1) Refer to Mandatory Continuing Airworthiness Information (MCAI) EASA http://www.regulations.gov. Follow the configuration control limitation (CDCCL) Airworthiness Directive 2014–0106, dated instructions for submitting comments. specified in paragraph 1.L.(1)(c) of Fokker May 7, 2014, for related information. This • Fax: 202–493–2251. Service Bulletin SBF28–28–054, Revision 1, MCAI may be found in the AD docket on the • Mail: U.S. Department of dated January 9, 2014. The initial compliance Internet at http://www.regulations.gov. by Transportation, Docket Operations, M– times for these tasks are at the latest of the searching for and locating Docket No. FAA– 30, West Building Ground Floor, Room times specified in paragraphs (h)(1), (h)(2), 2015–8469. W12–140, 1200 New Jersey Avenue SE., and (h)(3) of this AD. (2) For service information identified in Washington, DC 20590. (1) At the applicable time specified in this AD, contact Fokker Services B.V., • Fokker Service Bulletin SBF28–28–050, Hand Delivery: U.S. Department of Technical Services Dept., P.O. Box 1357, Transportation, Docket Operations, M– Revision 3, dated December 11, 2014. 2130 EL Hoofddorp, the Netherlands; (2) Before further flight after completing telephone +31 (0)88–6280–350; fax +31 30, West Building Ground Floor, Room the modification specified in paragraph (g) of (0)88–6280–111; email technicalservices@ W12–140, 1200 New Jersey Avenue SE., this AD. fokker.com; Internet http:// Washington, DC, between 9 a.m. and 5 (3) Within 30 days after the effective date www.myfokkerfleet.com. You may view this p.m., Monday through Friday, except of this AD. service information at the FAA, Transport Federal holidays.

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For service information identified in Directive 2015–0032, dated February 24, referenced above. We are proposing this this proposed AD, contact Fokker 2015 (referred to after this as the AD because we evaluated all pertinent Services B.V., Technical Services Dept., Mandatory Continuing Airworthiness information and determined an unsafe P.O. Box 1357, 2130 EL Hoofddorp, the Information, or ‘‘the MCAI’’), to correct condition exists and is likely to exist or Netherlands; telephone +31 (0)88–6280– an unsafe condition for all Fokker develop on other products of these same 350; fax +31 (0)88–6280–111; email Services B.V. Model F.28 Mark 0070 type designs. [email protected]; Internet and 0100 airplanes. The MCAI states: This AD requires revisions to certain http://www.myfokkerfleet.com. You may Fokker Services published issue 5 of operator maintenance documents to view this referenced service information Engineering Report SE–672, containing Fuel include new actions (e.g., inspections) at the FAA, Transport Airplane Airworthiness Limitation Items (ALIs) and and/or CDCCLs. Compliance with these Directorate, 1601 Lind Avenue SW., Critical Design Configuration Control actions and/or CDCCLs is required by 14 Renton, WA. For information on the Limitations (CDCCLs). This report is Part 3 of CFR 91.403(c). For airplanes that have availability of this material at the FAA, the Airworthiness Limitations Section (ALS been previously modified, altered, or call 425–227–1221. Part 3) of the Instructions for Continued repaired in the areas addressed by this Airworthiness, referred to in Section 06, Examining the AD Docket Appendix 1, of the Fokker 70/100 AD, the operator may not be able to Maintenance Review Board (MRB) document. accomplish the actions described in the You may examine the AD docket on The complete ALS currently consists of: revisions. In this situation, to comply the Internet at http:// Part 1—Report SE–473, Certification with 14 CFR 91.403(c), the operator www.regulations.gov by searching for Maintenance Requirements (CMRs), Part 2— must request approval for an alternative and locating Docket No. FAA–2015– Report SE–623, ALIs and Safe Life Items method of compliance according to 8466; or in person at the Docket (SLIs), and Part 3—Report SE–672, Fuel ALIs paragraph (i)(1) of this AD. The request Management Facility between 9 a.m. and CDCCLs. The instructions contained in those reports should include a description of changes and 5 p.m., Monday through Friday, to the required inspections that will except Federal holidays. The AD docket have been identified as mandatory actions for continued airworthiness. ensure the continued operational safety contains this proposed AD, the For the reasons described above, this of the airplane. regulatory evaluation, any comments [EASA] AD requires implementation of the received, and other information. The maintenance actions as specified in ALS Part Differences Between This Proposed AD street address for the Docket Operations 3 of the Instructions for Continued and the MCAI or Service Information office (telephone 800–647–5527) is in Airworthiness, Fokker Services Engineering The MCAI specifies that if there are the ADDRESSES section. Comments will Report SE–672 at issue 5. findings from the ALS inspection tasks, be available in the AD docket shortly We have determined that the actions corrective actions must be accomplished after receipt. identified in this AD are necessary to in accordance with Fokker Services FOR FURTHER INFORMATION CONTACT: Tom reduce the potential of structural maintenance documentation. However, Rodriguez, Aerospace Engineer, failures or of ignition sources inside fuel this AD does not include that International Branch, ANM–116, tanks, which, in combination with requirement. Operators of U.S.- Transport Airplane Directorate, FAA, flammable fuel vapors, could result in registered airplanes are required by 1601 Lind Avenue SW., Renton, WA fuel tank explosions and consequent general airworthiness and operational 98057–3356; telephone 425–227–1137; loss of the airplane. You may examine regulations to perform maintenance fax 425–227–1149. the MCAI in the AD docket on the using methods that are acceptable to the SUPPLEMENTARY INFORMATION: Internet at http://www.regulations.gov FAA. We consider those methods to be by searching for and locating Docket No. adequate to address any corrective Comments Invited FAA–2015–8466. actions necessitated by the findings of We invite you to send any written ALS inspections required by this AD. relevant data, views, or arguments about Related Service Information Under 1 this proposed AD. Send your comments CFR Part 51 Costs of Compliance to an address listed under the Fokker Services B.V. has issued We estimate that this proposed AD ADDRESSES section. Include ‘‘Docket No. Fokker Services B.V. Engineering Report affects 8 airplanes of U.S. registry. FAA–2015–8466; Directorate Identifier SE–672, Fokker 70/100 Fuel ALI’s and We also estimate that it would take 2015–NM–045–AD’’ at the beginning of CDCCL’s, Issue 5, released December 11, about 1 work-hour per product to your comments. We specifically invite 2014. The service information describes comply with the basic requirements of comments on the overall regulatory, fuel airworthiness limitation items and this proposed AD. The average labor economic, environmental, and energy critical design configuration control rate is $85 per work-hour. Based on aspects of this proposed AD. We will limitations. This service information is these figures, we estimate the cost of consider all comments received by the reasonably available because the this proposed AD on U.S. operators to closing date and may amend this interested parties have access to it be $680, or $85 per product. proposed AD based on those comments. through their normal course of business We will post all comments we or by the means identified in the Authority for This Rulemaking receive, without change, to http:// ADDRESSES section. Title 49 of the United States Code www.regulations.gov, including any specifies the FAA’s authority to issue FAA’s Determination and Requirements personal information you provide. We rules on aviation safety. Subtitle I, of This Proposed AD will also post a report summarizing each section 106, describes the authority of substantive verbal contact we receive This product has been approved by the FAA Administrator. ‘‘Subtitle VII: about this proposed AD. the aviation authority of another Aviation Programs,’’ describes in more country, and is approved for operation detail the scope of the Agency’s Discussion in the United States. Pursuant to our authority. The European Aviation Safety Agency bilateral agreement with the State of We are issuing this rulemaking under (EASA), which is the Technical Agent Design Authority, we have been notified the authority described in ‘‘Subtitle VII, for the Member States of the European of the unsafe condition described in the Part A, Subpart III, Section 44701: Union, has issued EASA Airworthiness MCAI and service information General requirements.’’ Under that

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section, Congress charges the FAA with (c) Applicability Airplane Directorate, FAA, 1601 Lind promoting safe flight of civil aircraft in This AD applies to Fokker Services B.V. Avenue SW., Renton, WA 98057–3356; air commerce by prescribing regulations Model F.28 Mark 0070 and 0100 airplanes, telephone 425–227–1137; fax 425–227–1149. for practices, methods, and procedures certificated in any category, all serial Information may be emailed to: 9-ANM-116- numbers. [email protected]. Before using the Administrator finds necessary for any approved AMOC, notify your appropriate safety in air commerce. This regulation (d) Subject principal inspector, or lacking a principal is within the scope of that authority Air Transport Association (ATA) of inspector, the manager of the local flight because it addresses an unsafe condition America Code 05, Time Limits/Maintenance standards district office/certificate holding that is likely to exist or develop on Checks. district office. The AMOC approval letter must specifically reference this AD. products identified in this rulemaking (e) Reason action. (2) Contacting the Manufacturer: For any This AD was prompted by the need for requirement in this AD to obtain corrective Regulatory Findings more restrictive fuel airworthiness actions from a manufacturer, the action must limitations. We are issuing this AD to reduce We determined that this proposed AD be accomplished using a method approved the potential of ignition sources inside fuel by the Manager, International Branch, ANM– would not have federalism implications tanks, which, in combination with flammable 116, Transport Airplane Directorate, FAA; or under Executive Order 13132. This fuel vapors, could result in fuel tank the EASA; or Fokker Services B.V.’s EASA proposed AD would not have a explosions and consequent loss of the DOA. If approved by the DOA, the approval substantial direct effect on the States, on airplane. must include the DOA-authorized signature. the relationship between the national (f) Compliance (j) Related Information Government and the States, or on the distribution of power and Comply with this AD within the (1) Refer to MCAI EASA Airworthiness compliance times specified, unless already responsibilities among the various Directive 2015–0032, dated February 24, done. 2015, for related information. This MCAI levels of government. (g) Maintenance Program Revision may be found in the AD docket on the For the reasons discussed above, I Internet at http://www.regulations.gov by certify this proposed regulation: (1) Within 12 months after the effective searching for and locating Docket No. FAA– 1. Is not a ‘‘significant regulatory date of this AD, revise the maintenance or 2015–8466. action’’ under Executive Order 12866; inspection program, as applicable, to (2) For service information identified in 2. Is not a ‘‘significant rule’’ under the incorporate the fuel airworthiness limitation this AD, contact Fokker Services B.V., DOT Regulatory Policies and Procedures items (ALIs) and critical design configuration Technical Services Dept., P.O. Box 1357, control limitations (CDCCLs) specified in 2130 EL Hoofddorp, the Netherlands; (44 FR 11034, February 26, 1979); Fokker Services B.V. Engineering Report SE– 3. Will not affect intrastate aviation in telephone +31 (0)88–6280–350; fax +31 672, Fokker 70/100 Fuel ALI’s and CDCCL’s, (0)88–6280–111; email technicalservices@ Alaska; and Issue 5, released December 11, 2014. fokker.com; Internet http:// 4. Will not have a significant (2) The initial compliance times and www.myfokkerfleet.com. You may view this repetitive intervals for the actions are at the economic impact, positive or negative, service information at the FAA, Transport applicable times specified within Fokker on a substantial number of small entities Airplane Directorate, 1601 Lind Avenue SW., Services B.V. Engineering Report SE–672, under the criteria of the Regulatory Renton, WA. For information on the Fokker 70/100 Fuel ALI’s and CDCCL’s, Issue Flexibility Act. availability of this material at the FAA, call 5, released December 11, 2014. If any 425–227–1221. List of Subjects in 14 CFR Part 39 discrepancy is found, repair using a method approved by the Manager, International Issued in Renton, Washington, on January Air transportation, Aircraft, Aviation Branch, ANM–116, Transport Airplane 5, 2016. safety, Incorporation by reference, Directorate, FAA; or the European Aviation Victor Wicklund, Safety. Safety Agency; or Fokker B.V. Service’s Acting Manager, Transport Airplane EASA Design Organization Approval (DOA). Directorate, Aircraft Certification Service. The Proposed Amendment Repair any discrepancy before further flight. Accordingly, under the authority [FR Doc. 2016–00633 Filed 1–19–16; 8:45 am] (h) No Alternative Inspections, Inspection BILLING CODE 4910–13–P delegated to me by the Administrator, Intervals, or CDCCLs the FAA proposes to amend 14 CFR part 39 as follows: After accomplishment of the actions specified in paragraph (g) of this AD, no DEPARTMENT OF TRANSPORTATION PART 39—AIRWORTHINESS alternative inspections, inspection intervals, or CDCCLs may be used unless the Federal Aviation Administration DIRECTIVES inspections, intervals, or CDCCLs are approved as an AMOC in accordance with ■ 14 CFR Part 39 1. The authority citation for part 39 the procedures specified in paragraph (i)(1) continues to read as follows: of this AD. [Docket No. FAA–2015–8463; Directorate Authority: 49 U.S.C. 106(g), 40113, 44701. (i) Other FAA AD Provisions Identifier 2014–NM–226–AD] § 39.13 [Amended] The following provisions also apply to this RIN 2120–AA64 ■ 2. The FAA amends § 39.13 by adding AD: (1) Alternative Methods of Compliance the following new airworthiness Airworthiness Directives; Airbus (AMOCs): The Manager, International Airplanes directive (AD): Branch, ANM–116, Transport Airplane Fokker Services B.V.: Docket No. FAA– Directorate, FAA, has the authority to AGENCY: Federal Aviation 2015–8466; Directorate Identifier 2015– approve AMOCs for this AD, if requested Administration (FAA), DOT. NM–045–AD. using the procedures found in 14 CFR 39.19. In accordance with 14 CFR 39.19, send your ACTION: Notice of proposed rulemaking (a) Comments Due Date request to your principal inspector or local (NPRM). We must receive comments by March 7, Flight Standards District Office, as SUMMARY: 2016. appropriate. If sending information directly We propose to supersede to the International Branch, send it to ATTN: Airworthiness Directive (AD) 2013–20– (b) Affected ADs Tom Rodriguez, Aerospace Engineer, 11, for all Airbus Model A318, A319, None. International Branch, ANM–116, Transport A320, and A321 series airplanes. AD

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2013–20–11 currently requires Management Facility between 9 a.m. min) passenger emergency oxygen container modifying the passenger emergency and 5 p.m., Monday through Friday, assemblies, may become detached by extreme oxygen container assembly. Since we except Federal holidays. The AD docket pulling of the mask tube at the end of oxygen issued AD 2013–20–11, we have contains this proposed AD, the supply. Investigations revealed that such detachment can be caused by the increase in determined that the unsafe condition regulatory evaluation, any comments temperature towards the end of the generator also affects oxygen containers labeled received, and other information. The operation, which may weaken the plastic ‘‘DAe Systems.’’ This proposed AD street address for the Docket Operations housing in the attachment area of the bracket. would expand the affected group of office (telephone: 800–647–5527) is in This condition, if not corrected, could oxygen containers to include those the ADDRESSES section. Comments will make the rivets slip through the plastic labeled ‘‘DAe Systems.’’ We are be available in the AD docket shortly housing, causing a ‘hot’ oxygen generator and proposing this AD to prevent a high after receipt. mask to fall down, possibly resulting in injury to passengers. temperature oxygen generator and mask FOR FURTHER INFORMATION CONTACT: from falling down and possibly To address this potential unsafe condition, Sanjay Ralhan, Aerospace Engineer, EASA issued AD 2012–0055 (later revised) resulting in an ignition source in the International Branch, ANM–116, [http://ad.easa.europa.eu/blob/easa_ad_ passenger compartment, injury to Transport Airplane Directorate, FAA, 2012_0055_R1_superseded.pdf/AD_2012- passengers, and reduced availability of 1601 Lind Avenue SW., Renton, WA 0055R1_1] [which corresponds to FAA AD supplemental oxygen. 98057–3356; telephone: 425–227–1405; 2013–20–11, Amendment 39–17617 (78 FR DATES: We must receive comments on fax: 425–227–1149. 64162, October 28, 2013)] to require modification of the affected oxygen container this proposed AD by March 7, 2016. SUPPLEMENTARY INFORMATION: assemblies. That [EASA] AD also prohibited ADDRESSES: You may send comments by Comments Invited installation of unmodified containers on any any of the following methods: aeroplane as replacement parts. • Federal eRulemaking Portal: Go to We invite you to send any written Since that [EASA] AD was issued, it was http://www.regulations.gov. Follow the relevant data, views, or arguments about found that the affected containers have not instructions for submitting comments. this proposed AD. Send your comments only been marked with company name B/E • Fax: 202–493–2251. to an address listed under the Aerospace, as was specified, but also, for a • Mail: U.S. Department of ADDRESSES section. Include ‘‘Docket No. brief period, with the former company name Transportation, Docket Operations, M– FAA–2015–8463; Directorate Identifier DAe Systems. 30, West Building Ground Floor, Room 2014–NM–226–AD’’ at the beginning of For the reason described above, this your comments. We specifically invite [EASA] AD retains the requirements of EASA W12–140, 1200 New Jersey Avenue SE., AD 2012–0055R1, which is superseded, and Washington, DC 20590. comments on the overall regulatory, expands the affected group of containers to • Hand Delivery: U.S. Department of economic, environmental, and energy include those that have the name ‘‘DAe Transportation, Docket Operations, M– aspects of this proposed AD. We will Systems’’ on the identification plate. 30, West Building Ground Floor, Room consider all comments received by the This [EASA] AD also clearly separates the W12–140, 1200 New Jersey Avenue SE., closing date and may amend this serial number (s/n) groups of containers into Washington, DC, between 9 a.m. and 5 proposed AD based on those comments. those manufactured by B/E Aerospace and p.m., Monday through Friday, except We will post all comments we those manufactured by DAe Systems, for Federal holidays. receive, without change, to http:// which additional compliance time is provided. For Airbus service information www.regulations.gov, including any identified in this proposed AD, contact personal information you provide. We You may examine the MCAI in the Airbus, Airworthiness Office—EIAS, 1 will also post a report summarizing each AD docket on the Internet at http:// Rond Point Maurice Bellonte, 31707 substantive verbal contact we receive www.regulations.gov by searching for Blagnac Cedex, France; telephone: +33 5 about this proposed AD. and locating Docket No. FAA–2015– 8463. 61 93 36 96; fax: +33 5 61 93 44 51; Discussion email: account.airworth-eas@ On September 17, 2013, we issued AD Related Service Information Under 1 airbus.com; Internet http:// CFR Part 51 www.airbus.com. 2013–20–11, Amendment 39–17617 (78 For B/E Aerospace service FR 64162, October 28, 2013). AD 2013– Airbus has issued the following information identified in this proposed 20–11 requires modifying the passenger service information. This service AD, contact Dieter Heins, Customer emergency oxygen container assembly information describes procedures for Support Manager, Oxygen & PSU on all Model A318, A319, A320, and installation of a reinforcement plate in Systems, B/E Aerospace Systems, GmbH A321 series airplanes. the oxygen container assembly. Revalstr. 1, D–23560 Lu¨ beck; telephone: Since we issued AD 2013–20–11, • Airbus Service Bulletin A320–35– +49 (0)451 4093 2976; fax: +49 (0)451 Amendment 39–17617 (78 FR 64162, 1049, dated June 15, 2011. 4093 4488; email: dieter_heins@ October 28, 2013), we have determined • Airbus Service Bulletin A320–35– beaerospace-systems.com. that the unsafe condition also affects 1053, dated June 15, 2011. You may view this referenced service oxygen containers labeled ‘‘DAe • Airbus Service Bulletin A320–35– information at the FAA, Transport Systems.’’ 1054, dated June 15, 2011. Airplane Directorate, 1601 Lind Avenue The European Aviation Safety Agency • Airbus Service Bulletin A320–35– SW., Renton, WA. For information on (EASA), which is the Technical Agent 1055, dated June 15, 2011. the availability of this material at the for the Member States of the European • Airbus Service Bulletin A320–35– FAA, call 425–227–1221. Union, has issued EASA AD 2014–0207, 1056, dated June 15, 2011. dated September 16, 2014 (referred to • Airbus Service Bulletin A320–35– Examining the AD Docket after this as the Mandatory Continuing 1057, dated June 15, 2011. You may examine the AD docket on Airworthiness Information, or ‘‘the • Airbus Service Bulletin A320–35– the Internet at http:// MCAI’’), to correct an unsafe condition. 1058, dated June 15, 2011. www.regulations.gov by searching for The MCAI states: This service information is reasonably and locating Docket No. FAA–2015– It was determined that oxygen generators, available because the interested parties 8463; or in person at the Docket installed on a specific batch of Type 1 (22 have access to it through their normal

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course of business or by the means because it addresses an unsafe condition paragraphs (c)(1) through (c)(4) of this AD, all identified in the ADDRESSES section. that is likely to exist or develop on manufacturer serial numbers. products identified in this rulemaking (1) Airbus Model A318–111, –112, –121, FAA’s Determination and Requirements action. and –122 airplanes. of This Proposed AD (2) Airbus Model A319–111, –112, –113, Regulatory Findings –114, –115, –131, –132, and –133 airplanes. This product has been approved by (3) Airbus Model A320–211, –212, –214, the aviation authority of another We determined that this proposed AD –231, –232, and –233 airplanes. country, and is approved for operation would not have federalism implications (4) Airbus Model A321–111, –112, –131, in the United States. Pursuant to our under Executive Order 13132. This –211, –212, –213, –231, and –232 airplanes. bilateral agreement with the State of proposed AD would not have a (d) Subject Design Authority, we have been notified substantial direct effect on the States, on of the unsafe condition described in the the relationship between the national Air Transport Association (ATA) of America Code 35, Oxygen. MCAI and service information Government and the States, or on the referenced above. We are proposing this distribution of power and (e) Reason AD because we evaluated all pertinent responsibilities among the various This AD was prompted by a determination information and determined an unsafe levels of government. that oxygen generators installed on a certain condition exists and is likely to exist or For the reasons discussed above, I batch of passenger emergency oxygen develop on other products of these same certify this proposed regulation: container assemblies might become detached type designs. 1. Is not a ‘‘significant regulatory by extreme pulling of the mask tube at the end of the oxygen supply causing a high Costs of Compliance action’’ under Executive Order 12866; temperature oxygen generator and mask to 2. Is not a ‘‘significant rule’’ under the fall down. This AD was also prompted by a We estimate that this proposed AD DOT Regulatory Policies and Procedures determination that the unsafe condition affects 4 airplanes of U.S. registry. (44 FR 11034, February 26, 1979); affects oxygen containers labeled ‘‘DAe The actions required by AD 2013–20– 3. Will not affect intrastate aviation in Systems.’’ We are issuing this AD to prevent 11, Amendment 39–17617 (78 FR Alaska; and a high temperature oxygen generator and 64162, October 28, 2013), and retained 4. Will not have a significant mask from falling down and possibly in this proposed AD take about 2 work- resulting in an ignition source in the economic impact, positive or negative, passenger compartment, injury to passengers, hours per product, at an average labor on a substantial number of small entities rate of $85 per work-hour. Based on and reduced availability of supplemental under the criteria of the Regulatory oxygen. these figures, the estimated cost of the Flexibility Act. actions that are required by AD 2013– (f) Compliance 20–11 is $170 per product. List of Subjects in 14 CFR Part 39 Comply with this AD within the We also estimate that it would take Air transportation, Aircraft, Aviation compliance times specified, unless already about 2 work-hours per product to safety, Incorporation by reference, done. comply with the basic requirements of Safety. (g) Retained Oxygen Container Assembly this proposed AD. The average labor Modification, With Service Information rate is $85 per work-hour. Based on The Proposed Amendment Referenced in a New Paragraph these figures, we estimate the cost of Accordingly, under the authority This paragraph restates the requirements of this proposed AD on U.S. operators to delegated to me by the Administrator, paragraph (g) of AD 2013–20–11, be $680, or $170 per product. the FAA proposes to amend 14 CFR part Amendment 39–17617 (78 FR 64162, October According to the manufacturer, some 39 as follows: 28, 2013), with service information of the costs of this proposed AD may be referenced in a new paragraph. Except as covered under warranty, thereby PART 39—AIRWORTHINESS specified in paragraphs (g)(1), (g)(2), and reducing the cost impact on affected DIRECTIVES (g)(3) of this AD, within 5,000 flight cycles, individuals. We do not control warranty or 7,500 flight hours, or 24 months, coverage for affected individuals. As a ■ 1. The authority citation for part 39 whichever occurs first, after December 2, 2013 (the effective date of AD 2013–20–11): result, we have included all costs in our continues to read as follows: Modify each type 1 (22 minute) passenger cost estimate. Authority: 49 U.S.C. 106(g), 40113, 44701. emergency oxygen container assembly Authority for This Rulemaking installed on an airplane, having a part § 39.13 [Amended] number (P/N) listed in paragraph (g)(1)(i) of Title 49 of the United States Code ■ 2. The FAA amends § 39.13 by this AD and a serial number (S/N) listed in specifies the FAA’s authority to issue removing Airworthiness Directive (AD) paragraph (g)(1)(ii) of this AD, in accordance rules on aviation safety. Subtitle I, 2013–20–11, Amendment 39–17617 (78 with the Accomplishment Instructions of the section 106, describes the authority of applicable Airbus service information FR 64162, October 28, 2013), and specified in paragraphs (k)(1) through (k)(7) the FAA Administrator. ‘‘Subtitle VII: adding the following new AD: Aviation Programs,’’ describes in more of this AD. (1) An oxygen container that has a part detail the scope of the Agency’s Airbus: Docket No. FAA–2015–8463; Directorate Identifier 2014–NM–226–AD. number listed in paragraph (g)(1)(i) of this authority. AD and a serial number as listed in We are issuing this rulemaking under (a) Comments Due Date paragraph (g)(1)(ii) of this AD, and that has the authority described in ‘‘Subtitle VII, We must receive comments by March 7, been modified using the instructions of B/E Part A, Subpart III, Section 44701: 2016. Aerospace Service Bulletin 1XC22–0100–35– General requirements.’’ Under that 006, is compliant with the modification (b) Affected ADs section, Congress charges the FAA with requirement of paragraph (g) of this AD. promoting safe flight of civil aircraft in This AD replaces AD 2013–20–11, (i) Oxygen container part numbers listed in air commerce by prescribing regulations Amendment 39–17617 (78 FR 64162, October paragraphs (g)(1)(i)(A) through (g)(1)(i)(D) of 28, 2013). this AD, where xxxxx stands for an for practices, methods, and procedures alphanumerical value. the Administrator finds necessary for (c) Applicability (A) 13C22Lxxxxx0100. safety in air commerce. This regulation This AD applies to the Airbus airplanes, (B) 13C22Rxxxxx0100. is within the scope of that authority certificated in any category, specified in (C) 14C22Lxxxxx0100.

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(D) 14C22Rxxxxx0100. each type 1 (22 minute) passenger emergency (1) Airbus Service Bulletin A320–35–1049, (ii) Oxygen container serial numbers listed oxygen container assembly installed on an dated June 15, 2011. in paragraphs (g)(1)(ii)(A) through airplane, having a part number and a serial (2) Airbus Service Bulletin A320–35–1053, (g)(1)(ii)(H) of this AD. number listed in paragraph (j) of this AD, in dated June 15, 2011. (A) ARBC–0182 to ARBC–9999, inclusive. accordance with the Accomplishment (3) Airbus Service Bulletin A320–35–1054, (B) ARBD–0000 to ARBD–9999, inclusive. Instructions of the applicable Airbus service (C) ARBE–0000 to ARBE–9999, inclusive. information specified in paragraphs (k)(1) dated June 15, 2011. (D) BEBF–0000 to BEBF–9999, inclusive. through (k)(7) of this AD; except as specified (4) Airbus Service Bulletin A320–35–1055, (E) BEBH–0000 to BEBH–9999, inclusive. in paragraph (l) of this AD. dated June 15, 2011. (F) BEBK–0000 to BEBK–9999, inclusive. (1) For units with ‘‘B/E AEROSPACE’’ on (5) Airbus Service Bulletin A320–35–1056, (G) BEBL–0000 to BEBL–9999, inclusive. the identification plate and having a part dated June 15, 2011. (H) BEBM–0000 to BEBM–0454, inclusive. number and a serial number listed in (6) Airbus Service Bulletin A320–35–1057, (2) Airplanes on which Airbus paragraph (j)(1) of this AD: Within 5,000 dated June 15, 2011. Modification 150704 has not been embodied flight cycles, or 7,500 flight hours, or 24 (7) Airbus Service Bulletin A320–35–1058, in production are excluded from the months, whichever occurs first after the dated June 15, 2011. requirements of paragraph (g) of this AD, effective date of this AD. unless an oxygen container with a part (2) For units with ‘‘DAe Systems’’ on the (l) New Exceptions to the Requirements of number listed in paragraph (g)(1)(i) of this identification plate and having a part number Paragraph (i) of This AD AD and a serial number listed in paragraph and a serial number listed in paragraph (j)(2) (g)(1)(ii) of this AD is installed. of this AD: Within 2,500 flight cycles, or (1) An oxygen container that has a part (3) Airplanes on which Airbus 3,750 flight hours, or 12 months, whichever number and a serial number listed in Modification 150704 has been embodied in occurs first after the effective date of this AD. paragraph (j) of this AD, and that has been production and that are not listed by model modified as specified in B/E Aerospace and manufacturer serial number in the (j) New Part Numbers and Serial Numbers Service Bulletin 1XC22–0100–35–006, is for the Parts Affected by Paragraph (i) of applicable Airbus service information compliant with the modification requirement This AD specified in paragraphs (k)(1) through (k)(7) of paragraph (i) of this AD. of this AD; are excluded from the Affected parts for the actions required by (2) Airplanes on which Airbus requirements of paragraph (g) of this AD, paragraph (i) of this AD are identified in Modification 150704 has not been embodied unless an oxygen container with a part paragraphs (j)(1) and (j)(2) of this AD. number listed in paragraph (g)(1)(i) of this (1) For oxygen containers with ‘‘B/E in production are excluded from the AD and a serial number listed in paragraph AEROSPACE’’ on the identification plate: requirements of paragraph (i) of this AD, (g)(1)(ii) of this AD is installed. Units having a part number identified in unless an oxygen container with a part Note 1 to paragraph (g) of this AD: The paragraphs (j)(1)(i) through (j)(1)(iv) of this number and a serial number listed in oxygen container assemblies listed in AD, where part number ‘‘xxxxx’’ stands for paragraph (j) of this AD is installed. paragraph (g)(1)(i) of this AD and paragraph any alphanumerical value, and a serial (3) Airplanes on which Airbus (g)(1)(ii) of this AD are B/E Aerospace number of BEBM–0455 to BEBM–9999, Modification 150704 has been embodied in products with the mark ‘‘B/E AEROSPACE’’ inclusive. production and that are not listed by model on the identification plate. (i) 13C22Lxxxxx0100. and manufacturer serial number in the (ii) 13C22Rxxxxx0100. Airbus service information specified in (h) Retained Parts Installation Limitation, (iii) 14C22Lxxxxx0100. With Service Information Referenced in a (iv) 14C22Rxxxxx0100. paragraphs (k)(1) through (k)(7) of this AD, as New Paragraph (2) For oxygen containers with ‘‘DAe applicable, are excluded from the This paragraph restates the requirements of Systems’’ on the identification plate: Units requirements of paragraph (i) of this AD, paragraph (h) of AD 2013–20–11, having a part number identified in unless an oxygen container with a part and Amendment 39–17617 (78 FR 64162, October paragraphs (j)(1)(i) through (j)(1)(iv) of this a serial number listed in paragraph (j) of this 28, 2013), with service information AD, where part number ‘‘xxxxx’’ stands for AD is installed. referenced in a new paragraph. As of any alphanumerical value, and a serial (4) Airplanes on which the design of the December 2, 2013 (the effective date of AD number identified in paragraphs (j)(2)(i) passenger oxygen container is not Design A, 2013–20–11), no person may install, on any through (j)(2)(iv) of this AD. as defined in figure 1 to paragraph (l)(4) of (i) ARBC–0000 to ARBC–9999 inclusive. airplane, an oxygen container with a part this AD, are excluded from the requirements number listed in paragraph (g)(1)(i) of this (ii) ARBD–0000 to ARBD–9999 inclusive. AD, and serial number listed in paragraph (iii) ARBE–0000 to BEBE–9999 inclusive. of paragraph (i) of this AD for that passenger (g)(1)(ii) of this AD, unless the oxygen (iv) BEBE–0000 to BEBE–9999 inclusive. oxygen container. container has been modified according to the Note 2 to paragraph (l)(4) of this AD: For (k) New Service Information Paragraph for applicable Airbus service information ‘‘Design A,’’ the placard on the passenger specified in paragraphs (k)(1) through (k)(7) the Requirements of Paragraphs (g), (h), (i), and (m) of This AD oxygen container test button is as described of this AD. in ‘‘Picture A’’ in figure 1 to paragraph (l)(4) Accomplish the requirements specified in of this AD. The mask configuration (‘‘ZZ’’ in (i) New Requirement of This AD: paragraphs (g), (h), (i), and (m) of this AD in Modification of Additional Oxygen accordance with the Accomplishment ‘‘Picture A’’) is a number, and the test button Containers Instructions of the applicable Airbus service is as shown in ‘‘Picture B.’’ At the applicable times specified in information identified in paragraphs (k)(1) paragraphs (i)(1) and (i)(2) of this AD: Modify through (k)(7) of this AD.

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(m) New Requirement of This AD: Parts using the procedures found in 14 CFR 39.19. (ii) AMOCs approved previously for AD Installation Limitation In accordance with 14 CFR 39.19, send your 2013–20–11, Amendment 39–17617 (78 FR As of the effective date of this AD, no request to your principal inspector or local 64162, October 28, 2013), are approved as person may install, on any airplane, an Flight Standards District Office, as AMOCs for the corresponding provisions of oxygen container with a part number and a appropriate. If sending information directly paragraphs (g) and (h) of this AD. serial number listed in paragraph (j) of this to the International Branch, send it to ATTN: (2) Contacting the Manufacturer: As of the AD, unless the oxygen container has been Sanjay Ralhan, Aerospace Engineer, effective date of this AD, for any requirement modified in accordance with the International Branch, ANM–116, Transport in this AD to obtain corrective actions from Accomplishment Instructions of the Airplane Directorate, FAA, 1601 Lind a manufacturer, the action must be accomplished using a method approved by applicable Airbus service information Avenue SW., Renton, WA 98057–3356; the Manager, International Branch, ANM– specified in paragraphs (k)(1) through (k)(7) telephone: (425) 227–1405; fax: (425) 227– 116, Transport Airplane Directorate, FAA; or of this AD. 1149. Information may be emailed to: 9- the European Aviation Safety Agency (n) Other FAA AD Provisions [email protected]. (EASA); or Airbus’s EASA Design The following provisions also apply to this (i) Before using any approved AMOC, Organization Approval (DOA). If approved by AD: notify your appropriate principal inspector, the DOA, the approval must include the (1) Alternative Methods of Compliance or lacking a principal inspector, the manager DOA-authorized signature. (AMOCs): The Manager, International of the local flight standards district office/ Branch, ANM–116, Transport Airplane certificate holding district office. The AMOC (o) Related Information Directorate, FAA, has the authority to approval letter must specifically reference (1) Refer to Mandatory Continuing approve AMOCs for this AD, if requested this AD. Airworthiness Information (MCAI) EASA AD

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2014–0207, dated September 16, 2014, for which, in combination with flammable Comments Invited related information. This MCAI may be fuel vapors caused by latent failures, found in the AD docket on the Internet at We invite you to send any written alterations, repairs, or maintenance relevant data, views, or arguments about http://www.regulations.gov by searching for actions, could result in fuel tank and locating Docket No. FAA–2015–8463. this proposed AD. Send your comments (2) For Airbus service information explosions and consequent loss of the to an address listed under the identified in this AD, contact Airbus, airplane. ADDRESSES section. Include ‘‘Docket No. Airworthiness Office—EIAS, 1 Rond Point DATES: We must receive comments on FAA–2015–8468; Directorate Identifier Maurice Bellonte, 31707 Blagnac Cedex, this proposed AD by March 7, 2016. 2014–NM–208–AD’’ at the beginning of France; telephone: +33 5 61 93 36 96; fax: your comments. We specifically invite +33 5 61 93 44 51; email: account.airworth- ADDRESSES: You may send comments by comments on the overall regulatory, [email protected]; Internet http:// any of the following methods: economic, environmental, and energy www.airbus.com. • Federal eRulemaking Portal: Go to (3) For B/E Aerospace service information aspects of this proposed AD. We will identified in this AD, contact Dieter Heins, http://www.regulations.gov. Follow the consider all comments received by the Customer Support Manager, Oxygen & PSU instructions for submitting comments. closing date and may amend this Systems, B/E Aerospace Systems, GmbH • Fax: 202–493–2251. proposed AD based on those comments. Revalstr. 1, D–23560 Lu¨ beck; telephone: +49 • Mail: U.S. Department of We will post all comments we (0)451 4093 2976; fax: +49 (0)451 4093 4488; _ Transportation, Docket Operations, M– receive, without change, to http:// email: dieter heins@beaerospace- 30, West Building Ground Floor, Room www.regulations.gov, including any systems.com. (4) You may view this service information W12–140, 1200 New Jersey Avenue SE., personal information you provide. We at the FAA, Transport Airplane Directorate, Washington, DC 20590. will also post a report summarizing each 1601 Lind Avenue SW., Renton, WA. For • Hand Delivery: U.S. Department of substantive verbal contact we receive information on the availability of this Transportation, Docket Operations, M– about this proposed AD. material at the FAA, call 425–227–1221. 30, West Building Ground Floor, Room Discussion Issued in Renton, Washington, on January W12–140, 1200 New Jersey Avenue SE., 5, 2016. Washington, DC, between 9 a.m. and 5 On October 19, 2009, we issued AD 2007–21–14 R1, Amendment 39–16061 Victor Wicklund, p.m., Monday through Friday, except Federal holidays. (74 FR 55123, October 27, 2009). AD Acting Manager, Transport Airplane 2007–21–14 R1 requires actions Directorate, Aircraft Certification Service. For service information identified in intended to address an unsafe condition this proposed AD, contact Airbus SAS, [FR Doc. 2016–00697 Filed 1–19–16; 8:45 am] on all Airbus Model A310 series Airworthiness Office—EAW, 1 Rond BILLING CODE 4910–13–P airplanes. AD 2007–21–14 R1 revised Point Maurice Bellonte, 31707 Blagnac AD 2007–21–14, Amendment 39–15232, Cedex, France; telephone +33 5 61 93 36 (72 FR 58499, October 16, 2007). DEPARTMENT OF TRANSPORTATION 96; fax +33 5 61 93 44 51; email Since we issued AD 2007–21–14R1, [email protected]; Amendment 39–16061 (74 FR 55123, Federal Aviation Administration Internet http://www.airbus.com. You October 27, 2009), we have determined may view this referenced service more restrictive maintenance 14 CFR Part 39 information at the FAA, Transport requirements and airworthiness Airplane Directorate, 1601 Lind Avenue [Docket No. FAA–2015–8468; Directorate limitations are necessary. Identifier 2014–NM–208–AD] SW., Renton, WA. For information on The European Aviation Safety the availability of this material at the RIN 2120–AA64 Agency, which is the Technical Agent FAA, call 425–227–1221. for the Member States of the European Airworthiness Directives; Airbus Examining the AD Docket Union, has issued EASA Airworthiness Airplanes Directive 2014–0193, dated October 15, You may examine the AD docket on 2014 (referred to after this as the AGENCY: Federal Aviation the Internet at http:// Mandatory Continuing Airworthiness Administration (FAA), DOT. www.regulations.gov by searching for Information, or ‘‘the MCAI’’), to correct ACTION: Notice of proposed rulemaking and locating Docket No. FAA–2015– an unsafe condition all Airbus Model (NPRM). 8468; or in person at the Docket A310 series airplanes. The MCAI states: Management Facility between 9 a.m. SUMMARY: We propose to supersede and 5 p.m., Monday through Friday, Prompted by an accident . . ., the Federal Airworthiness Directive (AD) 2007–21– except Federal holidays. The AD docket Aviation Administration (FAA) published 14 R1, for all Airbus Model A310 series Special Federal Aviation Regulation (SFAR) contains this proposed AD, the 88, [http://rgl.faa.gov/Regulatory_and_ airplanes. AD 2007–21–14 R1 currently regulatory evaluation, any comments _ requires revising the Airworthiness Guidance Library/rgFAR.nsf/0/EEFB3F94451 received, and other information. The DC06286256C93004F5E07?OpenDocument& Limitations Section of the Instructions street address for the Docket Operations Highlight=sfar 88], and the Joint Aviation for Continued Airworthiness to office (telephone 800–647–5527) is in Authorities (JAA) published Interim Policy incorporate new limitations for fuel tank the ADDRESSES section. Comments will INT/POL/25/12. In response to these systems. Since we issued AD 2007–21– be available in the AD docket shortly regulations, Airbus conducted a design 14R1, we have determined that more after receipt. review to develop Fuel Airworthiness restrictive maintenance requirements Limitations (FAL) for Airbus on A310 and/or airworthiness limitations are FOR FURTHER INFORMATION CONTACT: Dan aeroplanes. necessary. This proposed AD would Rodina, Aerospace Engineer, The FAL were specified in Airbus A310 require revising the maintenance International Branch, ANM–116, FAL document ref. 95A.1930/05 at issue 02 and in the A310 Airworthiness Limitations program or inspection program to Transport Airplane Directorate, FAA, 1601 Lind Avenue SW., Renton, WA Section (ALS) variation to FAL document incorporate revised fuel maintenance issue 02, ref. 0BVLG110006/C0S issue 01, for and inspection tasks. We are proposing 98057–3356; telephone 425–227–2125; fax 425–227–1149. A310 aeroplanes. this AD to prevent the potential of EASA issued [EASA] AD 2006–0202 ignition sources inside fuel tanks, SUPPLEMENTARY INFORMATION: (http://ad.easa.europa.eu/ad/2006-0202) to

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require compliance with the FAL documents AD because we evaluated all pertinent urgency associated with addressing the (comprising maintenance/inspection tasks information and determined an unsafe unsafe condition. We find 3 months an and Critical Design Configuration Control condition exists and is likely to exist or appropriate compliance time to Limitations (CDCCL)). develop on other products of the same EASA AD 2006–0202 was superseded by complete these actions. This difference EASA AD 2007–0096 (later revised) [which type design. has been coordinated with the EASA. This proposed AD requires revisions corresponds to FAA AD 2007–21–14R1, Costs of Compliance Amendment 39–16061 (74 FR 55123, October to certain operator maintenance 27, 2009)], which retained the original documents to include new actions (e.g., We estimate that this proposed AD requirements and corrected and updated the inspections and/or Critical Design affects 23 airplanes of U.S. registry. compliance paragraphs concerning task ref. Configuration Control Limitations The actions required by AD 2007–21– 28–18–00–03–1 and CDCCL’s. (CDCCLs). Compliance with these 14 R1, Amendment 39–16061 (74 FR Since EASA AD 2007–0096R1 [(http:// actions is required by 14 CFR 91.403(c). ad.easa.europa.eu/ad/2007-0096R1) which 55123, October 27, 2009), and retained corresponds to FAA AD 2007–21–14R1, For airplanes that have been previously in this proposed AD take about 2 work- Amendment 39–16061 (74 FR 55123, October modified, altered, or repaired in the hours per product, at an average labor 27, 2009)] was published, Airbus issued areas addressed by these inspections, rate of $85 per work-hour. Required A310 ALS Part 5, prompted by EASA policy the operator may not be able to parts cost $0 per product. Based on statement (EASA D2005/CPRO) which accomplish the inspections described in these figures, the estimated cost of the requests design approval holders to integrate the revisions. In this situation, to actions that are required by AD 2007– Fuel Tank Safety items into an ALS comply with 14 CFR 91.403(c), the 21–14 R1 is $170 per product. document. The A310 ALS Part 5 is approved operator must request approval for an by EASA. We also estimate that it would take Failure to comply with the items as alternative method of compliance about 1 work-hour per product to identified in Airbus A310 ALS Part 5 could (AMOC) according to paragraph (m)(1) comply with the basic requirements of result in a fuel tank explosion and of this AD. The request should include this proposed AD. The average labor consequent loss of the aeroplane. a description of changes to the required rate is $85 per work-hour. Required For the reasons described above, this actions that will ensure the continued parts would cost about $0 per product. [EASA] AD . . . requires implementation of operational safety of the airplane. Based on these figures, we estimate the the new and more restrictive maintenance Notwithstanding any other cost of this proposed AD on U.S. instructions and/or airworthiness limitations maintenance or operational operators to be $1,955, or $85 per as specified in Airbus A310 ALS Part 5. requirements, components that have product. The unsafe condition is the potential been identified as airworthy or installed of ignition sources inside fuel tanks, on the affected airplanes before Authority for This Rulemaking which, in combination with flammable accomplishing the revision of the Title 49 of the United States Code fuel vapors caused by latent failures, airplane maintenance or inspection specifies the FAA’s authority to issue alterations, repairs, or maintenance program specified in this AD, do not rules on aviation safety. Subtitle I, actions, could result in fuel tank need to be reworked in accordance with section 106, describes the authority of explosions and consequent loss of the the CDCCLs. However, once the airplane the FAA Administrator. ‘‘Subtitle VII: airplane. You may examine the MCAI in maintenance or inspection program has Aviation Programs,’’ describes in more the AD docket on the Internet at http:// been revised as required by this AD, detail the scope of the Agency’s www.regulations.gov by searching for future maintenance actions on these authority. and locating Docket No. FAA–2015– components must be done in 8468. accordance with the CDCCLs. We are issuing this rulemaking under the authority described in ‘‘Subtitle VII, Related Service Information Under 1 Differences Between This Proposed AD Part A, Subpart III, Section 44701: CFR Part 51 and the MCAI or Service Information General requirements.’’ Under that Airbus has issued A310 The MCAI specifies that if there are section, Congress charges the FAA with Airworthiness Limitations Section findings from the ALS inspection tasks, promoting safe flight of civil aircraft in (ALS), Part 5,—Fuel Airworthiness corrective actions must be accomplished air commerce by prescribing regulations Limitations, Revision 00, dated May 27, in accordance with Airbus maintenance for practices, methods, and procedures 2014. The airworthiness limitations documentation. However, this AD does the Administrator finds necessary for introduce mandatory instructions and not include that requirement. Operators safety in air commerce. This regulation more restrictive maintenance of U.S.-registered airplanes are required is within the scope of that authority requirements. This service information by general airworthiness and because it addresses an unsafe condition is reasonably available because the operational regulations to perform that is likely to exist or develop on interested parties have access to it maintenance using methods that are products identified in this rulemaking through their normal course of business acceptable to the FAA. We consider action. or by the means identified in the those methods to be adequate to address Regulatory Findings ADDRESSES section. any corrective actions necessitated by the findings of ALS inspections required We determined that this proposed AD FAA’s Determination and Requirements by this AD. would not have federalism implications of This Proposed AD This proposed AD would require under Executive Order 13132. This This product has been approved by operators to revise the maintenance or proposed AD would not have a the aviation authority of another inspection program within 3 months substantial direct effect on the States, on country, and is approved for operation after the effective date of the AD to the relationship between the national in the United States. Pursuant to our incorporate revised fuel maintenance Government and the States, or on the bilateral agreement with the State of and inspection tasks. The MCAI distribution of power and Design Authority, we have been notified specifies compliance with the tasks as of responsibilities among the various of the unsafe condition described in the the effective date of the MCAI. In levels of government. MCAI and service information developing the compliance time for this For the reasons discussed above, I referenced above. We are proposing this action, we considered the degree of certify this proposed regulation:

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1. Is not a ‘‘significant regulatory (f) Compliance 95A.1930/05, Issue 2, dated May 11, 2007 action’’ under Executive Order 12866; Comply with this AD within the (approved by the EASA on July 6, 2007). 2. Is not a ‘‘significant rule’’ under the compliance times specified, unless already (1) Prior to the accumulation of 40,000 done. total flight hours. DOT Regulatory Policies and Procedures (2) Within 72 months or 20,000 flight hours (44 FR 11034, February 26, 1979); (g) Retained Revision of the Airworthiness after November 20, 2007 (the effective date of 3. Will not affect intrastate aviation in Limitations Section (ALS) To Incorporate AD 2007–21–14, Amendment 39–15232, (72 Alaska; and Fuel Maintenance and Inspection Tasks, FR 58499, October 16, 2007)), whichever With No Changes 4. Will not have a significant occurs first. economic impact, positive or negative, This paragraph restates the requirements of (i) Retained Revision of the ALS To on a substantial number of small entities paragraph (f) of AD 2007–21–14R1, Incorporate CDCCLs, With No Changes under the criteria of the Regulatory Amendment 39–16061 (74 FR 55123, October 27, 2009), with no changes. Within 3 months This paragraph restates the requirements of Flexibility Act. after November 20, 2007 (the effective date of paragraph (h) of AD 2007–21–14R1, Amendment 39–16061 (74 FR 55123, October List of Subjects in 14 CFR Part 39 AD 2007–21–14, Amendment 39–15232, (72 FR 58499, October 16, 2007)), revise the ALS 27, 2009), with no changes. Within 12 Air transportation, Aircraft, Aviation of the Instructions for Continued months after November 20, 2007 (the safety, Incorporation by reference, Airworthiness to incorporate Airbus A310 effective date of AD 2007–21–14, Safety. ALS Part 5—Fuel Airworthiness Limitations, Amendment 39–15232, (72 FR 58499, dated May 31, 2006, as defined in Airbus October 16, 2007)), revise the ALS of the The Proposed Amendment A310 Fuel Airworthiness Limitations, Instructions for Continued Airworthiness to Document 95A.1930/05, Issue 2, dated May incorporate Airbus A310 ALS Part 5—Fuel Accordingly, under the authority 11, 2007 (approved by the European Aviation Airworthiness Limitations, dated May 31, delegated to me by the Administrator, Safety Agency (EASA) on July 6, 2007), 2006, as defined in Airbus A310 Fuel the FAA proposes to amend 14 CFR part Section 1, ‘‘Maintenance/Inspection Tasks.’’ Airworthiness Limitations, Document 39 as follows: For all tasks identified in Section 1 of 95A.1930/05, Issue 2, dated May 11, 2007 Document 95A.1930/05, Issue 2, dated May (approved by the EASA on July 6, 2007), PART 39—AIRWORTHINESS 11, 2007 (approved by the European Aviation Section 2, ‘‘Critical Design Configuration DIRECTIVES Safety Agency (EASA) on July 6, 2007), the Control Limitations.’’ initial compliance times start from the later (j) Retained No Alternative Inspections, ■ 1. The authority citation for part 39 of the times specified in paragraphs (g)(1) Inspection Intervals, or CDCCLs, With New continues to read as follows: and (g)(2) of this AD, and the repetitive Paragraph Reference inspections must be accomplished thereafter This paragraph restates the requirements of Authority: 49 U.S.C. 106(g), 40113, 44701. at the intervals specified in Section 1 of paragraph (i) of AD 2007–21–14R1, Document 95A.1930/05, except as provided § 39.13 [Amended] Amendment 39–16061 (74 FR 55123, October by paragraph (h) of this AD. 27, 2009), with a new paragraph reference. ■ 2. The FAA amends § 39.13 by (1) November 20, 2007 (the effective date Except as provided by paragraphs (k) and of AD 2007–21–14, Amendment 39–15232, removing Airworthiness Directive (AD) (m)(1) of this AD: After accomplishing the (72 FR 58499, October 16, 2007)). 2007–21–14 R1, Amendment 39–16061 actions specified in paragraphs (g) and (i) of (2) The date of issuance of the original (74 FR 55123, October 27, 2009), and this AD, no alternative inspections, French standard airworthiness certificate or adding the following new AD: inspection intervals, or CDCCLs may be used. the date of issuance of the original French Airbus: Docket No. FAA–2015–8468; export certificate of airworthiness. (k) New Requirement of This AD: Revise the Directorate Identifier 2014–NM–208–AD. Note 1 to paragraph (g) of this AD: Airbus Maintenance or Inspection Program (a) Comments Due Date Operator Information Telex SE 999.0079/07, Within 3 months after the effective date of Revision 01, dated August 14, 2007, this AD, revise the maintenance or inspection We must receive comments by March 7, identifies the applicable sections of the 2016. program, as applicable, by incorporating the Airbus A310 Airplane Maintenance Manual airworthiness limitations as specified in (b) Affected ADs necessary for accomplishing the tasks Airbus A310 Airworthiness Limitations specified in Section 1 of Document This AD replaces (AD) 2007–21–14R1, Section (ALS) Part 5—Fuel Airworthiness 95A.1930/05. Amendment 39–16061 (74 FR 55123, October Limitations, Revision 00, dated May 27, 27, 2009). 2014. The initial compliance times for the (h) Retained Revision of Initial Compliance actions specified Airbus A310 ALS Part 5— (c) Applicability Time for Task 28–18–00–03–1, With No Fuel Airworthiness Limitations, Revision 00, Changes This AD applies to Airbus Model A310– dated May 27, 2014, are at the later of the 203, –204, –221, –222, –304, –322, –324, and This paragraph restates the requirements of times specified in Airbus A310 ALS Part 5— –325 airplanes; certificated in any category; paragraph (g) of AD 2007–21–14 R1, Fuel Airworthiness Limitations, Revision 00, all manufacturer serial numbers. Amendment 39–16061 (74 FR 55123, October dated May 27, 2014, or within 3 months after 27, 2009), with no changes. For Task 28–18– the effective date of this AD, whichever (d) Subject 00–03–1 identified in Section 1 of Document occurs later. Accomplishing the revision Air Transport Association (ATA) of 95A.1930/05, ‘‘Maintenance/Inspection required by this paragraph terminates the America Code 05, Time Limits/Maintenance Tasks,’’ of Airbus A310 Fuel Airworthiness actions required by paragraphs (g) through (i) Checks. Limitations, Document 95A.1930/05, Issue 2, of this AD. dated May 11, 2007 (approved by the EASA (e) Reason on July 6, 2007): The initial compliance time (l) New Requirement of This AD: No This AD was prompted by Airbus issuing is the later of the times specified in Alternative Inspections, Intervals, and/or more restrictive instructions and/or fuel paragraphs (h)(1) and (h)(2) of this AD. Critical Design Configuration Control airworthiness limitations. We are issuing this Thereafter, Task 28–18–00–03–1 identified in Limitations (CDCCLs) AD to prevent the potential of ignition Section 1 of Document 95A.1930/05, After the maintenance or inspection sources inside fuel tanks, which, in ‘‘Maintenance/Inspection Tasks,’’ of Airbus program has been revised as required by combination with flammable fuel vapors A310 Fuel Airworthiness Limitations, paragraph (k) of this AD, no alternative caused by latent failures, alterations, repairs, Document 95A.1930/05, Issue 2, dated May actions (e.g., inspections), intervals, and/or or maintenance actions, could result in fuel 11, 2007 (approved by the EASA on July 6, CDCCLs may be used unless the actions, tank explosions and consequent loss of the 2007) must be accomplished at the repetitive intervals, and/or CDCCLs are approved as an airplane. interval specified in Section 1 of Document alternative method of compliance (AMOC) in

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accordance with the procedures specified in DEPARTMENT OF THE TREASURY (REG–139483–13) that was published in paragraph (m)(1) of this AD. the Federal Register on Wednesday, Internal Revenue Service (m) Other FAA AD Provisions September 16, 2015 (80 FR 55568). The rules of 26 CFR 601.601(a)(3) apply to The following provisions also apply to this 26 CFR Part 1 the hearing. Persons who wish to AD: [REG–139483–13] present oral comments at the hearing (1) Alternative Methods of Compliance that submitted written comments by (AMOCs): The Manager, International RIN 1545–BL87 December 15, 2015 must submit an Branch, FAA, has the authority to approve outline of the topics to be addressed and AMOCs for this AD, if requested using the Treatment of Certain Transfers of the amount of time to be devoted to procedures found in 14 CFR 39.19. In Property of Foreign Corporations; each topic by January 25, 2016. accordance with 14 CFR 39.19, send your Hearing request to your principal inspector or local A period of 10 minutes is allotted to Flight Standards District Office, as AGENCY: Internal Revenue Service (IRS), each person for presenting oral appropriate. If sending information directly Treasury. comments. After the deadline for receiving outlines has passed, the IRS to the International Branch, send it to ATTN: ACTION: Notice of public hearing on will prepare an agenda containing the Dan Rodina, Aerospace Engineer, proposed rulemaking. International Branch, ANM–116, Transport schedule of speakers. Copies of the Airplane Directorate, FAA, 1601 Lind SUMMARY: This document provides agenda will be made available, free of Avenue SW., Renton, WA 98057–3356; notice of public hearing on the proposed charge, at the hearing or in the Freedom telephone 425–227–2125; fax 425–227–1149. regulations relating to certain transfers of Information Reading Room (FOIA RR) Information may be emailed to: 9-ANM-116- of property by United States persons to (Room 1621) which is located at the [email protected]. Before using foreign corporations. The proposed 11th and Pennsylvania Avenue NW. any approved AMOC, notify your appropriate regulations affect United States persons entrance, 1111 Constitution Avenue principal inspector, or lacking a principal that transfer certain property, including NW., Washington, DC 20224. inspector, the manager of the local flight foreign goodwill and going concern Because of access restrictions, the IRS standards district office/certificate holding value, to foreign corporations in non- will not admit visitors beyond the district office. The AMOC approval letter recognition transactions described in immediate entrance area more than 30 must specifically reference this AD. section 367 of the Internal Revenue minutes before the hearing starts. For (2) Contacting the Manufacturer: As of the Code. information about having your name effective date of this AD, for any requirement placed on the building access list to DATES: in this AD to obtain corrective actions from The public hearing is being held attend the hearing, see the FOR FURTHER a manufacturer, the action must be on Monday, February 8, 2016 at 10:00 INFORMATION CONTACT section of this accomplished using a method approved by a.m. The IRS must receive outlines of document. the Manager, International Branch, ANM– the topics to be discussed at the public 116, Transport Airplane Directorate, FAA; or hearing by Monday, January 25, 2016. Martin V. Franks, the European Aviation Safety Agency ADDRESSES: The public hearing is being Chief, Publications and Regulations Branch, (EASA); or Airbus’s EASA Design held in the IRS Auditorium, Internal Legal Processing Division, Associate Chief Organization Approval (DOA). If approved by Revenue Service Building, 1111 Counsel, (Procedure and Administration). the DOA, the approval must include the Constitution Avenue NW., Washington, [FR Doc. 2016–00961 Filed 1–19–16; 8:45 am] DOA-authorized signature. DC 20224. Due to building security BILLING CODE 4830–01–P (n) Related Information procedures, visitors must enter at the (1) Refer to Mandatory Continuing Constitution Avenue entrance. In Airworthiness Information (MCAI) European addition, all visitors must present photo DEPARTMENT OF HOMELAND Aviation Safety Agency Airworthiness identification to enter the building. SECURITY Directive 2014–0193, dated October 15, 2014, Send Submissions to CC:PA:LPD:PR for related information. This MCAI may be (REG–139483–13), Room 5205, Internal Coast Guard found in the AD docket on the Internet at Revenue Service, P.O. Box 7604, Ben http://www.regulations.gov by searching for Franklin Station, Washington, DC 33 CFR Part 165 20044. Submissions may be hand- and locating Docket No. FAA–2015–8468. [Docket No. USCG–2015–1081] (2) For service information identified in delivered Monday through Friday to this AD, contact Airbus SAS, Airworthiness CC:PA:LPD:PR (REG–139483–13), RIN 1625–AA00 Office—EAW, 1 Rond Point Maurice Couriers Desk, Internal Revenue Bellonte, 31707 Blagnac Cedex, France; Service, 1111 Constitution Avenue NW., Safety Zones; Annual Events telephone +33 5 61 93 36 96; fax +33 5 61 Washington, DC 20224 or sent Requiring Safety Zones in the Captain 93 44 51; email account.airworth-eas@ electronically via the Federal of the Port Lake Michigan Zone airbus.com; Internet http://www.airbus.com. eRulemaking Portal at AGENCY: Coast Guard, DHS. You may view this service information at the www.regulations.gov (IRS–2015–0047). FAA, Transport Airplane Directorate, 1601 ACTION: Notice of proposed rulemaking. FOR FURTHER INFORMATION CONTACT: Lind Avenue SW., Renton, WA. For Concerning the regulations, Ryan A. information on the availability of this SUMMARY: The Coast Guard proposes to material at the FAA, call 425–227–1221. Bowen at (202) 317–6937; concerning amend its safety zones regulation for submissions of comments, the hearing Annual Events in the Captain of the Port Issued in Renton, Washington, on January and/or to be placed on the building Lake Michigan zone. This proposed 5, 2016. access list to attend the hearing Regina amendment updates 18 permanent Victor Wicklund, Johnson at (202) 317–6901 (not toll-free safety zones and adds 3 new permanent Acting Manager, Transport Airplane numbers). safety zones. These amendments and Directorate, Aircraft Certification Service. SUPPLEMENTARY INFORMATION: additions are necessary to protect [FR Doc. 2016–00632 Filed 1–19–16; 8:45 am] The subject of the public hearing is spectators, participants, and vessels BILLING CODE 4910–13–P the notice of proposed rulemaking from the hazards associated with annual

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maritime events, including fireworks dangers involved in pyrotechnics and IV. Regulatory Analyses displays, boat races, and air shows. hazardous cargo; and flaming/falling We developed this proposed rule after DATES: Comments and related material debris into the water that may cause considering numerous statutes and must be received by the Coast Guard on injuries. Executive orders related to rulemaking. or before February 19, 2016. III. Discussion of Proposed Rule Below we summarize our analyses ADDRESSES: You may submit comments based on a number of the statutes and identified by docket number USCG– This proposed rule amends 18 Executive orders, and we discuss First 2015–1081 using the Federal permanent safety zones found within Amendment rights of protestors. eRulemaking Portal at http:// table 165.929 in 33 CFR 165.929. These www.regulations.gov. See the ‘‘Public 18 amendments involve updating the A. Regulatory Planning and Review Participation and Request for location, size, and/or enforcement times Executive Orders 12866 and 13563 Comments’’ portion of the for: 11 fireworks displays in various direct agencies to assess the costs and SUPPLEMENTARY INFORMATION section for locations; 1 regatta in Spring Lake, benefits of available regulatory further instructions on submitting Michigan; 3 Air Shows; 1 Facility in alternatives and, if regulation is comments. Marinette, Wisconsin; 1 boat race from necessary, to select regulatory Chicago, Illinois; and 1 ski show in FOR FURTHER INFORMATION CONTACT: If approaches that maximize net benefits. Sister Bay, Wisconsin. you have questions about this proposed Executive Order 13563 emphasizes the rulemaking, call or email Petty Officer Additionally, this proposed rule adds importance of quantifying both costs Joseph McCollum, U.S. Coast Guard 3 new safety zones to table 165.929 and benefits, of reducing costs, of Sector Lake Michigan; telephone 414– within § 165.929 for annually- harmonizing rules, and of promoting 747–7148, email Joseph.P.McCollum@ reoccurring events in the Captain of the flexibility. This NPRM has not been uscg.mil. Port Lake Michigan Zone. These 3 zones designated a ‘‘significant regulatory were added in order to protect the action,’’ under Executive Order 12866. SUPPLEMENTARY INFORMATION: public from the safety hazards Accordingly, the NPRM has not been I. Table of Abbreviations previously described. The 3 additions reviewed by the Office of Management include 2 safety zones for fireworks and Budget. CFR Code of Federal Regulations displays, and 1 safety zone for a boat We conclude that this proposed rule DHS Department of Homeland Security is not a significant regulatory action FR Federal Register parade in Chicago Harbor, Chicago, NPRM Notice of Proposed Rulemaking Illinois. A list of specific changes and because we anticipate that it will have § Section additions are available in the minimal impact on the economy, will U.S.C. United States Code attachments within this Docket. not interfere with other agencies, will The Captain of the Port Lake not adversely alter the budget of any II. Background, Purpose, and Legal grant or loan recipients, and will not Basis Michigan has determined that the safety zones in this proposed rule are raise any novel legal or policy issues. On February 18, 2015, the Coast necessary to ensure the safety of vessels The safety zones created by this rule Guard published a final rule entitled and people during annual marine or will be relatively small and effective Safety Zones; Annual Events Requiring triggering events in the Captain of the during the time to ensure safety of Safety Zones in the Captain of the Port Port Lake Michigan zone. Although this spectator and participants for the listed Lake Michigan Zone in the Federal proposed rule will be effective year- triggering or marine events. Moreover, Register (80 FR 8536). This final rule round, the safety zones in this proposed the Coast Guard would issue a published after the Coast Guard rule will be enforced only immediately Broadcast Notice to Mariners via VHF– requested public comments in response before, during, and after events that FM marine channel 16 about the zones, to a preceding NPRM in the Federal pose a hazard to the public and only and the rule would allow vessels to seek Register (79 FR 77415, December 24, upon notice by the Captain of the Port permission to enter the zones. 2014). No public meeting was requested, Lake Michigan. B. Impact on Small Entities and none was held. The legal basis for this proposed rule The Captain of the Port Lake The Regulatory Flexibility Act of is the Coast Guard’s authority to Michigan will notify the public that the 1980, 5 U.S.C. 601–612, as amended, establish safety zones: 33 U.S.C. 1231; zones in this proposal are or will be requires Federal agencies to consider 33 CFR 1.05–1, 160.5; Department of enforced by all appropriate means to the the potential impact of regulations on Homeland Security Delegation No. affected segments of the public, small entities during rulemaking. The 0170.1. including publication in the Federal term ‘‘small entities’’ comprises small The purpose of this rulemaking is to Register, as practicable, in accordance businesses, not-for-profit organizations update the safety zones in § 165.929 to with 33 CFR 165.7(a). Such means of that are independently owned and ensure that they match the times, dates, notification may also include, but are operated and are not dominant in their and dimensions for various marine and not limited to, Broadcast Notice to fields, and governmental jurisdictions triggering events that are expected to be Mariners or Local Notice to Mariners. with populations of less than 50,000. conducted with the Captain of the Port All persons and vessels must comply The Coast Guard certifies under 5 U.S.C. Lake Michigan Zone throughout the with the instructions of the Coast Guard 605(b) that this proposed rule would not year. The purpose of the rulemaking is Captain of the Port Lake Michigan or his have a significant economic impact on also to ensure vessels and persons are or her designated representative. Entry a substantial number of small entities. protected from the specific hazards into, transiting, or anchoring within the While some owners or operators of related to the aforementioned events. safety zones is prohibited unless vessels intending to transit the safety These specific hazards include authorized by the Captain of the Port or zone may be small entities, for the obstructions to the waterway that may his or her designated representative. reasons stated in section IV.A above this cause marine casualties; collisions The Captain of the Port or his or her proposed rule would not have a among vessels maneuvering at a high designated representative may be significant economic impact on any speed within a channel; the explosive contacted via VHF Channel 16. vessel owner or operator.

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If you think that your business, their discretionary regulatory actions. In eRulemaking Portal at http:// organization, or governmental particular, the Act addresses actions www.regulations.gov. If your material jurisdiction qualifies as a small entity that may result in the expenditure by a cannot be submitted using http:// and that this rule would have a State, local, or tribal government, in the www.regulations.gov, contact the person significant economic impact on it, aggregate, or by the private sector of in the FOR FURTHER INFORMATION please submit a comment (see $100,000,000 (adjusted for inflation) or CONTACT section of this document for ADDRESSES) explaining why you think it more in any one year. Though this alternate instructions. qualifies and how and to what degree proposed rule would not result in such We accept anonymous comments. All this rule would economically affect it. an expenditure, we do discuss the comments received will be posted Under section 213(a) of the Small effects of this proposed rule elsewhere without change to http:// Business Regulatory Enforcement in this preamble. www.regulations.gov and will include Fairness Act of 1996 (Pub. L. 104–121), F. Environment any personal information you have we want to assist small entities in provided. For more about privacy and understanding this proposed rule. If the We have analyzed this proposed rule the docket, you may review a Privacy rule would affect your small business, under Department of Homeland Act notice regarding the Federal Docket organization, or governmental Security Management Directive 023–01 Management System in the March 24, jurisdiction and you have questions and Commandant Instruction 2005, issue of the Federal Register (70 concerning its provisions or options for M16475.lD, which guide the Coast FR 15086). compliance, please contact the person Guard in complying with the National Documents mentioned in this NPRM listed in the FOR FURTHER INFORMATION Environmental Policy Act of 1969 (42 as being available in the docket, and all CONTACT section. The Coast Guard will U.S.C. 4321–4370f), and have made a public comments, will be in our online not retaliate against small entities that preliminary determination that this docket at http://www.regulations.gov question or complain about this action is one of a category of actions that and can be viewed by following that proposed rule or any policy or action of do not individually or cumulatively Web site’s instructions. Additionally, if the Coast Guard. have a significant effect on the human you go to the online docket and sign up environment. This proposed rule for email alerts, you will be notified C. Collection of Information involves the establishment of safety when comments are posted or a final This proposed rule would not call for zones for yearly triggering and marine rule is published. a new collection of information under events on and around Lake Michigan. the Paperwork Reduction Act of 1995 Normally such actions are categorically List of Subjects in 33 CFR Part 165 (44 U.S.C. 3501–3520). excluded from further review under Harbors, Marine safety, Navigation paragraph 34(g) of Figure 2–1 of D. Federalism and Indian Tribal (water), Reporting and recordkeeping Commandant Instruction M16475.lD. Governments requirements, Security measures, An environmental analysis checklist Waterways. A rule has implications for federalism and Categorical Exclusion For the reasons discussed in the under Executive Order 13132, Determination are available in the preamble, the Coast Guard proposes to Federalism, if it has a substantial direct docket where indicated under amend 33 CFR part 165 as follows: effect on the States, on the relationship ADDRESSES. We seek any comments or between the national government and information that may lead to the PART 165—REGULATED NAVIGATION the States, or on the distribution of discovery of a significant environmental AREAS AND LIMITED ACCESS AREAS power and responsibilities among the impact from this proposed rule. various levels of government. We have ■ 1. The authority citation for Part 165 analyzed this proposed rule under that G. Protest Activities continues to read as follows: Order and have determined that it is The Coast Guard respects the First Authority: 33 U.S.C. 1231; 50 U.S.C. 191; consistent with the fundamental Amendment rights of protesters. 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; federalism principles and preemption Protesters are asked to contact the Department of Homeland Security Delegation requirements described in Executive person listed in the FOR FURTHER No. 0170.1. Order 13132. INFORMATION CONTACT section to ■ 2. Revise § 165.929 to read as follows: Also, this proposed rule does not have coordinate protest activities so that your tribal implications under Executive message can be received without § 165.929 Safety Zones; Annual events Order 13175, Consultation and jeopardizing the safety or security of requiring safety zones in the Captain of the Coordination with Indian Tribal people, places, or vessels. Port Lake Michigan zone. Governments, because it would not have (a) Regulations. The following a substantial direct effect on one or V. Public Participation and Request for regulations apply to the safety zones more Indian tribes, on the relationship Comments listed in Table 165.929 of this section. between the Federal Government and We view public participation as (1) The general regulations in 33 CFR Indian tribes, or on the distribution of essential to effective rulemaking, and 165.23. power and responsibilities between the will consider all comments and material (2) All vessels must obtain permission Federal Government and Indian tribes. received during the comment period. from the Captain of the Port Lake If you believe this proposed rule has Your comment can help shape the Michigan or his or her designated implications for federalism or Indian outcome of this rulemaking. If you representative to enter, move within, or tribes, please contact the person listed submit a comment, please include the exit a safety zone established in this in the FOR FURTHER INFORMATION docket number for this rulemaking, section when the safety zone is CONTACT section. indicate the specific section of this enforced. Vessels and persons granted document to which each comment permission to enter one of the safety E. Unfunded Mandates Reform Act applies, and provide a reason for each zones listed in this section must obey all The Unfunded Mandates Reform Act suggestion or recommendation. lawful orders or directions of the of 1995 (2 U.S.C. 1531–1538) requires We encourage you to submit Captain of the Port Lake Michigan or his Federal agencies to assess the effects of comments through the Federal or her designated representative. Upon

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being hailed by the U.S. Coast Guard by warrant, or petty officer designated by Should the Captain of the Port suspend siren, radio, flashing light or other the Captain of the Port Lake Michigan any of these zones earlier than the listed means, the operator of a vessel must to monitor a safety zone, permit entry duration in this section, he or she may proceed as directed. into a safety zone, give legally make the public aware of this (3) The enforcement dates and times enforceable orders to persons or vessels suspension by Broadcast Notice to for each of the safety zones listed in within a safety zone, and take other Mariners and/or on-scene notice by his Table 165.929 are subject to change, but actions authorized by the Captain of the or her designated representative. the duration of enforcement would Port Lake Michigan. (d) Exemption. Public vessels, as remain the same or nearly the same total (2) Public vessel means a vessel that defined in paragraph (b) of this section, number of hours as stated in the table. is owned, chartered, or operated by the are exempt from the requirements in In the event of a change, the Captain of United States, or by a State or political this section. the Port Lake Michigan will provide subdivision thereof. (e) Waiver. For any vessel, the Captain notice to the public by publishing a (3) Rain date refers to an alternate of the Port Lake Michigan or his or her Notice of Enforcement in the Federal date and/or time in which the safety designated representative may waive Register, as well as, issuing a Broadcast zone would be enforced in the event of any of the requirements of this section Notice to Mariners. inclement weather. upon finding that operational (b) Definitions. The following (c) Suspension of enforcement. The conditions or other circumstances are definitions apply to this section: Captain of the Port Lake Michigan may such that application of this section is (1) Designated representative means suspend enforcement of any of these unnecessary or impractical for the any Coast Guard commissioned, zones earlier than listed in this section. purposes of safety or security.

TABLE 165.929

Event Location 1 Enforcement date and time 2

(a) March Safety Zones

(1) St. Patrick’s Day Manitowoc, WI. All waters of the Manitowoc River within the arc of a The third Saturday of March; 5:30 p.m. to 7 Fireworks. circle with a 250-foot radius from a center point launch position at p.m. 44°05.492′ N., 087°39.332′ W. (2) Public Fireworks Dis- Green Bay, WI. All waters of the Fox River in the vicinity of the Main March 15; 11:50 a.m. to 12:30 p.m. Rain play. Street and Walnut Street Bridge within an area bounded by the fol- date: March 16; 11:50 a.m. to 12:30 p.m. lowing coordinates; 44°31.211′ N., 088°00.833′ W; then southwest along the river bank to 44°30.944′ N., 088°01.159′ W.; then south- east to 44°30.890′ N., 088°01.016′ W.; then northeast along the river bank to 44°31.074′ N., 088°00.866′ W.; then northwest return- ing to the point of origin.

(b) April Safety Zones

(1) Michigan Aerospace Muskegon, MI. All waters of Muskegon Lake, near the West Michi- The last Saturday of April; 8 a.m. to 4 p.m. Challenge Sport gan Dock and Market Corp facility, within the arc of a circle with a Rocket Launch. 1,500-yard radius from the rocket launch site located in position 43°14.018′ N., 086°15.585′ W.

(2) Lubbers Cup Re- Spring Lake, MI. All waters of Spring Lake in Spring Lake, Michigan April 9; 7:45 a.m. to 6:15 p.m., and April 10; gatta. in the vicinity of Keenan Marina within a rectangle that is approxi- 8:45 a.m. to 1 p.m. mately 6,300 by 300 feet. The rectangle will be bounded by points beginning at 43°04.914′ N., 086°12.525′ W.; then east to 43°;04.958′ N, 086°11.104′ W.; then south to 43°04.913′ N., 086°11.096′ W.; then west to 43°04.867′ N., 086°12.527′ W.; then north back to the point of origin.

(c) May Safety Zones

(1) Tulip Time Festival Holland, MI. All waters of Lake Macatawa, near Kollen Park, within The first Saturday of May; 9:30 p.m. to 11:30 Fireworks. the arc of a circle with a 1,000-foot radius from the fireworks p.m. Rain date: The first Friday of May; launch site in approximate center position 42°47.496′ N., 9:30 p.m. to 11:30 p.m. 086°07.348′ W. (2) Cochrane Cup ...... Blue Island, IL. All waters of the Calumet Saganashkee Channel The first Saturday of May; 6:30 a.m. to 5 p.m. from the South Halstead Street Bridge at 41°39.442′ N., 087°38.474′ W.; to the Crawford Avenue Bridge at 41°39.078′ N., 087°43.127′ W.; and the Little Calumet River from the Ashland Av- enue Bridge at 41°39.098′ N., 087°39.626′ W.; to the junction of the Calumet Saganashkee Channel at 41°39.373′ N., 087°39.026′ W. (3) Rockets for Schools Sheboygan, WI. All waters of Lake Michigan and Sheboygan Harbor, The first Saturday of May; 8 a.m. to 5 p.m. Rocket Launch. near the Sheboygan South Pier, within the arc of a circle with a 1,500-yard radius from the rocket launch site located with its cen- ter in position 43°44.914′ N., 087°41.869′ W. (4) Celebrate De Pere De Pere, WI. All waters of the Fox River, near Voyageur Park, within The Saturday or Sunday before Memorial Fireworks. the arc of a circle with a 500- foot radius from the fireworks launch Day; 8:30 p.m. to 10 p.m. site located in position 44°27.167′ N., 088°03.833′ W.

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TABLE 165.929—Continued

Event Location 1 Enforcement date and time 2

(d) June Safety Zones

(1) International Bayfest Green Bay, WI. All waters of the Fox River, near the Western Lime The second Friday of June; 9 p.m. to 11 p.m. Company 1.13 miles above the head of the Fox River, within the arc of a circle with a 1,000-foot radius from the fireworks launch site located in position 44°31.408′ N., 088°00.710′ W. (2) Harborfest Music Racine, WI. All waters of Lake Michigan and Racine Harbor, near the Friday and Saturday of the third complete and Family Festival. Racine Launch Basin Entrance Light, within the arc of a circle with weekend of June; 9 p.m. to 11 p.m. each a 200-foot radius from the fireworks launch site located in position day. 42°43.722′ N., 087°46.673′ W. (3) Spring Lake Heritage Spring Lake, MI. All waters of the Grand River within the arc of a cir- The third Saturday of June; 9 p.m. to 11 p.m. Festival Fireworks. cle with a 700-foot radius from a barge in center position 43°04.375′ N., 086°12.401′ W. (4) Elberta Solstice Fes- Elberta, MI. All waters of Betsie Lake within the arc of a circle with a The last Saturday of June; 9 p.m. to 11 p.m. tival. 500-foot radius from the fireworks launch site located in approxi- mate center position 44°37.607′ N., 086°13.977′ W. (5) World War II Beach St. Joseph, MI. All waters of Lake Michigan in the vicinity of The last Saturday of June; 8 a.m. to 2 p.m. Invasion Re-enact- Tiscornia Park in St. Joseph, MI beginning at 42°06.918′ N., ment. 086°29.421′ W.; then west/northwest along the north breakwater to 42°06.980′ N., 086°29.682′ W.; then northwest 100 yards to 42°07.018′ N., 086°29.728′ W.; then northeast 2,243 yards to 42°07.831′ N., 086°28.721′ W.; then southeast to the shoreline at 42°07.646′ N., 086°28.457′ W.; then southwest along the shoreline to the point of origin. (6) Ephraim Fireworks ... Ephraim, WI. All waters of Eagle Harbor and Lake Michigan within The third Saturday of June; 9 p.m. to 11 p.m. the arc of a circle with a 750-foot radius from the fireworks launch site located on a barge in position 45°09.304′ N., 087°10.844′ W. (7) Thunder on the Fox Elgin, IL. All waters of the Fox River from the Kimball Street bridge, Friday, Saturday, and Sunday of the third located at approximate position 42°02.499′ N., 088°17.367′ W., weekend in June; 10 a.m. to 7 p.m. each then 1,250 yards north to a line crossing the river perpendicularly day. running through position 42°03.101′ N., 088°17.461′ W. (8) Olde Ellison Bay Ellison Bay, WI. All waters of Green Bay, in the vicinity of Ellison Bay The fourth Saturday of June; 9 p.m. to 10 Days Fireworks. Wisconsin, within the arc of a circle with a 400-foot radius from the p.m. fireworks launch site located on a barge in approximate center po- sition 45°15.595′ N., 087°05.043′ W. (9) Sheboygan Sheboygan, WI. All waters of Lake Michigan and Sheboygan Harbor June 15; 8:45 p.m. to 10:45 p.m. Harborfest Fireworks. within the arc of a circle with a 1,000-foot radius from the fireworks launch site located in position 43°44.914′ N., 087°41.897′ W.

(e) July Safety Zones

(1) Town of Porter Fire- Porter IN. All waters of Lake Michigan within the arc of a circle with a The first Saturday of July; 8:45 p.m. to 9:30 works Display. 1,000-foot radius from the fireworks launch site located in center p.m. position 41°39.927′ N., 087°03.933′ W. (2) City of Menasha 4th Menasha, WI. All waters of Lake Winnebago and the Fox River with- July 4; 9 p.m. to 10:30 p.m. of July Fireworks. in the arc of a circle with an 800-foot radius from the fireworks launch site located in center position 44°12.017′ N., 088°25.904′ W. (3) Pentwater July Third Pentwater, MI. All waters of Lake Michigan and the Pentwater Chan- July 3; 9 p.m. to 11 p.m. Rain date: July 4; 9 Fireworks. nel within the arc of a circle with a 1,000-foot radius from the fire- p.m. to 11 p.m. works launch site located in position 43°46.942′ N., 086°26.625′ W. (4) Taste of Chicago Chicago, IL. All waters of Monroe Harbor and Lake Michigan bound- July 3; 9 p.m. to 11 p.m. Rain date: July 4; 9 Fireworks. ed by a line drawn from 41°53.380′ N., 087°35.978′ W.; then p.m. to 11 p.m. southeast to 41°53.247′ N., 087°35.434′ W; then south to 41°52.809′ N., 087°35.434′ W.; then southwest to 41°52.453′ N., 087°36.611′ W.; then north to 41°53.247′ N., 087°36.573′ W.; then northeast returning to the point of origin. (5) St. Joseph Fourth of St. Joseph, MI. All waters of Lake Michigan and the St. Joseph River July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 July Fireworks. within the arc of a circle with a 1,000-foot radius from the fireworks p.m. to 11 p.m. launch site in position 42°06.867′ N., 086° 29.463′ W. (6) US Bank Fireworks .. Milwaukee, WI. All waters and adjacent shoreline of Milwaukee Har- July 3; 8:30 p.m. to 11 p.m. Rain date: July 4; bor, in the vicinity of Veteran’s park, within the arc of a circle with 8:30 p.m. to 11 p.m. a 1,200-foot radius from the center of the fireworks launch site which is located on a barge in approximate position 43°02.362′ N., 087°53.485′ W. (7) Manistee Independ- Manistee, MI. All waters of Lake Michigan, in the vicinity of the First July 3; 9 p.m. to 11 p.m. Rain date: July 4; 9 ence Day Fireworks. Street Beach, within the arc of a circle with a 1,000-foot radius p.m. to 11 p.m. from the fireworks launch site located in position 44°14.854′ N., 086°20.757′ W.

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TABLE 165.929—Continued

Event Location 1 Enforcement date and time 2

(8) Frankfort Independ- Frankfort, MI. All waters of Lake Michigan and Frankfort Harbor, July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 ence Day Fireworks. bounded by a line drawn from 44°38.100′ N., 086°14.826′ W.; then p.m. to 11 p.m. south to 44°37.613′ N., 086°14.802′ W.; then west to 44°37.613′ N., 086°15.263′ W.; then north to 44°38.094′ N., 086°15.263′ W.; then east returning to the point of origin. (9) Freedom Festival Ludington, MI. All waters of Lake Michigan and Ludington Harbor July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 Fireworks. within the arc of a circle with a 800-foot radius from the fireworks p.m. to 11 p.m. launch site located in position 43°57.171′ N., 086°27.718′ W. (10) White Lake Inde- Montague, MI. All waters of White Lake within the arc of a circle with July 4; 9:30 p.m. to 11:30 p.m. Rain date: pendence Day Fire- an 800-foot radius from a center position at 43°24.621′ N., July 5; 9:30 p.m. to 11:30 p.m. works. 086°21.463′ W. (11) Muskegon Summer Muskegon, MI. All waters of Muskegon Lake, in the vicinity of July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 Celebration July Hartshorn Municipal Marina, within the arc of a circle with a 700- p.m. to 11 p.m. Fourth Fireworks. foot radius from a center position at 43°14.039′ N., 086°15.793′ W. (12) Grand Haven Jay- Grand Haven, MI. All waters of the Grand River within the arc of a July 4; 9 p.m. to 11:30 p.m. Rain date: July 5; cees Annual Fourth of circle with a 800-foot radius from the fireworks launch site located 9 p.m. to 11:30 p.m. July Fireworks. on the west bank of the Grand River in position 43°3.908′ N., 086°14.240′ W. (13) Celebration Free- Holland, MI. All waters of Lake Macatawa in the vicinity of Kollen July 4; 10 p.m. to 11:59 p.m. Rain date: July dom Fireworks. Park within the arc of a circle with a 2,000-foot radius of a center 4; 10 p.m. to 11:59 p.m. launch position at 42°47.440′ N., 086°07.621′ W. (14) Van Andel Fire- Holland, MI. All waters of Lake Michigan and the Holland Channel July 4; 9 p.m. to 11 p.m. Rain date: July 3; 9 works Show. within the arc of a circle with a 1,000-foot radius from the fireworks p.m. to 11 p.m. launch site located in approximate position 42°46.351′ N., 086°12.710′ W. (15) Saugatuck Inde- Saugatuck, MI. All waters of Kalamazoo Lake within the arc of a cir- July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 pendence Day Fire- cle with a 500-foot radius from the fireworks launch site in center p.m. to 11 p.m. works. position 42°39.074′ N., 086°12.285′ W. (16) South Haven South Haven, MI. All waters of Lake Michigan and the Black River July 3; 9:30 p.m. to 11:30 p.m. Fourth of July Fire- within the arc of a circle with a 1,000-foot radius from the fireworks works. launch site located in center position 42°24.125′ N., 086°17.179′ W. (17) Town of Dune Dune Acres, IN. All waters of Lake Michigan within the arc of a circle The first Saturday of July; 8:45 p.m. to 10:30 Acres Independence with a 700-foot radius from the fireworks launch site located in po- p.m. Day Fireworks. sition 41°39.303′ N., 087°05.239′ W. (18) Gary Fourth of July Gary, IN. All waters of Lake Michigan, approximately 2.5 miles east July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 Fireworks. of Gary Harbor, within the arc of a circle with a 500-foot radius p.m. to 11 p.m. from the fireworks launch site located in position 41°37.322′ N., 087°14.509′ W. (19) Joliet Independence Joliet, IL. All waters of the Des Plains River, at mile 288, within the July 3; 9 p.m. to 11 p.m. Rain date: July 4; 9 Day Celebration Fire- arc of a circle with a 500-foot radius from the fireworks launch site p.m. to 11 p.m. works. located in position 41°31.522′ N., 088°05.244′ W. (20) Glencoe Fourth of Glencoe, IL. All waters of Lake Michigan in the vicinity of Lake Front July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 July Celebration Fire- Park, within the arc of a circle with a 1,000-foot radius from a p.m. to 11 p.m. works. barge in position 42°08.404′ N., 087°44.930′ W. (21) Lakeshore Country Glencoe, IL. All waters of Lake Michigan within the arc of a circle July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 Club Independence with a 600-foot radius from a center point fireworks launch site in p.m. to 11 p.m. Day Fireworks. approximate position 42°09.130′ N., 087°45.530′ W. (22) Shore Acres Coun- Lake Bluff, IL. All waters of Lake Michigan within the arc of a circle July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 try Club Independ- with a 600-foot radius from approximate position 42°17.847′ N., p.m. to 11 p.m. ence Day Fireworks. 087°49.837′ W. (23) Kenosha Independ- Kenosha, WI. All waters of Lake Michigan and Kenosha Harbor with- July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 ence Day Fireworks. in the arc of a circle with a 1,00-foot radius from the fireworks p.m. to 11 p.m. launch site located in position 42°35.283′ N., 087°48.450′ W. (24) Fourthfest of Great- Racine, WI. All waters of Racine Harbor and Lake Michigan within July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 er Racine Fireworks. the arc of a circle with a 900-foot radius from a center point posi- p.m. to 11 p.m. tion at 42°44.259′ N., 087°46.635′ W. (25) Sheboygan Fourth Sheboygan, WI. All waters of Lake Michigan and Sheboygan Harbor, July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 of July Celebration in the vicinity of the south pier, within the arc of a circle with a p.m. to 11 p.m. Fireworks. 1,000-foot radius from the fireworks launch site located in position 43°44.917′ N., 087°41.850′ W. (26) Manitowoc Inde- Manitowoc, WI. All waters of Lake Michigan and Manitowoc Harbor, July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 pendence Day Fire- in the vicinity of south breakwater, within the arc of a circle with a p.m. to 11 p.m. works. 1,000-foot radius from the fireworks launch site located in position 44°05.395′ N., 087°38.751′ W. (27) Sturgeon Bay Inde- Sturgeon Bay, WI. All waters of Sturgeon Bay, in the vicinity of Sun- July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 pendence Day Fire- set Park, within the arc of a circle with a 1,000-foot radius from the p.m. to 11 p.m. works. fireworks launch site located on a barge in position 44°50.562′ N., 087°23.411′ W.

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TABLE 165.929—Continued

Event Location 1 Enforcement date and time 2

(28) Fish Creek Inde- Fish Creek, WI. All waters of Green Bay, in the vicinity of Fish Creek July 2; 9 p.m. to 11 p.m. Rain date: July 2; 9 pendence. Harbor, within the arc of a circle with a 1,000-foot radius from the p.m. to 11 p.m. fireworks launch site located on a barge in position 45°07.867′ N., 087°14.617′ W. (29) Fire over the Fox Green Bay, WI. All waters of the Fox River including the mouth of July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 Fireworks. the East River from the Canadian National Railroad bridge in ap- p.m. to 11 p.m. proximate position 44°31.467′ N., 088°00.633′ W then southwest to the Main St. Bridge in approximate position 44°31.102′ N., 088°00.963′ W. (30) Celebrate Green Bay, WI. All waters of the Fox River, including the mouth of July 4 from 2:30 p.m. to 4:30 p.m. Rain date: Americafest Ski Show. the East River from the West Walnut Street Bridge in approximate July 5; 2:30 p.m. to 4:30 p.m. position 44°30.912′ N., 088°01.100′ W., then northeast to an imagi- nary line running perpendicularly across the river through coordi- nate 44°31.337′ N., 088°00.640′ W. (31) Marinette Fourth of Marinette, WI. All waters of the Menominee River, in the vicinity of July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 July Celebration Fire- Stephenson Island, within the arc of a circle with a 900-foot radius p.m. to 11 p.m. works. from the fireworks launch site in center position 45°6.232′ N., 087°37.757′ W. (32) Evanston Fourth of Evanston, IL. All waters of Lake Michigan, in the vicinity of Centen- July 4; 9 p.m. to 11 p.m. Rain date: July 5; 9 July Fireworks. nial Park Beach, within the arc of a circle with a 500-foot radius p.m. to 11 p.m. from the fireworks launch site located in position 42°02.933′ N., 087°40.350′ W. (33) Gary Air and Water Gary, IN. All waters of Lake Michigan bounded by a line drawn from July 6 thru 10; 8:30 a.m. to 5 p.m. Show. 41°37.217′ N., 087°16.763′ W.; then east along the shoreline to 41°37.413′ N., 087°13.822′ W.; then north to 41°38.017′ N., 087°13.877′ W.; then southwest to 41°37.805′ N., 087°16.767′ W.; then south returning to the point of origin. (34) Annual Trout Fes- Kewaunee, WI. All waters of Kewaunee Harbor and Lake Michigan Friday of the second complete weekend of tival Fireworks. within the arc of a circle with a 1,000-foot radius from the fireworks July; 9 p.m. to 11 p.m. launch site located in position 44°27.493′ N., 087°29.750′ W. (35) Michigan City Michigan City, IN. All waters of Michigan City Harbor and Lake Michi- Sunday of the second complete weekend of Summerfest Fireworks. gan within the arc of a circle with a 1,000-foot radius from the fire- July; 8:30 p.m. to 10:30 p.m. works launch site located in position 41°43.700′ N., 086°54.617′ W. (36) Port Washington Port Washington, WI. All waters of Port Washington Harbor and Lake The third Saturday of July; 9 p.m. to 11 p.m. Fish Day Fireworks. Michigan, in the vicinity of the WE Energies coal dock, within the arc of a circle with a 1,000-foot radius from the fireworks launch site located in position 43°23.117′ N., 087°51.900′ W. (37) Bay View Lions Milwaukee, WI. All waters of Lake Michigan and Milwaukee Harbor, Friday, Saturday, and Sunday of the second Club South Shore in the vicinity of South Shore Yacht Club, within the arc of a circle or third weekend of July; 9 p.m. to 11 p.m. Frolics Fireworks. with a 900-foot radius from the fireworks launch site in position each day. 42°59.658′ N., 087°52.808′ W. (38) Venetian Festival St. Joseph, MI. All waters of Lake Michigan and the St. Joseph Saturday of the third complete weekend of Fireworks. River, near the east end of the south pier, within the arc of a circle July; 9 p.m. to 11 p.m. with a 1,000-foot radius from the fireworks launch site located in position 42°06.800′ N., 086°29.250′ W. (39) Joliet Waterway Joliet, IL. All waters of the Des Plaines River, at mile 287.5, within Friday and Saturday of the third complete Daze Fireworks. the arc of a circle with a 300-foot radius from the fireworks launch weekend of July; 9 p.m. to 11 p.m. each site located in position 41°31.250′ N., 088°05.283′ W. day. (40) EAA Airventure ...... Oshkosh, WI. All waters of Lake Winnebago in the vicinity of Willow The last complete week of July, beginning Harbor within an area bounded by a line connecting the following Monday and ending Sunday; 8 a.m. to 8 coordinates: beginning at 43°56.822′ N., 088°29.904′ W; then north p.m. each day. approximately 5,100 feet to 43°57.653′ N., 088°29.904′ W., then east approximately 2,300 feet to 43°57.653′ N., 088°29.374′ W; then south to shore at 43°56.933′ N., 088°29.374′ W.; then south- west along the shoreline to 43°56.822′ N., 088°29.564′ W.; then west returning to the point of origin. (41) Saugatuck Venetian Saugatuck, MI. All waters of Kalamazoo Lake within the arc of a cir- The last Saturday of July; 9 p.m. to 11 p.m. Night Fireworks. cle with a 500-foot radius from the fireworks launch site located on a barge in position 42°39.073′ N., 086°12.285′ W. (42) Roma Lodge Italian Racine, WI. All waters of Lake Michigan and Racine Harbor within Friday and Saturday of the last complete Festival Fireworks. the arc of a circle with a 1,000-foot radius from the fireworks weekend of July; 9 p.m. to 11 p.m. launch site located in position 42°44.067′ N., 087°46.333′ W. (43) Chicago Venetian Chicago, IL. All waters of Monroe Harbor and all waters of Lake Saturday of the last weekend of July; 9 p.m. Night Fireworks. Michigan bounded by a line drawn from 41°53.050′ N., to 11 p.m. 087°36.600′ W.; then east to 41°53.050′ N., 087°36.350′ W.; then south to 41°52.450′ N., 087°36.350′ W.; then west to 41°52.450′ N., 087°36.617′ W.; then north returning to the point of origin. (44) New Buffalo Busi- New Buffalo, MI. All waters of Lake Michigan and New Buffalo Har- July 3rd or July 5th; 9:30 p.m. to 11:15 p.m. ness Association Fire- bor within the arc of a circle with a 800-foot radius from the fire- works. works launch site located in position 41°48.153′ N., 086°44.823′ W.

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TABLE 165.929—Continued

Event Location 1 Enforcement date and time 2

(45) Start of the Chicago Chicago, IL. All waters of Lake Michigan in the vicinity of the Navy July 22; 2 p.m. to 4:30 p.m. and July 23; 9 to Mackinac Race. Pier at Chicago IL, within a rectangle that is approximately 1,500 a.m. to 3 p.m. by 900 yards. The rectangle is bounded by the coordinates begin- ning at 41°53.252′ N., 087°35.430′ W.; then south to 41°52.812′ N., 087°35.430′ W.; then east to 41°52.817′ N., 087°34.433′ W.; then north to 41°53.250′ N., 087°34.433′ W.; then west, back to point of origin. (46) Fireworks at Pier Milwaukee, WI. All waters of Milwaukee Harbor, including Lakeshore Dates and times will be issued by Notice of Wisconsin. Inlet and the marina at Pier Wisconsin, within the arc of a circle Enforcement and Broadcast Notice to Mari- with a 300-foot radius from the fireworks launch site on Pier Wis- ners. consin located in approximate position 43°02.178′ N., 087°53.625′ W. (47) Gills Rock Fire- Gills Rock, WI. All waters of Green Bay near Gills Rock WI within a July 4; 8:30 p.m. to 10:30 p.m. works. 1,000-foot radius of the launch vessel in approximate position at 45°17.470′ N., 087°01.728′ W. (48) City of Menominee Menominee, MI. All waters of Green Bay, in the vicinity of Menom- July 4; 9 p.m. to 11 p.m. 4th of July Celebration inee Marina, within the arc of a circle with a 900-foot radius from a Fireworks. center position at 45°06.417′ N., 087°36.024′ W. (49) Miesfeld’s Lake- Sheboygan, WI. All waters of Lake Michigan and Sheboygan Harbor July 29; 9 p.m. to 10:30 p.m. Rain date: July shore Weekend Fire- within an 800-foot radius from the fireworks launch site located at 30; 9 p.m. to 10:30 p.m. works. the south pier in approximate position 43°44.917′ N., 087°41.967′ W. (50) Marinette Logging Marinette, WI. All waters of the Menominee River, in the vicinity of July 13; 9 p.m. to 11 p.m. and Heritage Festival Stephenson Island, within the arc of a circle with a 900-foot radius Fireworks. from the fireworks launch site in position 45°06.232′ N., 087°37.757′ W. (51) Summer in the City Green Bay, WI. All waters of the Fox River in Green Bay, WI from Each Wednesday of July through August; 6 Water Ski Show. the Main Street Bridge in position 44°31.089′ N., 088°00.904′ W. p.m. to 6:30 p.m. and 7 p.m. to 7:30 p.m. then southwest to the Walnut Street Bridge in position 44°30.900′ N. 088°01.091′ W. (52) Holiday Celebration Kewaunee, WI. All waters of Kewaunee Harbor and Lake Michigan July 4; 8:30 p.m. to 10:30 p.m. Rain date: Fireworks. within the arc of a circle with a 1,000-foot radius from the fireworks July 5; 8:30 p.m. to 10:30 p.m. launch site located in position 44°27.481′ N., 087°29.735′ W. (53) Independence Day Wilmette, IL. All waters of Lake Michigan and the North Shore Chan- July 3; 8:30 p.m. to 10:15 p.m. Fireworks. nel within the arc of a circle with a 1,000-foot radius from the fire- works launch site located at approximate center position 42°04.674′ N., 087°40.856′ W. (54) Neenah Fireworks Neenah, WI. All waters of Lake Winnebago within a 700-foot radius July 3 or 4; 8:45 p.m. to 10:30 p.m. of an approximate launch position at 44°11.126′ N., 088°26.941′ W. (55) Milwaukee Air and Milwaukee, WI. All waters and adjacent shoreline of Lake Michigan in July 6 thru 10; 8:30 a.m. to 5 p.m. Water Show. the vicinity of McKinley Park located within an area that is approxi- mately 4,800 by 1,250 yards. The area will be bounded by the points beginning at 43°02.450′ N., 087°52.850′ W.; then southeast to 43°02.230′ N., 087°52.061′ W.; then northeast to 43°04.543′ N., 087°50.801′ W.; then northwest to 43°04.757′ N., 087°51.512′ W.; then southwest returning to the point of origin.

(f) August Safety Zones

(1) Super Boat Grand Michigan City, IN. All waters of Lake Michigan bounded by a rec- The first Sunday of August; 9 a.m. to 4 p.m. Prix. tangle drawn from 41°43.655′ N., 086°54.550′ W.; then northeast Rain date: The first Saturday of August; 9 to 41°44.808′ N., 086°51.293′ W., then northwest to 41°45.195′ N., a.m. to 4 p.m. 086°51.757′ W.; then southwest to 41°44.063′ N., 086°54.873′ W.; then southeast returning to the point of origin. (2) Port Washington Port Washington, WI. All waters of Port Washington Harbor and Lake Saturday of the last complete weekend of July Maritime Heritage Michigan, in the vicinity of the WE Energies coal dock, within the or the second weekend of August; 9 p.m. to Festival Fireworks. arc of a circle with a 1,000-foot radius from the fireworks launch 11 p.m. site located in position 43°23.117′ N., 087°51.900′ W. (3) Grand Haven Coast Grand Haven, MI. All waters of the Grand River within the arc of a First weekend of August; 9 p.m. to 11 p.m. Guard Festival Fire- circle with an 800-foot radius from the fireworks launch site located works. on the west bank of the Grand River in position 43°03.907′ N., 086°14.247′ W. (4) Sturgeon Bay Yacht Sturgeon Bay, WI. All waters of Sturgeon Bay within the arc of a cir- The first Saturday of August; 8:30 p.m. to Club Evening on the cle with a 500-foot radius from the fireworks launch site located on 10:30 p.m. Bay Fireworks. a barge in approximate position 44°49.297′ N., 087°21.447′ W. (5) Hammond Marina Hammond, IN. All waters of Hammond Marina and Lake Michigan The first Saturday of August; 9 p.m. to 11 Venetian Night Fire- within the arc of a circle with a 1,000-foot radius from the fireworks p.m. works. launch site located in position 41°41.883′ N., 087°30.717′ W. (6) North Point Marina Winthrop Harbor, IL. All waters of Lake Michigan within the arc of a The second Saturday of August; 9 p.m. to 11 Venetian Festival Fire- circle with a 1,000-foot radius from the fireworks launch site lo- p.m. works. cated in position 42°28.917′ N., 087°47.933′ W.

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TABLE 165.929—Continued

Event Location 1 Enforcement date and time 2

(7) Waterfront Festival Menominee, MI. All waters of Green Bay, in the vicinity of Menom- August 3; 9 p.m. to 11 p.m. Fireworks. inee Marina, within the arc of a circle with a 1,000-foot radius from a center position at 45°06.447′ N., 087°35.991′ W. (8) Ottawa Riverfest Ottawa, IL. All waters of the Illinois River, at mile 239.7, within the The first Sunday of August; 9 p.m. to 11 p.m. Fireworks. arc of a circle with a 300-foot radius from the fireworks launch site located in position 41°20.483′ N., 088°51.333′ W. (9) Chicago Air and Chicago, IL. All waters and adjacent shoreline of Lake Michigan and August 18 thru 21; 8:30 a.m. to 5 p.m. Water Show. Chicago Harbor bounded by a line drawn from 41°55.900′ N at the shoreline, then east to 41°55.900′ N., 087°37.200′ W, then south- east to 41°54.000′ N., 087°36.000′ W., then southwestward to the northeast corner of the Jardine Water Filtration Plant, then due west to the shore. (10) Pentwater Home- Pentwater, MI. All waters of Lake Michigan and the Pentwater Chan- Saturday following the second Thursday of coming Fireworks. nel within the arc of a circle with a 1,000-foot radius from the fire- August; 9 p.m. to 11 p.m. works launch site located in position 43°46.942′ N., 086°26.633′ W. (11) Chicago Match Cup Chicago, IL. All waters of Chicago Harbor in the vicinity of Navy Pier August 6 thru 11; 8 a.m. to 8 p.m. Race. and the Chicago Harbor break wall bounded by coordinates begin- ning at 41°53.617′ N., 087°35.433′ W.; then south to 41°53.400′ N., 087°35.433′ W.; then west to 41°53.400′ N., 087°35.917′ W.; then north to 41°53.617′ N., 087°35.917′ W.; then back to point of origin. (12) New Buffalo Ship New Buffalo, MI. All waters of Lake Michigan and New Buffalo Har- August 10; 9:30 p.m. to 11:15 p.m. and Shore Fireworks. bor within the arc of a circle with a 800-foot radius from the fire- works launch site located in position 41°48.150′ N., 086°44.817′ W. (13) Operations at Marinette, WI. All waters of the Menominee River in the vicinity of This zone will be enforced in the case of haz- Marinette Marine. Marinette Marine Corporation, from the Bridge Street Bridge lo- ardous cargo operations or vessel launch cated in position 45°06.188′ N., 087°37.583′ W., then approxi- by issue of Notice of Enforcement and Ma- mately .95 NM south east to a line crossing the river perpendicu- rine Broadcast. larly passing through positions 45°05.881′ N., 087°36.281′ W. and 45°05.725′ N., 087°36.385′ W. (14) Fireworks Display .. Winnetka, IL. All waters of Lake Michigan within the arc of a circle Third Saturday of August; 9:15 p.m. to 10:30 with a 900-foot radius from a center point barge located in approxi- p.m. mate position 42°06.402′ N., 087°43.115′ W. (15) Algoma Shanty Algoma, WI. All waters of Lake Michigan and Algoma Harbor within Sunday of the second complete weekend of Days Fireworks. the arc of a circle with a 1,000-foot radius from the fireworks August; 9 p.m. to 11 p.m. launch site located in a center position of 44°36.400′ N., 087°25.900′ W. (16) Venetian Night Pa- Chicago, IL. All waters of Lake Michigan, in the vicinity of Navy Pier, Last Saturday of August; 6:30 p.m. to 9:30 rade. bounded by coordinates beginning at 41°53.771′ N., 087°35.815′ p.m. W.; and then south to 41°53.367′ N., 087°35.814′ W.; then west to 41°53.363′ N., 087°36.587′ W.; then north to 41°53.770′ N., 087°36.601′ W.; then east back to the point of origin.

(g) September Safety Zones

(1) ISAF Nations Cup Sheboygan, WI. All waters of Lake Michigan and Sheboygan Harbor, September 13; 7:45 p.m. to 8:45 p.m. Grand Final Fireworks in the vicinity of the south pier in Sheboygan Wisconsin, within a Display. 500-foot radius from the fireworks launch site located on land in position 43°44.917′ N., 087°41.850′ W. (2) Sister Bay Sister Bay, WI. All waters of Sister Bay within an 800-foot radius of September 3; 1 p.m. to 3:15 p.m. Marinafest Ski Show. position 45° 11.585′ N., 087°07.392′ W. (3) Sister Bay Sister Bay, WI. All waters of Sister Bay within an 800-foot radius of September 3 and 4; 8:15 p.m. to 10 p.m. Marinafest Fireworks. the launch vessel in approximate position 45°11.585′ N., 087°07.392′ W.

(h) October Safety Zones

(1) Corn Festival Fire- Morris, IL. All waters of the Illinois River within a 560-foot radius from The first Saturday of October; 8:15 p.m. to works. approximate launch position at 41°21.173′ N., 088°25.101′ W. 9:15 p.m.

(i) November Safety Zones

(1) Downtown Mil- Milwaukee, WI. All waters of the Milwaukee River in the vicinity of The third Thursday of November; 6 p.m. to 8 waukee Fireworks. the State Street Bridge within the arc of a circle with a 300-foot ra- p.m. dius from a center point fireworks launch site in approximate posi- tion 43°02.559′ N., 087°54.749′ W. (2) Magnificent Mile Chicago, IL. All waters and adjacent shoreline of the Chicago River The third weekend in November; sunset to Fireworks Display. bounded by the arc of the circle with a 210-foot radius from the termination of display. fireworks launch site with its center in approximate position of 41°53.350′ N., 087°37.400′ W.

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TABLE 165.929—Continued

Event Location 1 Enforcement date and time 2

(j) December Safety Zones

(1) New Years Eve Fire- Chicago, IL. All waters of Monroe Harbor and Lake Michigan within December 31; 11 p.m. to January 1 at 1 a.m. works. the arc of a circle with a 1,000-foot radius from the fireworks launch site located on a barge in approximate position 41°52.683′ N., 087°36.617′ W. 1 All coordinates listed in Table 165.929 reference Datum NAD 1983. 2 As noted in paragraph (a)(3) of this section, the enforcement dates and times for each of the listed safety zones are subject to change.

Dated: December 18, 2015. ADDRESSES: Submit your comments, and PADEP that demonstrates how A.B. Cocanour, identified by Docket ID No. EPA–R03– Pennsylvania will achieve and maintain Captain, U.S. Coast Guard, Captain of the OAR–2015–0112 at http:// compliance with the 2008 lead NAAQS. Port Lake Michigan. www.regulations.gov, or via email to EPA has determined that Pennsylvania’s [FR Doc. 2016–00865 Filed 1–19–16; 8:45 am] [email protected]. For attainment plan for the 2008 lead BILLING CODE 9110–04–P comments submitted at Regulations.gov, NAAQS for the Lower Beaver Valley follow the online instructions for Area meets the applicable requirements submitting comments. Once submitted, of the CAA in sections 172 and 192. ENVIRONMENTAL PROTECTION comments cannot be edited or removed Thus, EPA is proposing to approve AGENCY from Regulations.gov. For either manner Pennsylvania’s attainment plan for the of submission, the EPA may publish any Lower Beaver Valley Area. 40 CFR Part 52 comment received to its public docket. EPA’s analysis and findings are Do not submit electronically any discussed for each applicable [EPA–R03–OAR–2015–0112; FRL–9941–27– information you consider to be Region 3] requirement in this rulemaking action. Confidential Business Information (CBI) Additional details on the base year Approval and Promulgation of Air or other information whose disclosure is inventory and modeling portions of the Quality Implementation Plans; restricted by statute. Multimedia attainment demonstration are contained Pennsylvania; Attainment Plan for the submissions (audio, video, etc.) must be in two Technical Support Documents Lower Beaver Valley Nonattainment accompanied by a written comment. (TSDs) for this proposed action. The written comment is considered the Area for the 2008 Lead National I. Background Ambient Air Quality Standard official comment and should include discussion of all points you wish to On November 12, 2008 (73 FR 66964), AGENCY: Environmental Protection make. The EPA will generally not EPA revised the lead NAAQS, lowering Agency (EPA). consider comments or comment the level from 1.5 micrograms per cubic ACTION: Proposed rule. contents located outside of the primary meter (mg/m3) to 0.15 mg/m3 calculated submission (i.e. on the web, cloud, or over a three-month rolling average. EPA SUMMARY: The Environmental Protection other file sharing system). For established the 2008 lead NAAQS based Agency (EPA) is proposing to approve a additional submission methods, please on significant evidence and numerous state implementation plan (SIP) revision contact the person identified in the FOR health studies demonstrating that submitted by the Commonwealth of FURTHER INFORMATION CONTACT section. serious health effects are associated Pennsylvania (Pennsylvania) for the For the full EPA public comment policy, with exposures to lead emissions. purpose of demonstrating attainment of information about CBI or multimedia On November 22, 2010, EPA the 2008 lead national ambient air submissions, and general guidance on designated Vanport and Potter quality standard (NAAQS) in the Lower making effective comments, please visit Townships in Beaver County, Beaver Valley 2008 lead nonattainment http://www2.epa.gov/dockets/ Pennsylvania as the Lower Beaver area (Lower Beaver Valley Area or commenting-epa-dockets. Valley Area for its nonattainment status Area). The attainment plan includes the FOR FURTHER INFORMATION CONTACT: with the 2008 lead NAAQS. The design base year emissions inventory, modeling Gerallyn Duke, (215) 814–2084, or by value used for this designation was demonstration of attainment with the email at [email protected]. based on monitoring data from 2007– lead NAAQS, and an analysis of SUPPLEMENTARY INFORMATION: On 2009. On November 22, 2011, EPA reasonably available control measures January 15, 2015, PADEP submitted a revised the lead NAAQS designation for (RACM), reasonably available control revision to its SIP for the purpose of the Area based on 2008–2010 technology (RACT), and reasonable demonstrating attainment of the 2008 monitoring data by adding Center further progress (RFP). The attainment lead NAAQS in the Lower Beaver Valley Township to the Area. 76 FR 72097. plan also includes contingency Area in accordance with requirements Under sections 191(a) and 192 of the measures for the Lower Beaver Valley in sections 172 and 192 of the CAA. CAA, Pennsylvania is required to Area which include parts of a Consent Pennsylvania’s lead attainment plan for submit a SIP revision with a plan for Order and Agreement (COA) between the Area includes a base year emissions how the Area will attain the 2008 lead Horsehead Corporation (Horsehead) and inventory, a modeling demonstration of NAAQS, as expeditiously as practicable, the Pennsylvania Department of attainment with the 2008 lead NAAQS, but no later than December 31, 2015. Environmental Protection (PADEP). an analysis of RACM, RACT, and RFP, Horsehead owned and operated a This action is being taken under the and contingency measures. The lead permitted zinc production plant in Clean Air Act (CAA). attainment plan also includes Potter Township, Pennsylvania (the DATES: Written comments must be paragraphs 3, 5, and 6 of a COA, dated Monaca Smelter or Facility). This received on or before February 19, 2016. November 21, 2012, between Horsehead Facility was the only industrial source

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of lead emissions over 0.5 tons per year relevant pollutant or pollutants in the 0.5 tpy, an electric generating unit (tpy) in the Area. On November 21, relevant nonattainment area. These (EGU), Bruce Mansfield Power Station 2012, PADEP and Horsehead entered inventories provide a detailed (Bruce Mansfield), is located in the into a COA which required Horsehead accounting of all emissions and adjacent municipality of Shippingsport. to permanently discontinue, on or emission sources by relevant pollutant The monitor associated with Bruce before October 1, 2014, production of and its precursors. In the November 12, Mansfield was in attainment with the zinc metal from its electrothermic 2008 lead NAAQS rulemaking, EPA 2008 lead NAAQS, demonstrating it had furnace line (Furnace Plant), the finalized the emissions inventory no impact on the Lower Beaver Valley sintering line (Sinter Plant), and requirements. These inventory Area, so Bruce Mansfield was not secondary material operations. After requirements at 40 CFR 51.117(e) included in the Inventory. these units shut down permanently, the require, among other things, that the SIP Horsehead produced high purity zinc COA provided that Horsehead would be inventory include all sources that emit oxide and high grade zinc metal at the subject to an aggregate potential lead 0.5 or more tons of lead emissions per Facility. Two sources emitted the emission rate of 0.1 tpy over each year, that the inventory is subject to majority of lead emissions from the consecutive 12-month rolling period public hearing requirements, and that Facility: the Sinter Plant and the from all of its remaining stationary and the inventory is included in the SIP. Furnace Plant. Roughly ninety-five fugitive emission sources at the Facility. Section 172(c)(3) of the CAA requires percent of the Facility’s 2010 lead However, in May 2014, Horsehead that an identification of emissions from emissions which volatilized during permanently ceased operations at all sources of lead in the nonattainment processing were point sources and the additional major sources of emissions at area be submitted with attainment remaining five percent escaped as the Facility, including the Larvik plans. The base year inventory is fugitive emissions. Estimates used for Furnaces and Refinery Feed Pot, which typically one of the years in which the calculating 2010 fugitive lead emissions were not required under the COA to be area was designated for the standard at the Sinter Plant were based on shut down. Horsehead’s zinc dust sizing and includes emissions from stationary estimates from samples collected during circuit, whose emissions are considered point and nonpoint sources. EPA 2007 and 2008. PADEP considered insignificant, is allowed to continue to recommends using either 2010 or 2011 estimates of 2010 fugitive emissions to operate periodically, subject to the 0.1 as the base year, but does provide be conservative because improvements tpy facility-wide limit contained in its flexibility for using other inventory made in fugitive emission control at the federally-enforceable permit as well as years if states can show another year is Facility, including controls installed at in the COA. more appropriate. Additionally, EPA the Sinter Plant since 2008, were not guidance provides that actual emissions factored into the analysis for 2010 II. Summary of SIP Revision should be used for purposes of the base fugitive emissions. On January 15, 2015, the year inventory.1 Table 1 identifies the 2010 base year Commonwealth of Pennsylvania Pennsylvania’s lead attainment plan emissions inventory for the Lower through the PADEP submitted an for Lower Beaver Valley Area evaluates Beaver Valley Area. In 2010, lead attainment plan for the Lower Beaver lead emissions in the Area, which emissions from point sources or stacks Valley Area as a SIP revision which includes sources in the area bounded by in the Area totaled 5.5961 tons. Lead includes the base year emissions Vanport, Potter, and Center Townships emissions from nonpoint sources, inventory and an attainment in Beaver County. There are no including mobile sources, also were demonstration. The attainment precursors for lead which EPA requires included in the lead inventory but demonstration includes: technical to be considered for the lead attainment found by PADEP to be insignificant. analyses that locate, identify, and plan required by section 172 of the There are no other sources of lead quantify sources of lead emissions CAA. emissions in the Area above 0.5 tpy of which contributed to violations of the Pennsylvania developed its base-year lead emissions nor smaller sources. 2008 lead NAAQS; a modeling analysis inventory using data from 2010, the year According to Pennsylvania’s inventory, of an emissions control strategy that the Area was designated nonattainment, the Monaca Smelter’s emissions demonstrates attainment with the 2008 for stationary source lead emissions. For comprised almost all of the lead lead NAAQS by the attainment year the nonpoint sources of lead emissions, emissions in the Area in 2010. 2015; and an analysis of RACT, RACM PADEP submitted EPA’s 2011 National and RFP, and contingency measures for Emissions Inventory (NEI) v2 data as a TABLE 1—2010 BASE YEAR LOWER the Lower Beaver Valley Area. The SIP surrogate for the 2010 inventory, since BEAVER VALLEY NONATTAINMENT inventories for nonpoint source revision also includes paragraphs 3, 5, AREA EMISSIONS INVENTORY and 6 of the COA between Horsehead emissions are only prepared every three and PADEP as measures for the years (2008, 2011) and 2011 was the Lead emissions attainment plan. EPA’s analysis of the most recent inventory available. Source (tpy) submitted attainment plan includes a The only source of lead emissions review of the pollutant addressed, above 0.5 tpy within the Lower Beaver Monaca Smelter ...... 5.5531 emissions inventory requirements, Valley Area was the Monaca Smelter. AES Beaver Valley Plant .. 0.0430 modeling, RACM, RACT, and RFP The only other stationary source of lead emissions in the Lower Beaver Valley Subtotal for Point requirements, and contingency Sources ...... 5.5961 measures for the Lower Beaver Valley Area was AES Beaver Valley, a 125–MW Nonpoint Sources ...... 0.0009 Area. coal-fired cogeneration plant, though its lead emissions are less than 0.5 tpy. Total ...... 5.5970 1. Emissions Inventory Requirements Another source of lead emissions above States are required under section Additional information regarding the 172(c)(3) of the CAA for nonattainment 1 See ‘‘Addendum to the 2008 Lead NAAQS emissions inventory for the Area and areas to develop comprehensive, Implementation Questions and Answers’’ dated EPA’s analysis of the inventory in August 10, 2012, which is included in EPA’s SIP accurate, and current inventories of Toolkit located at www3.epa.gov/airquality/lead/ accordance with CAA requirements in actual emissions from all sources of the implement.html. CAA section 172(c) and 40 CFR

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51.117(e) can be found in the TSD for emissions from nonpoint sources and attainment. See 58 FR 67751 (December the Base Year Inventory for the Lower mobile source were also examined, but 22, 1993). Beaver Valley Area which is included in found to be insignificant, so they were In March 2012, EPA issued guidance the docket for this proposed action not included in the lead modeling titled, ‘‘Guide to Developing Reasonably (EPA–R03–OAR–2015–0112) and is demonstration. The modeling was Available Control Measures for available online at www.regulations.gov. conducted in accordance with 40 CFR Controlling Lead Emissions’’ (RACM EPA finds that the 2010 base year part 51, Appendix W—Guideline on Air Guidance).2 Pennsylvania performed a emissions inventory prepared by Quality Models. RACM analysis in compliance with the Pennsylvania and included in the The final modeled lead concentration RACM Guidance. The shutdown of the January 15, 2015 SIP submission for for the future attainment year of 2015 is Monaca Smelter Sinter Plant, Furnace Lower Beaver Valley Area meets the the maximum projected three-month requirements of section 172(c)(3) of the Plant, and secondary materials average lead concentration of 0.0274 mg/ operations on May 19, 2014 are discrete CAA and the corresponding regulations 3 m plus the background monitored control measures that have already at 40 CFR 51.117(e). concentration of 0.05 mg/m3 from the occurred. Pennsylvania has determined Shippingport monitor. This yields a 2. Attainment Planning Modeling that the shutdown of those operations at projected lead concentration of the Monaca Smelter, along with a plant- Section 172 of the CAA and the lead approximately 0.08 mg/m3, which is wide lead emission limit of 0.1 tpy control strategy regulations found at 40 significantly lower than the NAAQS of CFR 51.117 require states to employ required in the COA, addresses RACM 0.15 mg/m3. atmospheric dispersion modeling for the based on the significant decrease in Modeling for attainment was based demonstration of attainment of the lead emissions that will result. primarily on the lead emissions NAAQS as expeditiously as practicable. The 2012 COA also incorporates 40 CFR 51.117(a) requires a expected in December 31, 2015. Due to monitored violations in 2013 and early requirements for control of fugitive demonstration that the attainment plan emissions from the Monaca Smelter, will attain the NAAQS in the areas in 2014, the Area will not attain the and PADEP has determined that all the vicinity of point sources listed in 40 NAAQS by 2015 based on ambient air known significant sources of lead CFR 51.117(a)(1) as well as any other quality over 36 consecutive three-month emissions from the Facility have been area with lead concentrations in excess periods. However, closure of Horsehead of the NAAQS per 40 CFR 1.117(a)(2). operations in 2014 will facilitate eliminated, controlled, or found The demonstration must meet the attainment of the 2008 lead NAAQS by ineffective or not viable, consistent with requirements of 40 CFR 51.112 and 2017. More detailed information on the EPA’s RACM Guidance (which also 51.117 as well as appendix W of 40 CFR modeling system tools and documents addresses RACT). Because Horsehead part 51 and include inventory data, used for the model attainment agreed in the COA to discontinue metal modeling results, and emissions demonstration for the Area and EPA’s production operation at the site by reduction analyses on which the state analysis of PADEP’s attainment October 14, 2014, PADEP considered has based its projected attainment. All modeling conducted for the Area can be further investment in additional control these requirements comprise the found on the EPA Technology Transfer strategies to not be reasonable or cost ‘‘attainment demonstration’’ that is Network Support Center for Regulatory effective. Thus, PADEP has determined required for lead nonattainment areas. Atmospheric Modeling (SCRAM) that no additional control measures PADEP performed an air-dispersion (http://www.epa.gov/ttn/scram/), in such as RACT are required at the modeling analysis to predict the Pennsylvania’s January 15, 2015 Monaca Smelter. EPA has reviewed maximum predicted three-month rolling submittal, and in the TSD for the PADEP’s determinations and analysis lead concentration using emission modeling portion of the proposed SIP in and finds it reasonable for RACM and inventories representing two facilities, the docket for this proposed action RACT at the Monaca Smelter. (EPA–R03–OAR–2015–0112) and Monaca Smelter and AES Beaver Valley. EPA set a threshold of 0.5 tpy for lead available online at www.regulations.gov. PADEP used reported lead emissions in sources to undergo a RACT analysis. 73 2010 for the base year and projected EPA finds the modeling was conducted FR 67038. Because the lead emissions (future) lead emissions for 2015 because in accordance with requirements for a from the AES Beaver Valley facility are 2015 is the attainment year for the 2008 modeled attainment demonstration in well below 0.5 tpy, PADEP concluded lead NAAQS. Horsehead’s 2010 the CAA and in 40 CFR 51.112 and 117 no RACT review is required for that emissions include point and fugitive and in appendix W of 40 CFR part 51. facility and EPA finds PADEP’s emission sources. 3. RACM, RACT, and RFP Projected emissions were determined conclusion reasonable for AES Beaver based on the November 21, 2012 COA Section 172(c)(1) of the CAA requires Valley. for Horsehead, which contains a plant- nonattainment areas to implement all Section 172(c)(2) of the CAA also wide lead emission limit of 0.1 tpy for RACM, including emissions reductions requires areas designated as the Facility, as well as maximum through the adoption of RACT, as nonattainment for criteria pollutants to throughput information and allowable expeditiously as practicable. EPA include a demonstration of RFP for lead emissions from AES Beaver Valley interprets this as requiring meeting air quality standards in under its current permit. Only point consideration of all available controls attainment plans. Section 171(1) of the source emissions were calculated for and to implement all measures in the CAA defines RFP as annual incremental AES Beaver Valley, as only point source nonattainment area that are determined reductions in emissions of the relevant emissions were reported from AES. to be reasonably available. However, air pollutants as required by Part D of PADEP did not include emissions from EPA believes it would be unreasonable Title I of the CAA, or emission Bruce Mansfield in its modeling for the to require that a plan which reductions that may reasonably be attainment demonstration because prior demonstrates attainment include all required by EPA to ensure attainment of modeling had demonstrated Bruce technologically and economically Mansfield did not contribute to available control measures even though 2 http://www3.epa.gov/airquality/lead/pdfs/ nonattainment in the Area. Lead such measures would not expedite 2012ImplementationGuide.pdf.

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the applicable NAAQS by the applicable an implementation schedule.5 In measures. Any single sample result date.3 addition, these measures should be ones exceeding 0.15mg/m3 at a monitor in the As stated in the final lead NAAQS that are not already included in the SIP Lower Beaver Valley Area would trigger rule (73 FR 67038), RFP is satisfied by control strategy for attaining the investigation by PADEP to determine the strict adherence to a compliance standard. See 73 FR 67038 (November what specific activities have caused the schedule which is expected to 12, 2008). increased concentration level (because periodically yield significant emission The contingency measures in the only significant stationary source of reductions. Pennsylvania’s control Pennsylvania’s SIP submittal are lead emissions is no longer in strategy in the Lower Beaver Valley primarily focused on control of fugitive operation). Should PADEP determine, as Area is not staggered or phased. dust because there is no longer an the result of observations by PADEP or Nonattainment of the 2008 lead NAAQS operating source with emissions above receipt of a complaint, that specific is primarily attributable to a single 0.5 tpy of lead in the Area. The SIP activities are likely to have caused an source, the Monaca Smelter, whose submittal provides for contingency exceedance or violation, PADEP will major operations shut down in May measures in the COA with Horsehead notify the party that an action appears 2014. Ambient air quality which would apply should Horsehead to be adversely affecting the NAAQS or concentrations dropped at or below continue operations at units not violating Pennsylvania regulations. attainment levels immediately after required to be shut down under the Corrective action in the form of Horsehead shut down these operations COA, and should PADEP determine that contingency measures would follow, at the Facility, thus fulfilling RFP these operations cause or significantly involving enforcement as appropriate. requirements for the Lower Beaver contribute to ongoing lead NAAQS Pennsylvania’s SIP submission further Valley Area. All of the Area’s ambient exceedances. These measures include provides that persistent lead air quality monitors reported lead source testing and reporting, wetting exceedances at any monitor would concentrations below the 2008 lead down roads in the facility, installing trigger increased sampling frequency at NAAQS for the three-month rolling and operating a vehicle washing facility the monitor where such an exceedance 7 average for May through July, 2014. The near material storage and handling occurred. Four or more sample results monitor located in Center Township areas, and retrofitting baghouses, or within any three-month rolling period 3 and associated with the Monaca Smelter alternative control measures approved reported to exceed 0.15mg/m would showed a 2013 design value of 0.25 mg/ by PADEP.6 trigger expanded ambient air monitoring 3 m , which exceeds the lead NAAQS The SIP submittal also states that and investigation as needed to identify 3 4 limit of 0.15 mg/m . However, the should PADEP determine that specific the potential source(s) and address the maximum three-month rolling average activities at the Monaca Smelter or at source of the exceedance. ambient lead concentration for the five- other sources in the Area are likely to Section 172(c)(5) of the CAA requires permits for the construction and month period since the closure of the have caused an exceedance of the lead 3 operation of new and modified major Monaca Smelter was 0.02 mg/m . See NAAQS, or if PADEP documents a stationary sources anywhere in a Table 3 to Pennsylvania’s January 15, violation of Pennsylvania’s fugitive dust nonattainment area. The Pennsylvania 2015 SIP submittal. regulations at 25 PA Code Section 123.1 SIP includes provisions consistent with With continued implementation of or 123.2, additional control measures the federal requirements, set forth at 40 RACM, i.e., continued shutdown of the would be triggered. Specifically, PADEP CFR 51.165, for nonattainment new primary lead emitting units at the can enforce those regulations and source review (NSR). Monaca Smelter and the COA emissions require the party whose actions likely limit of 0.1 tpy for the Facility, lead PADEP’s SIP submittal states that have caused the exceedance or whose NSR permitting requirements in its SIP emissions at the Facility are expected to actions resulted in a violation to stay well below 0.1 tpy and ambient ensure that no new or modified sources mitigate the impact on the 2008 lead will cause or contribute to a NAAQS lead concentrations in the Area are NAAQS by implementing additional expected to continue to remain well violation by requiring, as part of the control measures. Such control NSR permit, a demonstration that such below the NAAQS limit. Thus, EPA measures may include paving, finds that Pennsylvania has a violation will not occur. See 25 Pa. vegetating, watering, or chemically Code § 127.81 and 127.201–127.217. If demonstrated that RFP has been stabilizing traffic paths; periodic addressed. Horsehead or any entity proposes to cleaning of paved roads; wet restart or modify operations or construct 4. Contingency Measures suppression at bulldozing sites and soil and operate other activities at the In accordance with section 172(c)(9) piles; vehicle washing at property exits; Facility that would result in increased of the CAA, contingency measures are and covering soil-bearing trucks. lead emissions, such changes would required as additional measures to be The January 15, 2015 SIP submittal trigger NSR permitting requirements implemented in the event that an area provides the following process for which include measures to minimize fails to make RFP or fails to attain a triggering the above contingency emissions and prevent NAAQS standard by its attainment date. These violations. 5 See EPA document titled ‘‘Addendum to the In summary, EPA finds these measures must be fully adopted rules or 2008 Lead NAAQS Implementation Questions and control measures that can be Answers’’ dated August 10, 2012, included in EPA’s contingency measure triggers and implemented quickly and without SIP Toolkit at http://www3.epa.gov/airquality/lead/ actions will help ensure compliance additional EPA or state action and pdfs/20120810qanda.pdf. with the 2008 lead NAAQS and meet should contain trigger mechanisms and 6 Horsehead’s COA does not require closure or the requirements of section 172(c)(9) of shut down of the Larvik Furnaces, the Refinery Feed Pot, and zinc dust sizing circuit. Thus, the the CAA to ensure continued attainment 3 Incremental reductions in lead emissions are not COA includes contingency measures applicable to specified in Part D of Title I of the CAA. the Facility. The COA is included in the PADEP SIP 7 Sampling would increase from once every six 4 The monitoring data for 2010–2013 is included submittal. Upon final approval of the SIP, the days to every three days if results from two samples in appendix A of Pennsylvania’s January 15, 2015 COA’s terms will be federally enforceable as part of during any three-month rolling period exceed 0.15 SIP submittal and uses data queried from the Air the Pennsylvania SIP. The COA is available in the mg/m3. Sampling frequency would further increase Quality System (AQS) Data Mart Database at docket for this rulemaking which is available online to daily if results from three samples during any https://aqs.epa.gov/api. at www.regulations.gov. three-month period exceed 0.15 mg/m3.

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of the NAAQS if any events occur affect small governments, as described ACTION: Advance notice of proposed interfering with attainment. EPA finds in the Unfunded Mandates Reform Act rulemaking. PADEP’s SIP submittal contains of 1995 (Pub. L. 104–4); adequate contingency measures if the • Does not have Federalism SUMMARY: The Federal Emergency Area fails to attain the NAAQS or fails implications as specified in Executive Management Agency (FEMA) is to achieve RFP because the only Order 13132 (64 FR 43255, August 10, considering the establishment of a significant stationary source of lead 1999); disaster deductible, requiring a emissions is no longer in operation, • Is not an economically significant predetermined level of financial or other Pennsylvania’s existing rules related to regulatory action based on health or commitment from a Recipient (Grantee), control of fugitive dusts and permitting safety risks subject to Executive Order generally the State, Tribal, or Territorial are sufficient to minimize emissions and 13045 (62 FR 19885, April 23, 1997); government, before FEMA will provide • prevent NAAQS violations, and Is not a significant regulatory action assistance under the Public Assistance additional measures are not reasonably subject to Executive Order 13211 (66 FR Program when authorized by a 28355, May 22, 2001); Presidential major disaster declaration. available to serve as contingency • measures. Is not subject to requirements of FEMA believes the deductible model Section 12(d) of the National would incentivize Recipients to make III. Proposed Action Technology Transfer and Advancement meaningful improvements in disaster EPA finds the January 15, 2015 SIP Act of 1995 (15 U.S.C. 272 note) because planning, fiscal capacity for disaster submittal attainment plan for the Lower application of those requirements would response and recovery, and risk Beaver Valley Area meets the applicable be inconsistent with the CAA; and mitigation, while contributing to more • requirements of the CAA for attainment Does not provide EPA with the effective stewardship of taxpayer plans in section 172 and 192 of the CAA discretionary authority to address, as dollars. For example, Recipients could and in implementing regulations appropriate, disproportionate human potentially receive credit toward their including 40 CFR 51.112 and 51.117. health or environmental effects, using deductible requirement through EPA is proposing to approve the practicable and legally permissible proactive pre-event actions such as Pennsylvania SIP revision attainment methods, under Executive Order 12898 adopting enhanced building codes, plan for the Lower Beaver Valley Area (59 FR 7629, February 16, 1994). establishing and maintaining a disaster for the 2008 lead NAAQS including the In addition, this proposed rule to relief fund or self-insurance plan, or attainment demonstration, base year approve Pennsylvania’s SIP revision adoption of other measures that reduce emissions inventory, RACM/RACT and containing the attainment plan for the the Recipient’s risk from disaster events. RFP analyses, and contingency 2008 lead NAAQS in the Lower Beaver The deductible model would increase measures. Valley Area, does not have tribal stakeholder investment and EPA is soliciting public comments on implications as specified by Executive participation in disaster recovery and the issues discussed in this document. Order 13175 (65 FR 67249, November 9, building for future risk, thereby These comments will be considered 2000), because the SIP is not approved strengthening our nation’s resilience to before taking final action. to apply in Indian country located in the disaster events and reducing the cost of state, and EPA notes that it will not disasters long term. FEMA seeks IV. Statutory and Executive Order impose substantial direct costs on tribal comment on all aspects of the Reviews governments or preempt tribal law. deductible concept. Under the CAA, the Administrator is List of Subjects in 40 CFR Part 52 DATES: Comments must be received by required to approve a SIP submission March 21, 2016. that complies with the provisions of the Environmental protection, Air ADDRESSES: Comments must be CAA and applicable Federal regulations. pollution control, Incorporation by identified by docket ID FEMA–2016– 42 U.S.C. 7410(k); 40 CFR 52.02(a). reference, Intergovernmental relations, 0003 and may be submitted by one of Thus, in reviewing SIP submissions, Lead. the following methods: EPA’s role is to approve state choices, Authority: 42 U.S.C. 7401 et seq. Federal eRulemaking Portal: http:// provided that they meet the criteria of Dated: December 30, 2015. www.regulations.gov. Follow the the CAA. Accordingly, this action Shawn M. Garvin, instructions for submitting comments. merely approves state law as meeting Regional Administrator, Region III. Mail/Hand Delivery/Courier: Federal requirements and does not Regulatory Affairs Division, Office of impose additional requirements beyond [FR Doc. 2016–00871 Filed 1–19–16; 8:45 am] Chief Counsel, Federal Emergency those imposed by state law. For that BILLING CODE 6560–50–P Management Agency, 8NE, 500 C Street reason, this proposed action: SW., Washington, DC 20472–3100. • Is not a ‘‘significant regulatory action’’ subject to review by the Office DEPARTMENT OF HOMELAND FOR FURTHER INFORMATION CONTACT: of Management and Budget under SECURITY Jotham Allen, Federal Emergency Executive Order 12866 (58 FR 51735, Management Agency, 500 C Street SW., October 4, 1993); Federal Emergency Management Washington, DC 20472, 202–646–1957. • Does not impose an information Agency SUPPLEMENTARY INFORMATION: collection burden under the provisions I. Public Participation of the Paperwork Reduction Act (44 44 CFR Part 206 U.S.C. 3501 et seq.); [Docket ID FEMA–2016–0003] Instructions: All submissions received • Is certified as not having a must include the agency name and significant economic impact on a RIN 1660–AA84 docket ID. Regardless of the method substantial number of small entities Establishing a Deductible for FEMA’s used for submitting comments or under the Regulatory Flexibility Act (5 Public Assistance Program material, all submissions will be posted, U.S.C. 601 et seq.); without change, to the Federal • Does not contain any unfunded AGENCY: Federal Emergency eRulemaking Portal at http:// mandate or significantly or uniquely Management Agency, DHS. www.regulations.gov, and will include

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any personal information you provide. other disaster relief organizations, the which the affected State, Tribal, or Therefore, submitting this information extent and type of insurance in effect to Territorial government can handle on its makes it public. You may wish to read cover losses, assistance available from own. For simplicity, consider a State the Privacy Act notice, which can be other Federal programs and other that is subject to the $1 million viewed by clicking on the ‘‘Privacy sources, imminent threats to public minimum threshold. 44 CFR Notice’’ link in the footer of health and safety, recent disaster 206.48(a)(1). An event that causes www.regulations.gov. history, hazard mitigation measures $999,999 in Public Assistance-eligible You may submit your comments and taken by the State, Tribal, Territorial, or damage will most likely not warrant a material by the methods specified in the local governments (especially major disaster declaration and the State ADDRESSES section of this Notice. Please implementation of measures required as and affected Tribal and local submit your comments and any a result of previous major disaster governments will need to fund all supporting material by only one means declarations), and other factors $999,999 in disaster costs without any to avoid the receipt and review of pertinent to a given incident. 44 CFR supplemental Federal assistance. duplicate submissions. 206.37(c)(1). However, an incident that causes Docket: For access to the docket to A disaster declaration specifies the exactly $1 million in damage in the read background documents or types of assistance that may be awarded same State likely will result in a major comments received, go to the Federal under the Stafford Act, such as Public disaster declaration. Once declared, eRulemaking Portal at http:// Assistance, Individual Assistance, or FEMA will reimburse $750,000 under www.regulations.gov and search for the Hazard Mitigation assistance. Public the typical 75% Federal cost share docket ID. Submitted comments may Assistance provides assistance for arrangement and the State will only also be inspected at FEMA, Office of debris removal, emergency protective need to fund $250,000. FEMA is Chief Counsel, 8NE, 500 C Street SW., measures, and permanent restoration of arguably supplanting $750,000 that the Washington, DC 20472. infrastructure to State, Tribal, State should be fully capable to handle II. Background Territorial, and local governments and itself. certain private nonprofit organizations. The Robert T. Stafford Disaster Relief 44 CFR part 206, subparts G and H. III. Deductible and Emergency Assistance Act (Stafford When evaluating the need for Public Consistent with the principles of the Act), 42 U.S.C. 5121–5207, provides an Assistance in a major disaster request Stafford Act that assistance from the orderly and continuing means of FEMA evaluates the following factors: Federal Government is supplemental in assistance by the Federal Government to Estimated cost of assistance, localized nature and that every recipient of State, Tribal, Territorial, and local impacts, insurance coverage in force, disaster assistance has some governments in carrying out their hazard mitigation, recent multiple measureable capacity to independently responsibilities to alleviate the suffering disasters, and the availability of other respond, FEMA is considering the and damage which result from disasters. Federal assistance programs. 44 CFR establishment of a disaster 42 U.S.C. 5121(b). A ‘‘major disaster,’’ as 206.48(a). FEMA evaluates the ‘‘deductible.’’ To ensure a Recipient’s defined by the Stafford Act, is ‘‘any estimated cost of assistance on a per participation in recovery from disaster natural catastrophe (including any capita basis using the State population losses, following receipt of a major hurricane, tornado, storm, high water, (using the most recent decennial Census disaster declaration authorizing the winddriven water, tidal wave, tsunami, population), and has established a per Public Assistance Program, the earthquake, volcanic eruption, capita indicator of $1 (adjusted annually Recipient(s) would be required to landslide, mudslide, snowstorm, or based on the Consumer Price Index for demonstrate it has satisfied a drought), or, regardless of cause, any all Urban Consumers, the indicator is predetermined deductible amount fire, flood, or explosion, in any part of $1.41 for events occurring in Fiscal Year before FEMA would provide assistance the United States, which in the 2015) as a level at which an event might through a Project Worksheet for eligible determination of the President causes warrant Federal assistance. 44 CFR Public Assistance work. FEMA would damage of sufficient severity and 206.48(a)(1). intend for the calculation of the magnitude to warrant major disaster Currently, once Public Assistance is deductible level for each Recipient to be assistance . . . to supplement the efforts authorized, FEMA documents all published periodically and to be and available resources of [State, Tribal, projects, including debris removal, representative of Recipient capability. In Territorial, and local governments], and emergency protective measures, and addition to considering how to calculate disaster relief organizations, in repair and replacement of eligible a deductible amount, FEMA is alleviating the damage, loss, hardship, facilities, on Project Worksheets to considering what means by which a or suffering caused thereby.’’ 42 U.S.C. reimburse the Recipient (formerly Recipient could demonstrate it has 5122(2). known as the Grantee, this is the State, satisfied a deductible requirement, The declaration process is governed Tribal, or Territorial government that including through completion of FEMA- by Federal Emergency Management received the disaster declaration) and eligible projects entirely with its own Agency (FEMA) regulations at 44 CFR Subrecipients (formerly known as funding, or through other Recipient part 206, subpart B. Upon receipt of a Subgrantees, these are local and Tribal activities for which FEMA would declaration request, FEMA formulates a governments, and certain private calculate an appropriate credit against recommendation which is forwarded to nonprofit organizations that apply for the deductible. FEMA might provide a the President along with the request. 44 and receive funding through the credit toward the deductible, for CFR 206.37(c). In developing its Recipient) for all of their eligible costs example, for a Recipient’s prior recommendation, FEMA considers such at the level of the Federal cost share adoption of a building code that reduces factors as the amount and type of designated by the President. 44 CFR part risk; for adoption of proactive fiscal damages, the impact of damages on 206, subpart G. planning such as establishing a disaster affected individuals, the State, Tribal, This practice of funding all eligible relief fund or a self-insurance fund; or Territorial, and local governments, the costs is somewhat at odds with the investment in programs of assistance available resources of the State, Tribal, principle underlying the Stafford Act available when there is not a federal Territorial, and local governments, and that there is a level of disaster activity declaration.

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FEMA anticipates a deductible would 1. Actual revenue. supplemental FEMA assistance (for be calculated and applied at the 2. Potential revenue. example, emergencies declared by the Recipient (i.e., State, Tribal, or 3. Total Taxable Resources. Governor). Territorial level), not Subrecipient, 4. Gross Domestic Product. iv. For incidents that do receive a level. However, the deductible would 5. Budget surplus/deficit. Presidential declaration, spending in need to be satisfied before any project, 6. Economic projections. jurisdictions that were not designated at either the Recipient or Subrecipient 7. Bond ratings. for supplemental FEMA assistance. level, would be eligible for assistance. 8. Unemployment rate. v. Cost-share requirements for FEMA FEMA believes that a deductible 9. Other. programs. could result in more effective use of d. Using a measurement of disaster 1. If so, which programs and why? taxpayer resources. It could incentivize risk? Why? vi. Spending on projects beyond the proactive fiscal planning by Recipients i. If so, how should FEMA measure cost-share required amount. for disasters, encouraging them to set disaster risk? Which metrics should be vii. Investments in emergency aside funding specifically reserved for used to assess it and why? Potential management programs using non- disaster response and recovery. The metrics include, but are not limited to: Federal funds. availability of credits toward the 1. Past presidential declarations. viii. Establishment of a disaster relief deductible could incentivize increased 2. Past FEMA disaster relief. fund or ‘‘rainy day’’ fund. planning and adoption of specific 3. Insurance industry data. ix. Expenditures from a disaster relief mitigation activities which will result in 4. Climatological data, including fund or ‘‘rainy day’’ fund. risk-informed mitigation strategies on a projected future risk. x. Establishment of an individual broad scale. States may be encouraged 5. Priority placed on mitigation in the assistance program. to develop and fund special programs State or local budget. xi. Expenditures from an individual such as emergency management 2. Scope of Deductible: How should assistance program. programs and individual assistance FEMA define the applicability of the xii. Planning, preparedness, or programs, as such plans may be credited deductible to ensure it incentivizes mitigation programs supported by non- toward satisfaction of the deductible. meaningful improvements in planning, Federal funding. Recipients that adopt standardized and fiscal capacity, and risk mitigation? xiii. Adoption of standardized or enhanced building codes could be a. Should the deductible apply to enhanced building codes. rewarded with a credit toward their State governments, Territorial xiv. Proportion of the jurisdiction deductible amount. The results of these governments, Tribal governments, or all which is covered by standardized and/ efforts may in turn increase our nation’s of the above? or enhanced building codes. resiliency to disaster events: Increased b. To which of the following types of xv. Other. self-sufficiency on the part of State and FEMA Public Assistance should the c. How much of an administrative local governments and their ability to deductible apply and why? burden would it be for Recipients to support their citizens during and after a i. Direct Federal Assistance track, and submit for verification, disaster, and a decrease in the negative (emergency work performed, or documentation related to each manner effects of a disaster on our citizens. contracted for, by the Federal of satisfying the deductible? government at the request of the i. How would Recipients track the IV. Public Comment Recipient). documentation? FEMA welcomes public comment on ii. Emergency Work (debris removal ii. How should FEMA verify the all aspects of the deductible concept, and emergency protective measures). information? but would derive particular benefit from iii. Permanent Work (infrastructure d. How should these actions be commenters addressing one or more of repair and replacement). counted or credited toward satisfaction the following questions (‘‘Recipient’’ in iv. Management Costs. the deductible? Why? these questions refers to any possible v. Other. i. Dollar-for-dollar reductions in the entity that might be a Grantee for Public 3. Satisfying the Deductible: How deductible. For example, each dollar Assistance, including States, Tribes, and should a Recipient be able to satisfy its spent through a Recipient’s own Territories): deductible? individual assistance program could 1. Calculating the Deductible: How a. Should only Recipient actions be count as a dollar toward meeting the should FEMA calculate the deductible allowed to satisfy the deductible, or deductible. amount for each Recipient to adequately should Subrecipient actions be ii. Percentage credits toward the reflect individual Recipient capacity? considered as well and why? deductible. For example, a Recipient a. Using the Public Assistance per i. If Subrecipient actions should be may receive a credit of X percent of the capita indicator established by 44 CFR considered, which of the following deductible for establishing its own 206.48(a)(1)? Why? Subrecipients should be included and individual assistance program. b. Using population estimates? Why? why? iii. Other. If so, please provide details i. If so, should FEMA continue to rely 1. Local governments. regarding these other actions. upon the decennial census population 2. Indian Tribal governments. 4. Incentivizing Change: FEMA calculations, consider population 3. Private nonprofit organizations. believes a deductible could improve the estimates, or consider other population b. What of the following types of United States’ disaster management calculation sources and why? actions should qualify towards system and increase disaster resilience c. Using the Recipient’s fiscal satisfying the deductible and why? nationally by driving Recipient capacity? Why? i. Work that would be eligible for legislative action, budgeting, planning i. If so, how should FEMA measure FEMA assistance but for the deductible. and other measures that further greater fiscal capacity? Which metrics should ii. Management costs for work that resilience. FEMA seeks comment on be used to assess it and why? Please also would be eligible for FEMA assistance this, as follows: identify preferred sources for suggested but for the deductible. a. Will a deductible requirement metrics. Potential metrics include, but iii. Spending on incidents that do not incentivize potential future Recipients are not limited to: receive a Presidential declaration and of disaster assistance to adopt measures

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that make them more resilient or more b. How would Recipients meet the individual assistance program, would capable to respond to future disasters? deductible? Recipients establish or expand existing If so, how? i. Would Recipients seek to pass the individual assistance programs? b. In which of the following areas costs of the deductible on to d. What are the costs of establishing should FEMA focus the incentives of a Subrecipients? How? and running various individual deductible approach in order to achieve ii. Would the passing on of costs to assistance programs? those improvements in disaster Subrecipients be appropriate? Why or e. If a Recipient could satisfy its management and resilience and why? why not? deductible through an increase in i. Increased fiscal capacity to address iii. Should FEMA seek to prevent planning, preparedness, or mitigation disasters at the Recipient level. Recipients from passing the costs on to programs, would Recipients increase the ii. Better planning by Recipients for Subrecipients? Why? level of such activities or programs? the financial costs of disaster. iv. If so, what methods could FEMA f. If a Recipient could satisfy its iii. Reduced long-term impact of use to prevent the transfer of deductible through adoption of disasters. responsibility for costs from Recipients enhanced building codes, would iv. Reduced risk of loss from disaster. to Subrecipients? Recipients or Recipient communities v. Decreased future disaster costs. c. Should the deductible be applied adopt such codes? vi. Better levels of cooperation among on an annual basis or per disaster? g. What are the costs associated with neighboring jurisdictions. i. If annual, how should FEMA define vii. Increased State emergency the year? Why? adoption of such building codes? management staffing and funding. ii. If per disaster, should there be a h. What are the costs associated with viii. Other. cap on the number of deductibles, or the specific actions Recipients might c. What specific actions should FEMA total deductible amount, that a take if a deductible were introduced to seek to incentivize and why? Potential Recipient should be responsible for in a FEMA’s disaster relief programs? actions include: given year? Why? In what way can i. What, if any, disproportionate i. Acceptance of greater financial FEMA be sensitive to problems caused impacts might be borne by small responsibility for disaster costs by non- by recurrent disasters through a nonprofit entities or small government Federal entities. deductible policy? jurisdictions (populations less than ii. Increased non-Federal investment iii. If appropriate, how should FEMA 50,000)? in emergency management programs set the cumulative annual deductible Authority: 42 U.S.C. 5121 et seq. generally. cap for repetitive disasters? iii. Increased investment in mitigation d. Should FEMA ever consider Dated: January 13, 2016. strategies at Recipient levels. waiving all or part of the deductible? W. Craig Fugate, iv. Establishment of Recipient disaster Why? Administrator, Federal Emergency relief funds or ‘‘rainy day’’ funds. i. If so, under what circumstances Management Agency. 1. Increased spending from such should FEMA consider waiving all or [FR Doc. 2016–00997 Filed 1–19–16; 8:45 am] funds where they already exist. part of the deductible? BILLING CODE 9111–23–P v. Establishment of Recipient ii. If so, how should FEMA determine individual assistance programs. what portion of the deductible should 1. Increased spending from such be waived? FEDERAL COMMUNICATIONS funds where they already exist. iii. How frequently should FEMA COMMISSION vi. Increased level of Recipient consider waiving all or a portion of the financial relief provided for incidents deductible? Why? 47 CFR Part 64 that do not receive a Presidential e. If FEMA introduced a deductible declaration pursuant to the Stafford Act. concept to the Public Assistance [CG Docket No. 03–123; DA 15–1453] vii. Other. Program, what steps would Recipients d. How could a deductible incentivize take to adjust? Request for Comment on Petition for the actions necessary to achieve i. How long would it take Recipients, Rulemaking Filed by IDT Telecom, Inc., improvements in the selected areas and working with relevant stakeholders, to Regarding Interstate how should FEMA design the appropriately adjust to the introduction Telecommunications Relay Service deductible to provide that incentive? of a deductible? Fund Contribution e. Are there alternatives to a ii. Should FEMA consider a phased deductible that could serve as a better implementation approach through AGENCY: Federal Communications incentive to the selected improvements which the deductible would be applied Commission. and actions? over time? Why? ACTION: Proposed rule. i. If so, what are those alternatives? iii. If so, over how much time should ii. Why would those alternatives be the deductible concept be phased in and SUMMARY: In this document, the more effective than a deductible? in what way? Why? Commission seeks comment on a 5. Implementation Considerations: 6. Estimating Impacts: Petition for Rulemaking (Petition) filed How could FEMA design deductible Implementation of a deductible as a by IDT Telecom, Inc. (IDT) requesting implementation so as to maximize prerequisite for receiving Public that the Commission issue a Notice of effectiveness of the deductible as an Assistance would have an economic Proposed Rulemaking (NPRM) to review incentive, but also ensure Recipients impact on future Recipients of disaster and revise its rules and policies on the have sufficient opportunity to adjust to assistance. contribution methodology for the it? a. Do Recipients currently maintain a Interstate Telecommunications Relay a. What specific actions might disaster relief or ‘‘rainy day’’ fund? Service (TRS) Fund to include intrastate Recipients take if a deductible were b. If not, how much would it cost to revenue within the TRS Fund introduced to FEMA’s Public Assistance establish and administer a disaster relief contribution base. Additionally IDT Program? What specific types of actions or ‘‘rainy day’’ fund? requests that the Commission remove should we seek to incentivize through c. If a Recipient could satisfy its the rule provision requiring that video the establishment of a deductible? deductible through provision of its own relay service (VRS) costs be recovered

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from only interstate and international Express Mail and Priority Mail) must be Federal Communications Commission. revenue. sent to 9300 East Hampton Drive, Gregory Hlibok, DATES: Comments are due February 4, Capitol Heights, MD 20743. Chief, Disability Rights Office, Consumer and 2016 and reply comments are due • U.S. Postal Service first-class, Governmental Affairs Bureau. February 16, 2016. Express, and Priority mail should be [FR Doc. 2016–00910 Filed 1–19–16; 8:45 am] ADDRESSES: You may submit comments, addressed to 445 12th Street SW., BILLING CODE 6712–01–P identified by CG Docket No. 03–123 by Washington, DC 20554. any of the following methods: This is a summary of the • Electronic Filers: Comments may be FEDERAL COMMUNICATIONS Commission’s document DA 15–1453, filed electronically using the Internet by COMMISSION released on December 18, 2015 in CG accessing the Commission’s Electronic 47 CFR Part 69 Comment Filing System (ECFS), through Docket No. 03–123. The full text of the Commission’s Web site http:// document DA 15–1453, the Petition, [WC Docket No. 05–25 and RM–10593; DA apps.fcc.gov/ecfs/. Filers should follow and any subsequently filed documents 15–1473] the instructions provided on the Web in this matter will be available for site for submitting comments. For ECFS public inspection and copying via Wireline Competition Bureau Extends filers, in completing the transmittal ECFS, and during regular business Comment and Reply Comment screen, filers should include their full hours at the FCC Reference Information Deadlines in Business Data Services name, U.S. Postal service mailing Center, Portals II, 445 12th Street SW., (Special Access) Rulemaking address, and CG Docket No. 03–123. Room CY–A257, Washington, DC 20554. Proceeding • Paper filers: Parties who choose to Document DA 15–1453 can also be AGENCY: Federal Communications file by paper must file an original and downloaded in Word or Portable Commission. one copy of each filing. If more than one Document Format (PDF) at: https:// ACTION: Proposed rule. docket or rulemaking number appears in www.fcc.gov/general/disability-rights- the caption of this proceeding, filers office-headlines. To request materials in SUMMARY: The Wireline Competition must submit one additional copy for accessible formats for people with Bureau grants in part a request seeking each additional docket or rulemaking disabilities (Braille, large print, an extension to the comment and reply number. Filings can be sent by hand or electronic files, audio format), send an comment deadlines in the business data messenger delivery, by commercial email to [email protected] or call the services (special access proceeding, overnight courier, or by first-class or Consumer and Governmental Affairs Special Access FNPRM. overnight U.S. Postal Service mail. All Bureau at (202) 418–0530 (voice), (202) DATES: Comments may be filed on or filings must be addressed to the 418–0432 (TTY). before January 22, 2016, and reply Commission’s Secretary, Office of the comments may be filed by February 19, Secretary, Federal Communications Initial Paperwork Reduction Act of 2016. Commission. 1995 Analysis For detailed instructions for ADDRESSES: Federal Communications submitting comments and additional Document DA 15–1453 does not Commission, 445 12th Street, information on the rulemaking process, contain proposed information collection Washington, DC 20554. see the SUPPLEMENTARY INFORMATION requirements subject to the Paperwork FOR FURTHER INFORMATION CONTACT: section of this document. Reduction Act of 1995, Public Law 104– Joseph Price, Wireline Competition FOR FURTHER INFORMATION CONTACT: 13. In addition, therefore, it does not Bureau, Pricing Policy Division, 202– Gregory Hlibok, Consumer and contain any proposed information 418–1540 or at [email protected]. Governmental Affairs Bureau, Disability collection burden ‘‘for small business SUPPLEMENTARY INFORMATION: This is a Rights Office, (202) 559–5158, email: concerns with fewer than 25 summary of the Commission’s order WC [email protected]. employees,’’ pursuant to the Small Docket 05–25, RM–10593, DA 15–1473, SUPPLEMENTARY INFORMATION: Pursuant Business Paperwork Relief Act of 2002, released December 21, 2015. This to 47 CFR 1.415, 1.419, interested Public Law 107–198, see 44 U.S.C. document does not contain information parties may file comments and reply 3506(c)(4). collection(s) subject to the Paperwork comments on or before the dates Act of 1995 (PRA), Public Law 104–93. indicated on the first page of this Synopsis In addition, therefore, it does not contain any new or modified document. On November 25, 2015, IDT filed a • ‘‘information collection burdens[s] for Comments may be filed using the petition for rulemaking asking the Commission’s Electronic Comment small business concerns with fewer than Commission to issue an NPRM to 25 employees,’’ pursuant to the Small Filing System (ECFS). See Electronic review and revise its rules and policies Filing of Documents in Rulemaking Business Paperwork Relief Act of 2002. concerning the contribution Proceedings, 63 FR 24121 (1998). The full text of this document may be • All hand-delivered or messenger- methodology for the TRS Fund. IDT downloaded at the following Internet delivered paper filings for the asks the commission to implement a address: http://transition.fcc.gov/Daily_ Commission’s Secretary must be contribution methodology that includes Releases/Daily_Business/2015/db1221/ delivered to FCC Headquarters at 445 intrastate revenue within the TRS Fund DA-15-1473A1.pdf. To request 12th Street SW., Room TW–A325, contribution base. Additionally, IDT alternative formats for persons with Washington, DC 20554. All hand requests that the Commission remove disabilities (e.g., accessible format deliveries must be held together with the rule provision that requires VRS documents, sign language, interpreters, rubber bands or fasteners. Any costs to be recovered from only CARTS, etc.), send an email to fcc504@ envelopes must be disposed of before interstate and international revenue. fcc.gov or call the Commission’s entering the building. IDT asserts that this would greatly Consumer and Governmental Affairs • Commercial Mail sent by overnight increase and strengthen the base of the Bureau at (202) 418–0530 or (202) 418– mail (other than U.S. Postal Service TRS Fund. 0432 (TTY).

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Synopsis DATES: Interested parties should submit of late or reduced payments to small In Section IV.B of the Further Notice written comments to the Regulatory business subcontractors in the Federal of Proposed Rule Making (FNPRM) Secretariat at one of the addresses Awardee Performance and Integrity accompanying the Data Collection shown below on or before March 21, Information System (FAPIIS). Order, adopted on December 11, 2012, 2016 to be considered in the The FAR is proposed to be amended the Commission sought comment on formulation of a final rule. as follows to implement the possible changes to its rules for the ADDRESSES: Submit comments requirements of section 1334: business data services. The Commission identified by FAR Case 2014–004 by any FAR 19.701 is revised to add set the comment deadlines on this of the following methods: definitions for ‘‘reduced payment’’ and portion of the Special Access FNPRM, • Regulations.gov: http:// ‘‘untimely payment.’’ FAR 19.704(a)(12) and 52.219– 78 FR 2600, several months beyond the www.regulations.gov. Submit comments 9(d)(12) are added to require that the document’s release date to allow via the Federal eRulemaking portal by offeror will pay its small business interested parties opportunity to review searching for ‘‘FAR Case 2014–004’’. the data and information collected Select the link ‘‘Comment Now’’ that subcontractors on time and in before filing comments. The Bureau has corresponds with FAR Case 2014–004. accordance with the terms and extended these deadlines, upon request Follow the instructions provided on the conditions of the subcontract, and notify and in consideration of oppositions screen. Please include your name, the contracting officer when the prime filed in response to the request for company name (if any), and ‘‘FAR Case contractor pays a reduced or an extensions of time, to allow interested 2014–004’’ in all attached documents. untimely payment to a small business parties adequate time to access and • Mail: General Services subcontractor. FAR 42.1502(g) is revised to include review the data and information Administration, Regulatory Secretariat collected. Accordingly, the deadline for Division (MVCB), 1800 F Street NW., in the past performance evaluation filing comments is extended to January Second floor, ATTN: Ms. Flowers, reduced or untimely payments reported 22, 2016, and the deadline for reply Washington, DC 20405. to the contracting officer by the prime comments is extended to February 19, Instructions: Please submit comments contractor in accordance with the clause 2016. only and cite FAR Case 2014–004, at 52.242–XX, Payments to Small Payment of Subcontractors in all Business Subcontractors, that are Federal Communications Commission. determined by the contracting officer to Pamela Arluk, correspondence related to this case. Comments received generally will be be unjustified. Chief, Pricing Policy Division. posted without change to http:// FAR 42.1503(b)(2)(v) is revised by [FR Doc. 2016–01082 Filed 1–19–16; 8:45 am] www.regulations.gov, including any including ‘‘reduced or untimely BILLING CODE 6712–01–P personal and/or business confidential payments to small business information provided. To confirm subcontractors when a subcontracting receipt of your comment(s), please plan is required in accordance with DEPARTMENT OF DEFENSE check www.regulations.gov, 19.702(a)’’ to the list of ‘‘Small business approximately two to three days after subcontracting’’ past performance GENERAL SERVICES submission to verify posting (except evaluation factors. ADMINISTRATION FAR 42.1503(h)(1)(vi) is added to the allow 30 days for posting of comments list of ‘‘other contractor performance submitted by mail). NATIONAL AERONAUTICS AND information’’ that will be reported to SPACE ADMINISTRATION FOR FURTHER INFORMATION CONTACT: Mr. FAPIIS and considered by contracting Curtis E. Glover, Sr., Procurement officers in evaluating contractor past 48 CFR Parts 19, 42, and 52 Analyst, at 202–501–1448 for performance to include a contracting clarification of content. Please cite FAR officer’s determination that a contractor [FAR Case 2014–004; Docket No. 2014– case 2014–004. For information 0004; Sequence No. 1] has a history of unjustified reduced or pertaining to status or publication untimely payments to small business RIN 9000–AM98 schedules, contact the Regulatory subcontractors. Secretariat at 202–501–4755. FAR table 42–2, ‘‘Evaluation Ratings Federal Acquisition Regulations: FAR SUPPLEMENTARY INFORMATION: Definitions (for the Small Business Case 2014–004, Payment of Subcontracting Evaluation Factor, When Subcontractors I. Background 52.219–9 is Used)’’ is revised to include AGENCY: Department of Defense (DoD), DoD, GSA, and NASA are proposing the contracting officer’s evaluation of a General Services Administration (GSA), to implement section 1334 of the Small prime contractor’s self-reported and National Aeronautics and Space Business Jobs Act of 2010 (Pub. L. 111– unjustified reduced or untimely Administration (NASA). 240) and the Small Business payments (history of three or more) to Administration’s (SBA’s) ACTION: Proposed rule. small business subcontractors. implementation of section 1334 with its FAR 42.1504 is added to require SUMMARY: DoD, GSA, and NASA are final rule, Small Business contracting officers to insert the clause proposing to amend the Federal Subcontracting, published in the at 52.242–XX, Payment to Small Acquisition Regulation (FAR) to Federal Register at 78 FR 42391, on July Business Subcontractors, in all implement a section of the Small 16, 2013, and effective August 15, 2013. solicitations and contracts containing Business Jobs Act of 2010. This statute This statute requires the prime the clause at 52.219–9, Small Business requires contractors to notify the contractor to self-report to the Subcontracting Plan. contracting officer in writing if the contracting officer when the prime FAR clause 52.219–9, Small Business contractor pays a reduced price to a contractor makes late or reduced Subcontracting Plan, is revised to add small business subcontractor, or if the payments to small business definitions for ‘‘reduced payment’’ and contractor’s payment to a small business subcontractors. In addition, the ‘‘untimely payment.’’ contractor is more than 90 days past contracting officer is required to record FAR clause 52.242–XX, Payment to due. the identity of contractors with a history Small Business Subcontractors, is added

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to FAR part 52 to require the contractor commercial items is in the best interest helps to create greater cash flow to provide a written notice to the of the Federal Government, the FAR certainty, which is critical for small contracting officer if it makes a payment Council considered the following business subcontractors and reduces a to a small business subcontractor that is factors: (i) The benefits of the policy in potential barrier to their participation in for less than the amount agreed upon in furthering Administration goals, (ii) the federal contracting. a subcontract in accordance with its extent to which the benefits of the With respect to the second factor (the terms and conditions for supplies and policy would be reduced if an impact of excluding commercial item services for which the Government has exemption is provided for commercial acquisitions on the overall benefits of paid the prime contractor, or if payment items, and (iii) the burden on the underlying policy), the FAR Council to a subcontractor that is more than 90 contractors if the policy is applied to believes based on an analysis of Fiscal days past due under the terms and acquisitions for commercial items. Year 2014 Federal Procurement Data conditions of a subcontract for supplies With respect to the first factor, this System (FPDS) data that less than one- and services for which the Government Administration has taken a number of third of spending on new contracts over has paid the prime contractor. In steps to ensure that the government $650,000 (i.e., the threshold for the accordance with the SBA final rule, this promptly and efficiently pays small applicability of this rule) are for proposed rule would apply to prime businesses when they contract to commercial item acquisitions, so contracts that require small business provide goods and services to the exclusion could have a material impact subcontracting plans. For the reasons government. These steps are part of the on these benefits. explained in section II, below, the Administration’s strong commitment to With respect to the third factor, proposed rule would cover acquisitions supporting small business growth and burden on contractors selling for commercial items, including prosperity, as an engine to drive commercial items, the initial analysis acquisitions for commercial-off-the-shelf economic activity and job creation under the Paperwork Reduction Act (COTS) items. throughout the country. On September (PRA) suggests that the total number of 14, 2011, the Office of Management and unique entities in Fiscal Year (FY) 2014 II. Determinations Budget (OMB) issued Memorandum M that are covered under this requirement The FAR Council has made the 11–32, titled: ‘‘Accelerating Payments to (selling either commercial or non- following preliminary determinations Small Businesses for Goods and commercial items) is 2,279 and the with respect to the rule’s application of Services.’’ That memorandum estimated reporting time per respondent section 1334 of the Small Business Jobs established ‘‘the Executive Branch is 2 hours. See the discussion on the Act of 2010, entitled ‘‘Payment of policy that, to the full extent permitted PRA at Section VI, below. The FAR Subcontractors,’’ to contracts for the by law, agencies shall make their Council further estimates that the acquisition of commercial items: payments to small business contractors number of covered entities selling as soon as practicable, with the goal of commercial items is not more than 40 A. Applicability to Contracts for the making payments within 15 days’’ of percent of this stated total, and some of Acquisition of Commercial Items receipt of relevant documents. OMB these entities may only sell COTs items, 41 U.S.C. 1906 governs the explained that such acceleration helps which as explained below are covered applicability of laws to the acquisition to improve cash flow for small by the rule pursuant to the requirements of commercial items (other than COTS businesses, increases liquidity, unlocks of 41 U.S.C. 1907. items). This statute limits the capital for the purposes of investment Based on the above benefit and applicability of laws to the acquisition and growth, and increases small burden considerations, the FAR Council of commercial items. However, section business participation in Federal has made a preliminary determination 1906 provides that the acquisition of contracting. To further preserve and that it is in the best interest of the commercial items will not be exempt increase small business participation in government to apply section 1334 to from a provision of law if— all levels of federal contracting through commercial item acquisitions: covering • The law contains criminal or civil improved cash flow, OMB broadened commercial items helps to further an penalties; the policy to reach small business important ongoing Administration • The law specifically refers to 41 subcontractors. Memorandum M–12–16, initiative to help ensure effective cash U.S.C. 1906 and states that the law ‘‘Providing Prompt Payment to Small flow to small business subcontractors, applies to the acquisition of commercial Business Subcontractors,’’ established which in turn helps to strengthen their items; or the Executive Branch policy that, to the participation in federal contracting, • The FAR Council makes a written full extent permitted by law, agencies whereas exclusion of commercial item determination that it is not in the best shall take certain steps to accelerate acquisitions would remove a significant interest of the Federal Government to payments to all prime contractors, in amount of contracting activity from the exempt the acquisition of commercial order to allow them to provide prompt accountability that this rule imposes on items from the provision of law. payments to small business prime contractors to meet their payment Section 1334 of the Small Business subcontractors. The policy was commitments to their small business Jobs Act of 2010 is silent on the extended by OMB Memoranda M–13–15 subcontractors. The limited information applicability of the requirements set and M–14–10. In 2014, the FAR Council currently available to the FAR Council forth above to contracts for commercial finalized FAR changes to implement on reporting in accordance with the items and does not provide for criminal this policy and provide a clause (see requirements of this rule suggests the or civil penalties. Therefore, under 41 FAR clause 52.232–40) to support the burdens are not expected to be U.S.C. 1906, section 1334 does not acceleration of payments to significant. Moreover, the relief apply to acquisitions for commercial subcontractors. provided by an exemption would be items unless the FAR Council makes a By instilling accountability for limited, since COTS are covered for the written determination that such untimely payment to subcontractors, reason explained below. application is in the best interest of the section 1334, SBA’s implementing The Council welcomes public Federal Government. regulation, and this rule further the feedback on its initial analysis and In making its initial determination of benefits and policies goals described preliminary determination to cover whether application of section 1334 to above. Specifically, the proposed rule commercial items, including additional

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insight on the need for and cost of in amounts greater than $700,000 that Council finalizes its analysis of benefits retrofitting payment systems to meet the have subcontracting opportunities meet and burdens and makes a final requirements in the rule. This feedback the definition of a ‘‘covered contract’’ determination on the scope of the final will be considered before the FAR provided in the statute. rule. Council finalizes its analysis of benefits The law furthers the Administration’s III. Executive Orders 12866 and 13563 and burdens and makes a final goal of supporting small business and determination on the scope of the final advances the interests of small business Executive Orders 12866 and 13563 rule. subcontractors by encouraging prime direct agencies to assess all costs and contractors to comply with their stated benefits of available regulatory B. Applicability to Contracts for the subcontracting objectives. Increased alternatives and, if regulation is Acquisition of COTS Items compliance with subcontracting necessary, to select regulatory 41 U.S.C. 1907 governs the objectives will expand opportunities for approaches that maximize net benefits applicability of laws to the acquisition small business subcontractors. (including potential economic, of COTS items. This statute limits the Exclusion of a large segment of Federal environmental, public health and safety applicability of laws when agencies are contracting, such as acquisitions for effects, distributive impacts, and acquiring COTS items. However, section COTS items, will limit the full equity). Executive Order 13563 1907 provides similar requirements for implementation of these subcontracting- emphasizes the importance of a law to be applied to COTS items related objectives. quantifying both costs and benefits, of where the law contains criminal or civil Further, one of the primary FAR reducing costs, of harmonizing rules, penalties, refers to section 1907 and clauses implementing Federal and of promoting flexibility. This is not states the law applies to COTS, or where procurement policies governing a significant regulatory action and, the Administrator for Federal subcontracting with small business, therefore, was not subject to review Procurement Policy determines it would 52.219–9, Small Business under section 6(b) of Executive Order not be in the best interest of the Federal Subcontracting Plan, are currently 12866, Regulatory Planning and Review, Government to exempt the acquisition prescribed for use in solicitations for dated September 30, 1993. This of COTS items from the provision of COTS items. This rule merely revises proposed rule is not a major rule under law. Of particular relevance to the FAR clause 52.219–9 to implement the 5 U.S.C. 804. instant rulemaking, section 1907 further new requirements for a prime contractor provides that the acquisition of COTS for a covered contract to provide written IV. Regulatory Flexibility Act items will not be exempt from a notification to the contracting officer if DoD, GSA, and NASA expect that this provision of law if the law concerns— the contractor pays a reduced price to a proposed rule may have a significant • Authorities or responsibilities subcontractor for goods and services economic impact on a substantial under section 15 of the Small Business upon completion of the responsibilities number of small entities within the Act (15 U.S.C. 644); or of the subcontractor or the payment to meaning of the Regulatory Flexibility • Bid protest procedures developed a subcontractor is more than 90 days Act, 5 U.S.C. 601, et seq.. Therefore, an under the authority of 31 U.S.C. 3551 et past due for goods or services provided Initial Regulatory Flexibility Analysis seq.; 10 U.S.C. 2305(e) and (f); or 41 for the covered contract for which the (IRFA) has been prepared consistent U.S.C. 3706 and 3707. Federal agency has paid the prime with 5 U.S.C. 603 and is summarized as Section 1334 amends section 8(d) of contractor. A further example that the follows: the Small Business Act (15 U.S.C. rule should apply to COTS items is FAR 637(d)) to establish the requirement for Section 1334 of the Small Business Jobs clause 52.232–40, Providing Accelerated Act of 2010 (Public Law 111–240) and the a prime contractor for a covered contract Payments to Small Business Small Business Administration’s final rule, to provide written notification to the Subcontractors, which is required in all Small Business Subcontracting, published in contracting officer if the contractor pays solicitations and contracts. Exclusion of the Federal Register at 78 FR 42391, on July a reduced price to a subcontractor for acquisitions for COTS items from these 16, 2013, require that the prime contractor goods and services upon completion of requirements would create confusion self-report when the prime contractor makes the responsibilities of the subcontractor among contractors and the Federal reduced or untimely payments to small or the payment to a subcontractor is business subcontractors. Section 1334 also contracting workforce. requires the contracting officer to record the more than 90 days past due for goods or The burden on contractors is not identity of contractors with a history of services provided for the covered expected to increase significantly if the unjustified reduced or untimely payments in contract for which the Federal agency new requirements of section 1334 were FAPIIS. has paid the prime contractor. applied to acquisitions for COTS items. This proposed rule implements the self- Section 1334 requires a contracting Under the FAR clause 52.219–9, which reporting requirements of section 1334 by officer of a covered contract to consider is noted above, contractors are already amending FAR 42.1504 to require contracting unjustified untimely or reduced required to commit to objectives for officers to include FAR clause 52.242–XX, payments to a small business subcontracting with small business Payments to Small Business Subcontractors, subcontractor of the covered contract in in all solicitations and contracts containing concerns under contracts for COTS the clause at 52.219–9, Small Business the prime contractor’s past performance items above the subcontracting plan Subcontracting Plan. The new FAR clause evaluation. The statute defines a threshold. The effort required for requires prime contractors to notify the ‘‘covered contract’’ as a contract under contractors to comply with the new contracting officer of reduced or untimely which a prime contractor is required to requirements should be relatively small. payments to small business subcontractors. develop a subcontracting plan. Pursuant The Council welcomes public The proposed rule also amends FAR to section 8(d) of the Small Business Act feedback on its initial analysis and 42.1503(h) to require contracting officers to (15 U.S.C. 637(d)), as implemented at preliminary determination to cover report to FAPIIS a contractor that has a FAR 19.702(a), a small business COTS items, including additional history of three or more reduced or untimely payments to small business subcontractors subcontracting plan is required in insight on the need for and cost of within a 12-month period under a single acquisitions expected to exceed retrofitting payment systems to meet the contract that are unjustified. Table 42–2 is $700,000 that have subcontracting requirements in the rule. This feedback also amended to include unjustified reduced opportunities. Contracts for COTS items will be considered before the FAR or untimely payments to small business

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subcontractors as part of the definition of for a contractor to prepare the untimely payment to a small business ratings for the ‘‘small business information for this collection is two subcontractor. subcontracting’’ past performance evaluation hours. It is estimated also that the * * * * * factors. responses per respondent would be one. The proposed rule would apply to PART 42—CONTRACT payments made to small businesses that are The annual reporting burden is first-tier subcontractors to prime government estimated as follows: ADMINISTRATION AND AUDIT contractors. There will be no burden on small Respondents: 456. SERVICES businesses, as small businesses do not have Responses per respondent: 1. ■ subcontracting plans. This regulation will 4. Amend section 42.1502 by revising Total annual responses: 456. paragraph (g) to read as follows: benefit small business subcontractors by Preparation hours per response: 2. encouraging large business prime contractors 42.1502 Policy. to pay small business subcontractors in a Total response burden hours: 912. * * * * * timely manner and the agreed upon List of Subject in 48 CFR Parts 19, 42 contractual price. and 52 (g) Past performance evaluations shall The rule does not duplicate, overlap, or include an assessment of the conflict with any other Federal rules. Government procurement. contractor’s— The specifics of the statutory requirement Dated: January 11, 2016. (1) Performance against, and efforts to and the SBA final rule do not allow for achieve, the goals identified in the small alternative implementation strategies. William F. Clark, business subcontracting plan when the The Regulatory Secretariat has Director, Office of Government-wide Acquisition Policy, Office of Acquisition contract includes the clause at 52.219– submitted a copy of the IRFA to the Policy, Office of Government-wide Policy. 9, Small Business Subcontracting Plan; Chief Counsel for Advocacy of the Small and Business Administration. A copy of the Therefore, the DoD, GSA, and NASA (2) Reduced or untimely payments IRFA may be obtained from the propose amending 48 CFR parts 19, 42, (see 19.701) determined by the Regulatory Secretariat. DoD, GSA, and and 52 as set forth below: Contracting Officer to be unjustified to NASA invite comments from small ■ 1. The authority citation for 48 CFR small business subcontractors. business concerns and other interested parts 19, 42, and 52 continues to read (i) The contracting officer shall parties on the expected impact of this as follows: consider and evaluate a contractor’s proposed rule on small entities. Authority: 40 U.S.C. 121(c); 10 U.S.C. written explanation for a reduced or an DoD, GSA, and NASA will also chapter 137; and 51 U.S.C. 20113. untimely payment when determining consider comments from small entities whether the reduced or untimely concerning the existing regulations in PART 19—SMALL BUSINESS payment is justified. subparts affected by this proposed rule PROGRAMS (ii) The contracting officer determines consistent with 5 U.S.C. 610. Interested that a history of unjustified reduced or parties must submit such comments ■ 2. Amend section 19.701 by adding, in alphabetical order, the definitions untimely payments has occurred when separately and should cite 5 U.S.C. 610 the contractor has reported three or (FAR Case 2014–004) in ‘‘Reduced payment’’ and ‘‘Untimely payment’’ to read as follows: more occasions of unjustified reduced correspondence. or untimely payments under a single V. Paperwork Reduction Act 19.701 Definitions. contract within a 12 month period (see 42.1503(h)(1)(vi) and the evaluation The Paperwork Reduction Act (44 * * * * * factors in Table 42–2). U.S.C. Chapter 35) applies. The Reduced payment means a payment proposed rule contains information that is for less than the amount agreed * * * * * collection requirements. OMB has upon in a subcontract in accordance ■ 5. Amend section 42.1503 by— cleared this information collection with its terms and conditions, for ■ a. Revising paragraph (b)(2)(v); requirement under OMB Control supplies and services for which the ■ b. Removing from paragraph (b)(2)(vi) Number 9000–XXXX, titled: Payments Government has paid the prime the phrase ‘‘late or nonpayment to to Small Business Subcontractors. FPDS contractor. subcontractors,’’; for Fiscal Year (FY) 2014 lists 794 new * * * * * ■ c. Revising the introductory text of commercial item contracts over Untimely payment means a payment paragraph (h)(1); $650,000 where the size determination to a subcontractor that is more than 90 ■ d. Removing from paragraph (h)(1)(iv) was other than small and a days past due under the terms and ‘‘; or’’ and adding a semicolon in its subcontracting plan was required. FPDS conditions of a subcontract, for supplies place; for FY 2014 also lists 1,485 new non- and services for which the Government ■ e. Removing the period from the end commercial item contracts over has paid the prime contractor. of paragraph (h)(1)(v) and adding ‘‘; or’’ $650,000 where the size determination ■ 3. Amend section 19.704 by removing in its place; was other than small and a the period from the end of paragraph ■ f. Adding paragraph (h)(1)(vi); and subcontracting plan was required. It is (a)(11)and adding ’’; and’’ in its place; ■ g. Revising table 42–2. estimated that no more than twenty and adding paragraph (a)(12) to read as The revisions and additions reads as percent of contractors with new follows: follows: commercial and non-commercial contracts where the size determination 19.704 Subcontracting plan requirements. 42.1503 Procedures. was other than small and where a (a) * * * * * * * * subcontracting plan was required would (12) Assurances that the offeror will (b) * * * have to notify the contracting officer pay its small business subcontractors on (2) * * * that the prime contractor paid a reduced time and in accordance with the terms (v) Small business subcontracting, or an untimely payment to a small and conditions of the subcontract, and including reduced or untimely business subcontractor. It is also notify the contracting officer when the payments to small business estimated that the average time required prime contractor pays a reduced or an subcontractors when 19.702(a) requires

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a subcontracting plan (as applicable, see any successor thereto module of CPARS reduced or untimely payments to small Table 42–2). within 3 calendar days after a business subcontractors within a 12 * * * * * contracting officer— month period (see 42.1502(g)(2)). (h) * * * * * * * * * * * * * (1) Agencies shall ensure information (vi) Determines that a contractor has is accurately reported in the FAPIIS or a history of three or more unjustified

TABLE 42–2—EVALUATION RATINGS DEFINITIONS [For the Small Business Subcontracting Evaluation Factor, when 52.219–9 is used]

Rating Definition Note

(a) Exceptional ...... Exceeded all statutory goals or goals as negotiated. To justify an Exceptional rating, identify multiple signifi- Had exceptional success with initiatives to assist, cant events and state how they were a benefit to promote, and utilize small business (SB), small dis- small business utilization. A singular benefit, how- advantaged business (SDB), women-owned small ever, could be of such magnitude that it constitutes business (WOSB), HUBZone small business, vet- an Exceptional rating. Small businesses should be eran-owned small business (VOSB), and service dis- given meaningful and innovative work directly related abled veteran owned small business (SDVOSB). to the contract, and opportunities should not be lim- Complied with FAR 52.219–8, Utilization of Small ited to indirect work such as cleaning offices, sup- Business Concerns. Exceeded any other small busi- plies, landscaping, etc. Also, there should have been ness participation requirements incorporated in the no significant weaknesses identified. contract/order, including the use of small businesses in mission critical aspects of the program. Went above and beyond the required elements of the sub- contracting plan and other small business require- ments of the contract/order. Completed and sub- mitted Individual Subcontract Reports and/or Sum- mary Subcontract Reports in an accurate and timely manner. Did not have a history of three or more un- justified reduced or untimely payments to small busi- ness subcontractors within a 12 month period. (b) Very Good ...... Met all of the statutory goals or goals as negotiated. To justify a Very Good rating, identify a significant Had significant success with initiatives to assist, pro- event and state how it was a benefit to small busi- mote and utilize SB, SDB, WOSB, HUBZone, VOSB, ness utilization. Small businesses should be given and SDVOSB. Complied with FAR 52.219–8, Utiliza- meaningful and innovative opportunities to participate tion of Small Business Concerns. Met or exceeded as subcontractors for work directly related to the con- any other small business participation requirements tract, and opportunities should not be limited to indi- incorporated in the contract/order, including the use rect work such as cleaning offices, supplies, land- of small businesses in mission critical aspects of the scaping, etc. There should be no significant weak- program. Endeavored to go above and beyond the nesses identified. required elements of the subcontracting plan. Com- pleted and submitted Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate and timely manner. Did not have a history of three or more unjustified reduced or untimely payments to small business subcontractors within a 12 month pe- riod. (c) Satisfactory ...... Demonstrated a good faith effort to meet all of the ne- To justify a Satisfactory rating, there should have been gotiated subcontracting goals in the various socio- only minor problems, or major problems the con- economic categories for the current period. Complied tractor has addressed or taken corrective action. with FAR 52.219–8, Utilization of Small Business There should have been no significant weaknesses Concerns. Met any other small business participation identified. A fundamental principle of assigning rat- requirements included in the contract/order. Fulfilled ings is that contractors will not be assessed a rating the requirements of the subcontracting plan included lower than Satisfactory solely for not performing be- in the contract/order. Completed and submitted Indi- yond the requirements of the contract/order. vidual Subcontract Reports and/or Summary Sub- contract Reports in an accurate and timely manner. Did not have a history of three or more unjustified re- duced or untimely payments to small business sub- contractors within a 12 month period.

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TABLE 42–2—EVALUATION RATINGS DEFINITIONS—Continued [For the Small Business Subcontracting Evaluation Factor, when 52.219–9 is used]

Rating Definition Note

(d) Marginal ...... Deficient in meeting key subcontracting plan elements. To justify Marginal performance, identify a significant Deficient in complying with FAR 52.219–8, Utilization event that the contractor had trouble overcoming and of Small Business Concerns, and any other small how it impacted small business utilization. A Marginal business participation requirements in the contract/ rating should be supported by referencing the actions order. Did not submit Individual Subcontract Reports taken by the Government that notified the contractor and/or Summary Subcontract Reports in an accurate of the contractual deficiency. or timely manner. Failed to satisfy one or more re- quirements of a corrective action plan currently in place; however, does show an interest in bringing performance to a satisfactory level and has dem- onstrated a commitment to apply the necessary re- sources to do so. Required a corrective action plan. Did not have a history of three or more unjustified re- duced or untimely payments to small business sub- contractors within a 12 month period. (e) Unsatisfactory ...... Noncompliant with FAR 52.219–8 and 52.219–9, and To justify an Unsatisfactory rating, identify multiple sig- any other small business participation requirements nificant events that the contractor had trouble over- in the contract/order. Did not submit Individual Sub- coming and state how it impacted small business uti- contract Reports and/or Summary Subcontract Re- lization. A singular problem, however, could be of ports in an accurate or timely manner. Showed little such serious magnitude that it alone constitutes an interest in bringing performance to a satisfactory level Unsatisfactory rating. An Unsatisfactory rating should or is generally uncooperative. Required a corrective be supported by referencing the actions taken by the action plan. Had a history of three or more unjustified Government to notify the contractor of the defi- reduced or untimely payments to small business sub- ciencies. When an Unsatisfactory rating is justified, contractors within a 12 month period. the contracting officer must consider whether the contractor made a good faith effort to comply with the requirements of the subcontracting plan required by FAR 52.219–9 and follow the procedures outlined in FAR 52.219–16, Liquidated Damages-Subcontracting Plan. Note 1: Plus or minus signs may be used to indicate an improving (+) or worsening (¥) trend insufficient to change the evaluation status. Note 2: N/A (not applicable) should be used if the ratings are not going to be applied to a particular area for evaluation.

■ 6. Add section 42.1504 to Subpart ■ a. Revising the date of the clause; (12) The offeror shall provide 42.15—CONTRACTOR PERFORMANCE ■ b. Adding to paragraph (b), in assurances that the offeror will pay its INFORMATION to read as follows: alphabetical order, the definitions small business subcontractors on time, ‘‘Reduced payment’’ and ‘‘Untimely make payments in accordance with the 42.1504 Contract clause. payment’’; and terms and conditions of the underlying Insert the clause at 52.242–XX, ■ c. Adding paragraph (d)(12). subcontract, and notify the contracting Payments to Small Business The revisions and additions read as officer when the prime contractor makes Subcontractors, in all solicitations and follows: either a reduced or an untimely contracts containing the clause at payment to a small business 52.219–9 Small Business Subcontracting 52.219–9, Small Business subcontractor (see 52.242–XX). Subcontracting Plan. Plan. * * * * * * * * * * ■ PART 52—SOLICITATION PROVISIONS Small Business Subcontracting Plan 9. Add section 52.242–XX to read as AND CONTRACT CLAUSES (Date) follows: ■ 7. Amend section 52.212–5 by * * * * * 52.242–XX Payments to Small Business revising the date of the clause and (b) * * * Subcontractors paragraph (b)(17)(i) to read as follows: Reduced payment means a payment As prescribed in 42.1504, insert the that is for less than the amount agreed following clause: 52.212–5 Contract Terms and Conditions upon in a subcontract in accordance Payments to Small Business Required to Implement Statutes or with its terms and conditions, for Executive Orders-Commercial Items. Subcontractors (Date) supplies and services for which the (a) Definitions. * * * * * Government has paid the prime Reduced payment means a payment Contract Terms and Conditions contractor. that is for less than the amount agreed Required to Implement Statutes or * * * * * upon in a subcontract in accordance Executive Orders-Commercial Items Untimely payment means a payment with its terms and conditions, for (Date) to a subcontractor that is more than 90 supplies and services for which the * * * * * days past due under the terms and Government has paid the prime (b) * * * conditions of a subcontract, for supplies contractor. __(17)(i) 52.219–9, Small Business and services for which the Government Untimely payment means a payment Subcontracting Plan (DATE) (15 U.S.C. has paid the prime contractor. to a subcontractor that is more than 90 637(d)(4)). * * * * * days past due under the terms and ■ 8. Amend section 52.219–9 by— (d) * * * conditions of a subcontract, for supplies

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and services for which the Government (2) The Prime contractor makes a (c) Content of Notice. The Contractor has paid the prime contractor. payment that is either reduced or shall include the reason(s) for making (b) Notice. The Contractor shall notify untimely to the small business the reduced or untimely payment in any the Contracting Officer in writing if— subcontractor, or if the Contractor failed notice required under paragraph (b). (1) A small business subcontractor is to make a payment which is now (End of clause) entitled to payment under the terms and untimely. [FR Doc. 2016–00950 Filed 1–19–16; 8:45 am] conditions of the subcontract; and BILLING CODE 6820–EP–P

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Notices Federal Register Vol. 81, No. 12

Wednesday, January 20, 2016

This section of the FEDERAL REGISTER Transportation and Marketing Program, on the small-to medium-sized contains documents other than rules or Agricultural Marketing Service, U.S. agricultural producers that have proposed rules that are applicable to the Department of Agriculture, 1400 difficulty obtaining access to large scale public. Notices of hearings and investigations, Independence Ave. SW., Room 4509 commercial distribution channels. committee meetings, agency decisions and South Building, Ag Stop 0269, Information has been collected by the rulings, delegations of authority, filing of petitions and applications and agency Washington, DC 20250–0269. MSD periodically about the size and statements of organization and functions are All comments should be identified growth of markets, farmers served, examples of documents appearing in this with the docket number (AMS–TM–15– products sold, sales, and management section. 0082), the date, and the page number of structure to better monitor how this this issue of the Federal Register. All marketing channel changes over time comments received will be posted and the impact farmers markets have on DEPARTMENT OF AGRICULTURE without change, including any personal the farming community nationwide. information provided, online at http:// Merging the two collection Agricultural Marketing Service www.regulations.gov and will be made instruments would allow sharing of [Doc. No. AMS–TM–15–0082] available for public inspection during contact information across the two regular business hours at the above information collections which will Local Food Directories and Survey: physical address from 9 a.m. to 12 noon reduce input time for operators of Notice of Request for Revision of a and from 1 p.m. to 4 p.m., Monday multiple local food enterprises. It will Currently Approved Information through Friday, (except official Federal also allow AMS to more efficiently Collection and To Merge the Collection holidays). Persons wanting to visit the manage the collection and prevent of National Farmers Market Directory USDA South Building to view duplication of burden. The definitions and Survey With Modules and Local comments received are requested to of on-farm market, community- Food Directories and Survey make an appointment in advance by supported agriculture, (CSA) and food calling (202) 720–8317. hub are listed below. AGENCY: Agricultural Marketing Service, FOR FURTHER INFORMATION CONTACT: Farmers market information collected USDA. Edward Ragland, Marketing Services serves dual purposes. This information ACTION: Notice and request for Division, Transportation and Marketing is used to populate USDA’s National comments. Program, Agricultural Marketing Farmers Market Directory, and Service, U.S. Department of Agriculture, periodically, market managers are SUMMARY: In accordance with the 1400 Independence Ave. SW., Room invited to participate in a Paperwork Reduction Act of 1995 (44 4509 South Building, Ag Stop 0269, comprehensive survey evaluating the U.S.C. Chapter 35), this notice Washington, DC 20250–0269; Tel. 202– farmers market sector. Collecting data announces the Agricultural Marketing 720–8317 FAX 202–690–0031. for multiple purposes increases Service’s (AMS) intention to request Comments should reference Docket No. response rates, reduces duplicity in approval from the Office of Management AMS–TM–15–0082. information collected by AMS, and adds and Budget, for revision of two SUPPLEMENTARY INFORMATION: convenience for AMS. currently approved collections by The collection incorporates advanced merging them into a single information Title: Local Food Directories and Survey GIS mapping capability, which provides collection, titled ‘‘Local Food the ability to immediately stratify the Directories and Survey’’. AMS intends OMB Number: 0581–0169 Expiration Date of Approval: April 30, respondents and direct them to the to combine collection 0581–0169, 2016 survey modules relevant to their National Farmers Market Directory and Type of Request: Revision and merger characteristics. The data-driven nature Survey with Modules, and collection of a currently approved information of the collection and the use of modules 0581–0289, Local Food Directories and collection. minimizes the time necessary for Survey, and title it ‘‘Local Food Abstract: Under the Agricultural respondents to complete the Directories and Survey’’. Merging the Marketing Act of 1946, as amended (7 questionnaire. Topic areas in USDA’s collections will allow for reduced input U.S.C. 1621 et seq.), AMS is responsible National Farmers Market Managers time for operators of multiple local food for conducting research to enhance Survey include: characteristics and enterprises. All directories are national market access for small and medium history of farmers markets, types of in scope and provide free advertising for sized farmers. The role of the Marketing products sold, including fresh, locally- producers of local agricultural products. Services Division (MSD) of AMS is to grown produce, location of the markets, The directories also assist customers to facilitate distribution of U.S. programs to encourage healthy eating, locate local food enterprises. agricultural products. The division special events, marketing methods, DATES: Comments on this notice must be identifies marketing opportunities, participation in federal programs received by March 21, 2016 to be provides analysis to help take advantage designed to increase consumption of assured of consideration. of those opportunities, and develops fresh fruits and vegetables, vendor ADDRESSES: Interested persons are and evaluates solutions, including retention and recruitment, market invited to submit comments concerning improving farmers markets and other growth and enhancement, contribution this notice. Comments should be direct-to-consumer marketing activities. to economic development, awareness submitted online at Various types of direct to customer local and participation in grant and www.regulations.gov or sent to Edward food enterprises serve different parts of educational programs, what information Ragland, Marketing Services Division, the food marketing chain but all focus farmers market managers have or how

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they derive estimates of the number of Respondents: Farmers market DEPARTMENT OF AGRICULTURE customers, sales, number of vendors, managers, farm operators that operate and vendor characteristics. on-farm stores, operators of CSA, farm Farm Service Agency An on-farm market is an area of a operations, and operators of food hubs. facility affiliated with a farm where Commodity Credit Corporation transactions between a farm market Estimated Number of Respondents: operator and customers take place. An 62,250 Information Collection Request; on-farm market may operate seasonally Estimated Total Annual Responses: Noninsured Crop Disaster Assistance or year-round. On-farm markets are an 6,500 Program and Report of Acreage important component of direct Estimated Number of Responses per AGENCY: Farm Service Agency, marketing, adding value by offering Respondent: .104 Commodity Credit Corporation, USDA. customers a visit to the farm and the ACTION: opportunity to purchase products from Estimated Total Annual Burden on Notice; request for comments. Respondents: 1,187 hours. the people who grew them. SUMMARY: In accordance with the A CSA is another type of food- For Local Food Directories and Paperwork Reduction Act of 1995, the production and direct marketing Survey—0581–0289 Farm Service Agency (FSA) is relationship between a farmer or farmers requesting comments from all interested and a group of consumers who purchase Estimate of Burden: Public reporting individuals and organizations on a ‘‘shares’’ of the season’s harvest in burden for this collection of information revision of a currently approved advance of the growing season. The up- is estimated to average 0.167 hours per information collection in support of the front working capital generated by response. Noninsured Crop Disaster Assistance selling shares reduces the financial risk Program (NAP). The revision adds the to the farmer(s). Generally; farmers Respondents: Farm operators that operate on-farm stores, operators of report of acreage for NAP in the receive better prices for their crops and, information collection request. The have reduced marketing costs. CSA, farm operations, and operators of food hubs. report of acreage is not a new Consumers benefit by receiving weekly requirement for NAP; it was previously delivery of fresh locally-grown fruits, Estimated Number of Respondents: covered in a separate information vegetables, meats, eggs and other 56,750 respondents collection request and FSA is merging it produce. They also benefit from the into the NAP information collection ability to collectively support the Estimated Total Annual Responses: request. The information being collected sustainability of local farmers. 2,125 responses is needed from producers to determine A Food hub is a business or Estimated Number of Responses per their eligibility for NAP assistance. organization that actively manages the Respondent: .037 responses aggregation, distribution, and marketing DATES: We will consider comments that Estimated Total Annual Burden on we receive by March 21, 2016. of source-identified food products Respondents: 355 hours primarily from local and regional ADDRESSES: We invite you to submit producers to strengthen their ability to Comments are invited on: (1) Whether comments on this notice. In your satisfy wholesale, retail, and the proposed collection of information comments, include date, OMB control institutional demand. This marketing is necessary for the proper performance number, volume, and page number of channel also allows farm operators to of the functions of the agency, including this issue of the Federal Register. You capture a larger share of consumers’ whether the information will have may submit comments by any of the food dollar. practical utility; (2) the accuracy of the following methods: On-farm markets, CSA, as well as food agency’s estimate of the burden of the • Federal eRulemaking Portal: Go to hubs, comprise an integral part of the proposed collection of information www.regulations.gov. Follow the online urban/farm linkage and have continued instructions for submitting comments. including the validity of the • to rise in popularity, mostly due to the methodology and assumptions used; (3) Mail: Daniel McGlynn, Acting growing consumer interest in obtaining ways to enhance the quality, utility, and Division Director, Production, Emergencies, and Compliance Division, fresh products directly from the farm. clarity of the information to be Farm Service Agency, USDA, Mail Stop The use of these marketing channels has collected; and (4) ways to minimize the 0517, 1400 Independence Avenue SW, enabled farmers to receive a larger share burden of the collection of information of the consumer’s food dollar. On-farm Washington, DC 20250–0517. on those who are to respond, including You may also send comments to the markets, CSA, and food hubs allow the use of appropriate automated, consumers to have access to locally Desk Officer for Agriculture, Office of electronic, mechanical, or other grown, farm fresh produce, enable Information and Regulatory Affairs, technological collection techniques or farmers the opportunity to develop a Office of Management and Budget, personal relationship with their other forms of information technology. Washington, DC 20503. customers, and cultivate consumer All responses to this notice will be FOR FURTHER INFORMATION CONTACT: loyalty with the farmers. They are also summarized and included in the request Jeannette Sutphin, (202) 720–3188. providing greater access to fresh locally for OMB approval. All comments will Persons with disabilities or who require grown fruits and vegetables, as well as become a matter of public record. alternative means for communication playing an increasing role in Dated: January 13, 2016. should contact the USDA Target Center encouraging healthier eating. Rex A. Barnes, at (202) 720–2600 (voice). SUPPLEMENTARY INFORMATION: For Merged Local Food Directories and Associate Administrator, Agricultural Survey—0581–0169 Marketing Service. Description of Information Collection Estimate of Burden: Public reporting [FR Doc. 2016–00859 Filed 1–19–16; 8:45 am] Title: Noninsured Crop Disaster burden for this combined collection of BILLING CODE 3410–02–P Assistance Program. information is estimated to average OMB Control Number: 0560–0175. 0.183 hours per response. Type of Request: Revision.

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Abstract: NAP is authorized under 7 biomass sorghum, and industrial crops arrangement, all producers will be U.S.C. 7333 and implemented under grown as feedstock for renewable bound by the acreage report filed by the regulations in 7 CFR part 1437. NAP is biofuel, renewable electricity, and landowner or operator unless the administered by FSA for the Commodity biobased products. The 2014 Farm Bill producer files a separate acreage report Credit Corporation. The information also expanded a waiver of the NAP by the date specified by FSA for the collected allows FSA to provide service fee, which was previously crop and location. Reports of acreage assistance through NAP for losses of available only to limited resource planted or intended and prevented from commercial crops or other agricultural farmers to also include beginning and being planted must include all of the commodities (except livestock) that are socially disadvantaged farmers and following information: produced for food, fiber, bioenergy ranchers. (1) Number of acres of the eligible conversion, and for which catastrophic As specified in 7 CFR 1437.7, crop in the administrative county (for coverage under section 508(b), or producers that elect buy-up coverage are each planting in the event of multiple additional NAP coverage of sections required to pay a premium, in addition planting) in which the producer has a 508(c) of 508(h) of the Federal Crop to the service fee, equal to the lesser of: share; Insurance Act (7 U.S.C. 1508) is not The product obtained by multiplying: (2) Zero acres planted when the available. • A 5.25-percent premium fee; and producer’s crop for which an NAP coverage is available for crops • The applicable payment limit. application for coverage was filed, is not expressly grown for food (excluding The sum of the premiums for each planted; livestock and their by-products); crops eligible crop, with the premium for each (3) The producer’s share of the planted and grown for livestock eligible crop obtained by multiplying: eligible crop at the time an application consumption; crops grown for fiber • The producer’s share of the eligible for coverage was filed; (excluding trees grown for lumber or crop; (4) The FSA farm serial number; paper products); aquaculture species • The number of acres devoted to the (5) The identity of the crop, practices, crops (including ornamental fish); eligible crop; intended uses, and for forage crops, the floriculture; ornamental nursery; • The approved yield; predominant species or type and variety Christmas tree crops; turf grass sod; • The coverage level elected by the of the vegetation; industrial crops; seed crops; and sea producer; (6) For crops grown on organic grass and sea oats. The information is • The average market price; and acreage with an average market price • necessary to determine whether a A 5.25-percent premium fee; or established specified in § 1437.12(b), the • producer and crop or commodity meet For value loss crops, the premium identity of the crop planted on: applicable conditions for assistance and calculation will be based on the (i) Acreage using conventional to determine compliance with existing maximum dollar value for which farming practices; regulations. coverage is sought, subject to applicable (ii) Certified organic acreage; Eligible producers must annually: payment limitation, times the 5.25 (iii) Transitional acreage being (1) Request NAP coverage by percent premium. converted to certified organic acreage; completing an application for coverage Premiums will be calculated (iv) Buffer zone acreage; and paying a service fee by the FSA- separately for each crop, type, and (7) The identity of all producers established application closing date; intended use as reported on the acreage sharing in the crop; (2) File a report of acreage, inventory, report and as specified in the basic (8) The date the crop was planted or or physical location of the operation, as provisions. planting was completed, including the applicable for the covered crop or Beginning farmers and ranchers, age of the perennial crops; and commodity; and limited resource farmers and ranchers, (9) The acreage intended but (3) Certify harvested production of and socially disadvantaged farmers or prevented from being planted. each covered crop or commodity. ranchers may request a waiver of the Additionally, 7 CFR 1437.301(c) When damage occurs to a covered service fee and a 50 percent premium indicates that for those eligible crops crop or commodity, which is eligible for reduction for any buy-up coverage and commodities for which it is NAP, producers must file a notice of elected by filing a certification of their impractical, as determined by CCC, to loss with the local FSA administrative status on or before the time the report crop acreage including, but not county office within 15 calendar days of application for coverage is filed using limited to, ornamental nursery and occurrence or 15 calendar days of the the form specified by FSA. aquaculture, producers must provide a date damage to the crop or commodity Annual reports of acreage that are report of the crop, commodity, and becomes apparent. Producers must also planted and prevented from being facility to FSA for the acreage or facility, file an application for payment by the planted must be reported, as required by on a form prescribed by FSA, no later FSA established deadline, and complete the Secretary, by the designated acreage than the beginning of the crop year. a certification of average adjusted gross reporting date for the crop and location The report of acreage is not a new income and consent for disclosure of tax as established by the Secretary. As requirement for NAP; it was previously information with the local FSA county specified in 7 CFR 1437.8(d), the report approved by OMB under control office. The NAP application is also of acreage planted or intended but number 0560–0004. The report of being used to provide a timelier, more prevented from being planted must be acreage was covered in that separate accurate, and more reliable delivery of provided to FSA at the administrative information collection request and FSA benefits to producers. Changes county office for the acreage no later is merging it into the NAP information implemented by the Agricultural Act of than the date specified by FSA for each collection request. The report of acreage 2014 (known as the 2014 Farm Bill) crop and location. Reports of acreage information collection has been have authorized the availability of filed beyond the date specified by FSA approved under a separate OMB control additional NAP coverage levels ranging for the crop and location may, however, number because the report of acreage is from 50 to 65 percent of production at be processed and used for determining also used for other programs and in the 100 percent of the average market price acres devoted to the eligible crop if all past, the other programs required (NAP buy-up coverage), and expanded the provisions of 7 CFR part 718 are approval under the Paperwork NAP coverage to sweet sorghum, met. In the case of a crop-share Reduction Act; however, due to

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legislative exemptions related to the (2) Evaluate the accuracy of FSA’s of the burden of the proposed collection Paperwork Reduction Act for those estimate of burden including the of information, including the validity of other FSA programs, currently NAP is validity of the methodology and the methodology and assumptions that the only FSA program for which the assumptions used; were used; (c) ways to enhance the report of acreage requires approval (3) Enhance the quality, utility, and quality, utility, and clarity of the under the Paperwork Reduction Act. clarity of the information to be information to be collected; and (d) Therefore, FSA determined that instead collected; ways to minimize the burden of the of continuing 2 separate approvals, it (4) Minimize the burden of the collection of information on those who would be better to consolidate the collection of information on those who are to respond, including use of information collection requests into a are to respond, including through the appropriate automated, electronic, single NAP approval. When FSA use of appropriate automated, mechanical, or other technological submits the information collection electronic, mechanical, or other collection techniques or other forms of request to OMB, FSA will submit a technological collection techniques or information technology. consolidated request to revise the OMB other forms of information technology. Comments may be submitted through approval for control number 0560–0175 All comments received in response to one of the following methods: and will discontinue OMB control this notice, including names and • Preferred method: Submit number 0560–0004 when OMB addresses when provided, will be a information through the Federal approves the revised information matter of public record. Comments will eRulemaking Portal at http:// collection request for control number be summarized and included in the www.regulations.gov. Follow the online 0560–0175. submission for Office of Management instructions for submissions. FSA is revising the currently and Budget approval. • Mail: Submissions should be approved information collection Val Dolcini, addressed to Dennis Ranalli, Social because the total annual burden hours is Executive Vice President, Commodity Credit Science Policy Analyst, Office of Policy expected to increase due to the merging Corporation, and Administrator, Farm Support, FNS, U.S. Department of the information collection request of Service Agency. Agriculture, 3101 Park Center Drive, Report of Acreage for NAP (0560–0004) [FR Doc. 2016–00984 Filed 1–19–16; 8:45 am] Room 1014, Alexandria, VA 22302. with the information collection request BILLING CODE 3410–05–P Comments may also be emailed to of 0560–0175. FSA is also revising the [email protected]. estimates currently approved for OMB All information properly and timely control number 0560–0175 to the DEPARTMENT OF AGRICULTURE submitted, using one of the methods numbers to reflect current respondents. described above, in response to this The information collection request Food and Nutrition Service request will be included in the record and will be made available to the public approved under OMB control number Agency Information Collection 0560–0004 will be discontinued upon on the Internet at http:// Activities: Proposed Collection; www.regulations.gov. Please be advised the OMB approval of the revised Comment Requested—Review of Child information collection request for OMB that the substance of the information Nutrition Data and Analysis for provided and the identity of the control number 0560–0175. Program Management The formula used to calculate the individuals or entities submitting it will total burden hours is ‘‘the estimated AGENCY: Food and Nutrition Service be subject to public disclosure. average time per response (including (FNS), USDA. All written comments will be open for travel time)’’ times ‘‘the total estimated ACTION: Notice. public inspection at the FNS office annual response.’’ located at 3101 Park Center Drive, Type of Respondents: Producers of SUMMARY: In accordance with the Alexandria, Virginia 22302, Room 1014, commercial crops or other agricultural Paperwork Reduction Act of 1995, this during regular business hours (8:30 a.m. commodities (except livestock). notice invites the general public and to 5:00 p.m., Monday through Friday). Estimated Annual Burden: Public other public agencies to comment on All responses to this notice will be reporting burden for this information this proposed information collection. summarized and included in the request collection is estimated to average 1.63 This is a new collection to review and for Office of Management and Budget hours per response. The average travel document State and School Food (OMB) approval. All comments will be time, which is included in the total Authority (SFA) National School Lunch a matter of public record. annual burden, is estimated to be 1 hour Program (NSLP) and School Breakfast FOR FURTHER INFORMATION CONTACT: per respondent. Program (SBP) Management Information Requests for additional information or Estimated Annual Number of Systems (MIS) in order to provide FNS copies of this information collection Respondents: 72,294. with a baseline assessment of the MIS should be directed to Dennis Ranalli at Estimated Annual Number of system and to inform FNS regarding 703–305–2149 or dennis.ranalli@ Reponses per Respondent: 8. how States and SFAs use data systems fns.usda.gov. Estimated Total Annual Responses: beyond fulfilling FNS reporting requirements. SUPPLEMENTARY INFORMATION: 574,402. Title: Review of Child Nutrition Data Estimated Total Annual Burden DATES: Written comments on this notice and Analysis for Program Management. Hours: 933,528. must be received on or before March 21, Form Number: N/A. We are requesting comments on all 2016. OMB Number: Not yet assigned. aspects of this information collection to ADDRESSES: Comments are invited on: Expiration Date: Not yet determined help us to: (a) Whether the proposed collection of Type of Request: New collection. (1) Evaluate whether the collection of information is necessary for the proper Abstract: The Richard B. Russell information is necessary for the proper performance of the functions of the National School Lunch Act of 1946 and performance of the functions of FSA, agency, including whether the Child Nutrition Act of 1966 provide the including whether the information will information shall have practical utility; legislative authority for the National have practical utility; (b) the accuracy of the agency’s estimate School Lunch Program (NSLP) and

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School Breakfast Program (SBP). These D Objective 2: Assess when State and one representative from each State programs provide federal financial local NSLP/SBP data management school meals agency will participate in assistance and USDA foods to public information systems were developed, the State agency survey. In addition, and non-profit private schools and and the expected longevity of these FNS expects that two respondents from residential childcare institutions to systems. each SFA will be needed to complete facilitate serving meals that meet D Objective 3: Determine the typical the SFA survey because this survey will nutritional standards. At the State level, costs of developing, maintaining, seek information on a range of aspects State education agencies (SEAs) modifying and replacing State and local of the MIS of SFAs. Based on this, FNS administer NSLP/SBP. At the local NSLP/SBP data management estimates that the total number of level, School Food Authorities (SFAs) information systems. unique respondents for this study will operate these programs through D Objective 4: Outline the data include 51 representatives from State agreements with SEAs. SFAs use elements that State and SFA NSLP/SBP school meals agencies; 4,032 Management Information Systems (MIS) data management systems collect and administrators and data managers from of varying levels of sophistication to generate, beyond those reported to FNS, small, medium, and large SFAs; and collect the range of information required to administer and manage the NSLP and 1,008 non-respondents. The study will to implement and manage school food SBP at the State and SFA levels. contact 2,520 SFAs with an expected service programs. D Objective 5: Assess what proportion response rate of 80%, which will result The information SFAs collect include of States and SFAs collect or generate in 2,016 completed Web surveys. meal production, labor cost, food cost, NSLP/SBP management data that they Estimated Frequency of Responses per inventory and other data needed to do not report to FNS. Respondent: 3.16. manage their operations. SFAs also D Objective 6: Describe how long these Estimated Total Annual Responses: collect reimbursable meal counts and data elements are retained and how 16,062. frequently they are updated. other information for obtaining NSLP/ Estimated Time per Response: 10 D Objective 7: Determine the functions SBP reimbursements and meeting State minutes (0.17 hours). The estimated that these data element serve. Describe reporting requirements. SFAs are response time varies from three minutes the types of access, analysis, and accountable for meeting NSLP/SBP to one hour. The census of State school standard or ad-hoc report generation standards, maintaining food safety meal agencies will take 60 minutes (1 supported by State and local NSLP/SBP standards, ensuring proper use of funds, hour) to complete. All representatives and managing meal services within a data systems. D Objective 8: Describe the technical will receive prior notification of the budget. and other challenges SFA and State survey. The estimated burden of this Current State and federal data administrators face in NSLP/SBP data notification is 5 minutes (0.08 hours). collection requirements for the NSLP/ collection, aggregation, and reporting. For the Web survey of SFAs, all SBP have grown from manual paper- Describe the perceptions of these potential respondents will receive prior based reporting and early computer eras officials of the quality of the reported notification, which will require 5 that were characterized by concerns to data. minutes (0.08 hours) to read. It is minimize paperwork and reporting The purpose of this project is to review anticipated that two respondents from burden. While SFAs collect a wide array and document SFA and State NSLP/SBP each SFA will respond—the of data to enhance local administration, management information systems by administrator and data manager. SEAs request and aggregate a subset of conducting: Estimated time of response for SFA this data and ultimately report only a 1. A census of all State agencies administrators is 12 minutes (0.2 hours). small part of it to the Food and responsible for administering NSLP/ The estimated time of response for SFA Nutrition Service (FNS) as State data. SBP, and data managers (or equivalent) is 48 The purpose of this study is to review 2. A Web survey of a nationally minutes (0.8 hours). Estimated time for and document the management representative sample of small, medium non-respondents is 3 minutes (0.05 information systems of State education and large SFAs. hours). Non-respondents include those agencies and School Food Authorities. Affected Public: State, Local and who attempt the survey but do not Specifically, the study will present a Tribal Government. Respondent groups complete or decline to participate. baseline assessment of the MIS systems identified include: (1) Data managers There will be three follow-up activities based on data collected: from State agencies that administer for both the census and the Web survey. D Objective 1: Determine the baseline school meal programs in all 50 States The estimated burden for each follow- ‘‘as is’’ functionality of State education and the District of Columbia and (2) a up activity is 3 minutes (0.05 hours). agencies (SEA) and School Food sample of SFA administrators or data Estimated Total Annual Burden on Authority (SFA) National School Lunch managers. Respondents: 2,743.09 hours. Program (NSLP)/School Breakfast Estimated Number of Respondents: See the table below for estimated total Program (SBP) data management The total estimated number of unique annual burden for each type of information systems. respondents is 5,091. FNS expects that respondent.

Frequency of Total annual Estimated avg. Estimated total Respondent Estimated # response responses # of hours per hours respondent (annually) (Col. bxc) response (Col. dxe)

Census

Census Notification ...... 51 1 51 0.08 4.08 Representative of State school meals agencies ...... 51 1 51 1.00 51.00 Census Follow-up 1 ...... 36 1 36 0.05 1.79 Census Follow-up 2 ...... 28 1 28 0.05 1.40 Census Follow-up 3 ...... 20 1 20 0.05 1.02

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Frequency of Total annual Estimated avg. Estimated total Respondent Estimated # response responses # of hours per hours respondent (annually) (Col. bxc) response (Col. dxe)

Web Survey

Survey Notification ...... 2,520 1 2,520 0.08 201.60 School Food Authority Administrator ...... 2,016 1 2,016 0.20 403.20 Survey Follow-up 1 (Administrator and Data Manager) ...... 3,528 1 3,528 0.05 176.40 Survey Follow-up 2 (Administrator and Data Manager) ...... 2,772 1 2,772 0.05 138.60 Survey Follow-up 3 (Administrator and Data Manager) ...... 2,016 1 2,016 0.05 100.80 School Food Authority Data Manager (or equivalent) ...... 2,016 1 2,016 0.80 1,612.80 School Food Authority Administrator (Attempted)—Non- Response ...... 504 1 504 0.05 25.20 School Food Authority Data Manager (or equivalent)— Non-Response ...... 504 1 504 0.05 25.20 Total Reporting Burden ...... 5,091 3.16 16,062 0.17 2,743.09

Dated: January 13, 2016. Room (2SE01), 201 14th Street on the agenda. Anyone who would like Audrey Rowe, Southwest, Washington, DC. to bring related matters to the attention Administrator, Food and Nutrition Service. Written comments may be submitted of the committee may file written [FR Doc. 2016–01005 Filed 1–19–16; 8:45 am] as described under SUPPLEMENTARY statements with the committee staff INFORMATION. All comments, including BILLING CODE 3410–30–P before or after the meeting. Written names and addresses when provided, comments and requests for time to make are placed in the record and are oral comments must be sent to W. DEPARTMENT OF AGRICULTURE available for public inspection and Stephen Hart, FRAC Designated Federal copying. The public may inspect Officer, USDA Forest Service, Research Forest Service comments received at USDA Forest and Development, 1400 Independence Service—Washington Office. Please call Avenue SW., Mail Stop 1120, Forestry Research Advisory Council ahead to 202–205–1665 to facilitate Washington, DC 20250–1120; via entry into the building. AGENCY: Forest Service, USDA. fascimile to 202–401–1189, or via email FOR FURTHER INFORMATION CONTACT: W. at [email protected]. ACTION: Notice of meeting. Stephen Hart, FRAC Designated Federal Meeting Accommodations: If you are SUMMARY: The Forestry Research Officer, by phone at 202–205–0844 or a person requiring reasonable Advisory Council (FRAC) will meet in via email at [email protected]. accommodation, please make requests Washington, DC The Council is required Individuals who use in advance for sign language by Section 1441 of the Agriculture and telecommunication devices for the deaf interpreting, assistive listening devices Food Act of 1981 to provide advice to (TDD) may call the Federal Information or other reasonable accommodation for the Secretary of Agriculture on Relay Service (FIRS) at 1–800–877–8339 access to the facility or proceedings by accomplishing efficiently the purposes between 8:00 a.m. and 8:00 p.m., contacting the person listed in the of the Act of October 10, 1962 (16 U.S.C. Eastern Standard Time, Monday section titled FOR FURTHER INFORMATION 582a, et seq.), commonly known as the through Friday. CONTACT. All reasonable McIntire-Stennis Act of 1962. The SUPPLEMENTARY INFORMATION: The accommodation requests are managed Council also provides advice relative to purpose of the meeting is to: on a case by case basis. 1. Discuss current and emerging the Forest Service research program, Dated: January 12, 2016. forestry and natural resources research authorized by the Forest and Rangeland Carlos Rodriguez-Franco, Renewable Resources Research Act of issues; 2. Provide a presentation and Acting Deputy Chief, Research & 1978 (Pub. L. 95–307, 92 Stat. 353, as Development. amended; 16 U.S.C. 1600 (note)). FRAC discussion on budget outlooks and [FR Doc. 2016–00882 Filed 1–19–16; 8:45 am] information can be found at the program priorities of the USDA Forest following Web site: http://fs.fed.us/ Service Research and Development and BILLING CODE 3411–15–P research/about/forestry-research- USDA National Institute of Food and council/. Agriculture; including the McIntire- Stennis Cooperative Forestry Research DEPARTMENT OF AGRICULTURE DATES: The meeting will be held Program; and February 23–24, 2016, at the following Rural Housing Service 3. Discuss anticipated matters that times: may include USDA engagement in • February 23, 2016, from 8:30 a.m.– Notice of Solicitation of Applications natural resources-related research and (NOSA) for the Section 533 Housing 4:30 p.m. education, partnerships with other • February 24, 2016, from 8:30 a.m.– Preservation Grants for Fiscal Year agencies, indisciplinary research, 2016 11:30 a.m. research in urban forestry, wood All FRAC meetings are subject to products development, and landscape- AGENCY: Rural Housing Service, USDA. cancellation. For status of the meeting scale forest management. ACTION: Notice; correction. prior to attendance, please contact the The meeting is open to the public. person listed under FOR FURTHER The agenda will include time for people SUMMARY: This document corrects the INFORMATION CONTACT. to make oral statements of three minutes closing deadline date that has changed ADDRESSES: The meeting will be held in or less. Individuals wishing to make an since the initial Notice that appeared in the USDA Forest Service—Washington oral statement should request in writing the Federal Register on December 29, Office, Yates Building, Leopold Training by February 16, 2016, to be scheduled 2015, entitled ‘‘Notice of Solicitation of

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Applications (NOSA) for the 533 CFR Sec. 400.2(c)) as an option for the application was submitted pursuant to Housing Preservation Grants for Fiscal establishment or reorganization of the provisions of the Foreign-Trade Year 2016’’. zones; Zones Act, as amended (19 U.S.C. 81a– DATES: This document is effective Whereas, the Pennsylvania Foreign- 81u), and the regulations of the FTZ January 20, 2016. Trade Zone Corporation (the Grantee) Board (15 CFR part 400). It was formally FOR FURTHER INFORMATION CONTACT: has made application to the Board (B– docketed on January 14, 2016. Jeaneane Shelton, jeaneane.shelton@ 7–2015, docketed February 5, 2015), Subzone 243A was approved on May wdc.usda.gov, (202) 720–5443, Finance requesting the establishment of a 20, 2005 (70 FR 32570, 06–03–2005) and currently consists of one site: Site 1 (29 and Loan Analyst, Multi-Family foreign-trade zone under the ASF with acres)—1590 N. Tamarind Avenue, Housing Preservation and Direct Loan a service area of Bedford, Blair, Rialto, California. The applicant is now Division, STOP 0782, (Room 1263–S) Cambria, Centre, Fulton, Huntingdon requesting authority to expand the U.S. Department of Agriculture, Rural and Somerset Counties, Pennsylvania, subzone further to include an additional Development, 1400 Independence adjacent to the Pittsburgh and site: Proposed Site 2 (39.43 acres)— Avenue SW., Washington, DC 20250– Harrisburg Customs and Border 15750 Jurupa Avenue, Fontana, 0782. All hard copy pre-applications Protection ports of entry; California. No authorization for and required documents (attachments) Whereas, notice inviting public production activity has been requested must be submitted to this address. comment has been given in the Federal Register (80 FR 8059, February 13, at this time. The expanded subzone (Please note these telephone numbers would be subject to the existing are not a toll-free numbers.) 2015) and the application has been processed pursuant to the FTZ Act and activation limit of FTZ 243. SUPPLEMENTARY INFORMATION: In FR Doc. the Board’s regulations; and, In accordance with the FTZ Board’s 2015–32784 of December 29, 2015 (80 Whereas, the Board adopts the regulations, Christopher Kemp of the FR 81279), make the following findings and recommendations of the FTZ Staff is designated examiner to corrections: examiner’s report, and finds that the review the application and make 1. On page 81279, the third column, requirements of the FTZ Act and the recommendations to the Executive second paragraph, fifth line and fourteenth Board’s regulations are satisfied if Secretary. line, under DATES: Remove closing deadline Public comment is invited from approval of the service area is limited to date February 12, 2016, and add closing interested parties. Submissions shall be Bedford, Blair and Cambria Counties; deadline date March 15, 2016, in its place. addressed to the FTZ Board’s Executive Now, therefore, the Board hereby 2. On page 81280, first column, the fourth Secretary at the address below. The grants to the Grantee the privilege of paragraph, under Supplementary closing period for their receipt is establishing a foreign-trade zone with a Information, Overview, eighth line for Dates, February 29, 2016. Rebuttal comments remove date February 12, 2016, and add date service area of Bedford, Blair and in response to material submitted March 15, 2016. Cambria Counties, designated on the during the foregoing period may be records of the Board as Foreign-Trade Dated: January 13, 2016. submitted during the subsequent 15-day Tony Hernandez, Zone No. 295, subject to the FTZ Act period to March 15, 2016. Administrator, Rural Housing Service. and the Board’s regulations, including A copy of the application will be Section 400.13, and to the Board’s [FR Doc. 2016–00957 Filed 1–19–16; 8:45 am] available for public inspection at the standard 2,000-acre activation limit. BILLING CODE 3410–XV–P Office of the Executive Secretary, Signed at Washington, DC, this 4 day of Foreign-Trade Zones Board, Room January 2016. 21013, U.S. Department of Commerce, DEPARTMENT OF COMMERCE Penny Pritzker, 1401 Constitution Avenue NW, Secretary of Commerce, Chairman and Washington, DC 20230–0002, and in the Foreign-Trade Zones Board Executive Officer, Foreign-Trade Zones ‘‘Reading Room’’ section of the FTZ Board. Board’s Web site, which is accessible [Order No. 1993] ATTEST: via www.trade.gov/ftz. Grant of Authority; Establishment of a Andrew McGilvray, For further information, contact Foreign-Trade Zone Under the Executive Secretary. Christopher Kemp at christopher.kemp@ Alternative Site Framework; Central [FR Doc. 2016–01035 Filed 1–19–16; 8:45 am] trade.gov or (202) 482–0862. Pennsylvania BILLING CODE 3510–DS–P Dated: January 14, 2016. Andrew McGilvray, Pursuant to its authority under the Foreign- Executive Secretary. Trade Zones Act of June 18, 1934, as DEPARTMENT OF COMMERCE amended (19 U.S.C. 81a–81u), the Foreign- [FR Doc. 2016–01039 Filed 1–19–16; 8:45 am] Trade Zones Board (the Board) adopts the Foreign-Trade Zones Board BILLING CODE 3510–DS–P following Order: [S–02–2016] Whereas, the Foreign-Trade Zones Act DEPARTMENT OF COMMERCE provides for ‘‘. . . the establishment Foreign-Trade Zone 243—Victorville, . . . of foreign-trade zones in ports of California; Application for Subzone Foreign-Trade Zones Board entry of the United States, to expedite Expansion; Subzone 243A; Black & [B–1–2016] and encourage foreign commerce, and Decker (U.S.) Inc.; Rialto, California for other purposes,’’ and authorizes the Notification of Proposed Production Foreign-Trade Zones Board to grant to An application has been submitted to Activity; Klaussner Furniture qualified corporations the privilege of the Foreign-Trade Zones (FTZ) Board by Industries, Inc.; Subzone 230D; establishing foreign-trade zones in or the City of Victorville, California, (Upholstered Furniture); Asheboro and adjacent to U.S. Customs and Border grantee of FTZ 243, requesting an Candor, North Carolina Protection ports of entry; additional site within Subzone 243A on Whereas, the Board adopted the behalf of Black & Decker (U.S.) Inc., Klaussner Furniture Industries, Inc. alternative site framework (ASF) (15 located in Rialto, California. The (KFI), operator of Subzone 230D,

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submitted a notification of proposed the fabrics’ customs classification could FOR FURTHER INFORMATION CONTACT: production activity to the FTZ Board for change through transformation under Blaine Wiltse, AD/CVD Operations, its facilities in Asheboro and Candor, FTZ procedures—would only involve Office II, Enforcement and Compliance, North Carolina. The notification micro-denier suede upholstery fabrics International Trade Administration, conforming to the requirements of the finished with a hot caustic soda solution U.S. Department of Commerce, 14th regulations of the FTZ Board (15 CFR process (classified within HTSUS Street and Constitution Avenue NW, 400.22) was received on January 5, Headings 5407, 5512, 5515, 5516, 5801, Washington, DC 20230; telephone: (202) 2016. 5903, 6001, 6005, and 6006), 482–6345. KFI currently has authority to conduct polyurethane fabrics backed with SUPPLEMENTARY INFORMATION: cut-and-sew activity using certain ground leather (5903.20.2500), foreign micro-denier suede upholstery upholstery leather (Heading 4107), and Background fabrics to produce upholstered furniture wet coagulation process, 100 percent and related parts (upholstery cover sets) polyurethane coated fabrics On August 26, 2015, the Department on a restricted basis (see Board Order (5903.20.2500), as detailed in the published the Preliminary 1745, 76 FR 11426, March 2, 2011). notification (duty rate ranges from free Determination of this antidumping duty Board Order 1745 authorized the to 17.2%). (AD) investigation.1 The following production of upholstered furniture Public comment is invited from events occurred since the Preliminary (sofas, sleep sofas, and recliners) for a interested parties. Submissions shall be Determination was issued. five-year period, with a scope of addressed to the FTZ Board’s Executive On October 30, 2015, we received authority that only provides FTZ Secretary at the address below. The case briefs from Petitioners 2 and PT savings on a limited quantity (5.79 closing period for their receipt is Anugerah Kertas Utama/PT Riau million square yards per year) of foreign February 29, 2016. Andalan Kertas/APRIL Fine Paper origin, micro-denier suede upholstery A copy of the notification will be Macao Commercial Offshore Limited fabric finished with a hot caustic soda available for public inspection at the (collectively, APRIL). On November 4, solution process (i.e., authorized Office of the Executive Secretary, 2015, we received rebuttal briefs from fabrics). All foreign upholstery fabrics Foreign-Trade Zones Board, Room the same interested parties. On other than micro-denier suede finished 21013, U.S. Department of Commerce, November 12, 2015, we held a public with a hot caustic soda solution process 1401 Constitution Avenue NW, hearing at the request of Petitioners. (i.e., unauthorized fabrics) used in KFI’s Washington, DC 20230–0002, and in the production within Subzone 230D are The Department is issuing a scope ‘‘Reading Room’’ section of the FTZ comments decision memorandum for subject to full customs duties. Board’s Web site, which is accessible The current request seeks to extend the final determinations of the AD and via www.trade.gov/ftz. countervailing duty (CVD) KFI’s existing FTZ authority indefinitely For further information, contact Pierre investigations of uncoated paper, which (with no increase in the company’s Duy at [email protected] or (202) is incorporated by reference in, and annual quantitative limit of 5.79 million 482–1378. square yards) and to add foreign-status hereby adopted by, this final leather and certain polyurethane-type Dated: January 13, 2016. determination.3 Andrew McGilvray, fabrics to the scope of authority. KFI has Scope of the Investigation and Scope also requested that the authority under Executive Secretary. Comments Board Order 1745 be revised by [FR Doc. 2016–01031 Filed 1–19–16; 8:45 am] modifying Condition #2 to allow KFI to BILLING CODE 3510–DS–P The product covered by this admit unauthorized fabrics to Subzone investigation is uncoated paper from 230D in privileged foreign status (19 Indonesia. For a complete description of CFR 146.41), which would preclude any DEPARTMENT OF COMMERCE the scope of this investigation, see the change in customs classification ‘‘Scope of the Investigation,’’ in through transformation under FTZ International Trade Administration Appendix I of this notice, which procedures. Pursuant to 15 CFR [A–560–828] incorporates changes made subsequent 400.14(b), additional FTZ authority to the Preliminary Determination. would be limited to the specific foreign- Certain Uncoated Paper From On October 2, 2015, Gartner Studios, status materials and components and Indonesia: Final Determination of Inc. submitted its case brief on the scope specific finished products described in Sales at Less Than Fair Value the submitted notification (as described below) and subsequently authorized by AGENCY: Enforcement and Compliance, 1 See Certain Uncoated Paper From Indonesia: International Trade Administration, Preliminary Determination of Sales at Less Than the FTZ Board. Fair Value and Postponement of Final Production under FTZ procedures Commerce. Determination, 80 FR 51771 (August 26, 2015) could exempt KFI from customs duty SUMMARY: The Department of Commerce (Preliminary Determination). payments on the foreign-status fabrics (the Department) determines that certain 2 Petitioners in this investigation are United Steel, used in export production. On its uncoated paper (uncoated paper) from Paper and Forestry, Rubber, Manufacturing, Energy, Indonesia is being, or is likely to be, Allied Industrial and Service Workers International domestic sales, KFI would be able to Union; Domtar Corporation; Finch Paper LLC; P.H. apply the finished upholstery cover set sold in the United States at less than fair Glatfelter Company; and Packaging Corporation of (i.e., furniture part) or finished furniture value (LTFV), as provided in section America. duty rate (free) for the authorized fabrics 735(a) of the Tariff Act of 1930, as 3 See the Department’s memorandum to the file amended (the Act). The period of titled, ‘‘Less-Than-Fair-Value Investigations of and the additional fabrics (indicated Certain Uncoated Paper from Australia, Brazil, the below). Customs duties also could investigation (POI) is January 1, 2014, People’s Republic of China, Indonesia, and possibly be deferred or reduced on through December 31, 2014. The final Portugal; and Countervailing Duty Investigations of foreign-status production equipment. dumping margins of sales at LTFV are Certain Uncoated Paper from the People’s Republic listed below in the ‘‘Final of China and Indonesia: Scope Comments Decision Authority to admit imported fabrics to Memorandum for the Final Determinations,’’ dated Subzone 230D in non-privileged foreign Determination’’ section of this notice. January 8, 2016 (Final Scope Decision status (19 CFR 146.42)—under which DATES: Effective: January 20, 2016. Memorandum).

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of the investigations.4 On October 19, at https://access.trade.gov and it is companies failed to respond to the 2015, American Greetings Corporation available to all parties in the Central Department’s questionnaire, in the (American Greetings) submitted its case Records Unit, room B–8024 of the main Preliminary Determination, we based brief regarding the scope of the Department of Commerce building. In the preliminary dumping margin for investigations.5 On October 29, 2015, addition, a complete version of the these companies on adverse facts Petitioners submitted their rebuttal brief Issues and Decision Memorandum can available (AFA), in accordance with regarding the scope of the be accessed directly at http:// sections 776(a) and (b) of the Act and 19 investigations.6 The Department is enforcement.trade.gov/frn/index.html. CFR 351.308. As AFA, we preliminarily issuing a scope comments decision The signed and electronic versions of assigned a rate of 51.75 percent (i.e., the memorandum for the final the Issues and Decision Memorandum highest transaction-specific dumping determinations of the AD and CVD are identical in content. margin for APRIL). For the final investigations of uncoated paper, which determination, we assigned these Verification is incorporated by reference in, and companies an AFA margin of 17.39 hereby adopted by, this final As provided in section 782(i) of the percent, which is the highest determination.7 As explained in the Act, in September 2015, the Department transaction-specific dumping margin for Final Scope Decision Memorandum, to verified the sales and cost information APRIL. For further discussion, see the facilitate the scope’s administrability submitted by APRIL for use in our final Issues and Decision Memorandum at and enforcement, we have clarified the determination. We used standard Comment 1. We also revised the all- scope language such that uncoated verification procedures, including an others rate. paper with ‘‘final printed content’’ is examination of relevant accounting and All-Others Rate excluded from the scope of the production records, and original source investigations. documents provided by APRIL.9 Section 735(c)(5)(A) of the Act provides that the estimated all-others Changes Since the Preliminary Analysis of Comments Received rate shall be an amount equal to the Determination All issues raised in the case and weighted-average of the estimated rebuttal briefs by parties in this Based on our analysis of the weighted-average dumping margins investigation that are not related to the comments received and findings at established for exporters and producers scope of this investigation are addressed verification, we made certain changes to individually investigated excluding any in the Issues and Decision the margin calculations for APRIL. For zero or de minimis margins, and Memorandum, which is incorporated by a discussion of these changes, see the margins determined entirely under reference by, and hereby adopted by, ‘‘Margin Calculations’’ section of the section 776 of the Act. For the Final this notice.8 A list of the issues raised Issues and Decision Memorandum. In Determination, the Department is attached to this notice as Appendix II. addition, we changed the dumping calculated the ‘‘all-others’’ rate based on The Issues and Decision Memorandum margin assigned to two additional APRIL’s final dumping margin of 2.05 is a public document and is on file mandatory respondents in this percent. electronically via Enforcement and investigation, Great Champ Trading Compliance’s Antidumping and Limited (Great Champ) and Indah Kiat Final Determination Countervailing Duty Centralized Pulp & Paper TBK/Pabrik Kertas Tjiwi The Department determines that the Electronic Service System (ACCESS). Kimia/PT. Pindo Deli Pulp and Paper final weighted-average dumping ACCESS is available to registered users Mills (APP/SMG). Because these margins are as follows:

Weighted-average Exporter/Manufacturer dumping margin (percent)

Great Champ Trading Limited ...... 17.39 Indah Kiat Pulp & Paper TBK/Pabrik Kertas Tjiwi Kimia/PT. Pindo Deli Pulp and Paper Mills (APP/SMG) ...... 17.39 April Fine Paper Macao Limited/PT Anugerah Kertas Utama/PT Riau Andalan Kertas (APRIL) ...... 2.05 All-Others ...... 2.05

Disclosure Continuation of Suspension of uncoated paper from Indonesia, as Liquidation described in Appendix I of this notice, We will disclose the calculations In accordance with section which were entered, or withdrawn from performed to interested parties within warehouse, for consumption on or after five days of the public announcement of 735(c)(1)(B) of the Act, the Department will instruct U.S. Customs and Border August 26, 2015, the date of publication this final determination in accordance Protection (CBP) to continue to suspend of the preliminary determination of this with 19 CFR 351.224(b). liquidation of all appropriate entries of investigation in the Federal Register.

4 See Letter to Secretary Pritzker, from Gartner People’s Republic of China, Indonesia, and entitled ‘‘Verification of the Cost Response of Studios, Inc., ‘‘Certain Uncoated Paper from Portugal: Scope Rebuttal Brief’’ (October 29, 2015). APRIL Fine Paper Macao Offshore Limited in the Australia, Brazil, the People’s Republic of China, 7 See Final Scope Decision Memorandum. Antidumping Duty Investigation of Certain Indonesia, and Portugal: Case Brief’’ (October 2, Uncoated Paper from Indonesia,’’ dated October 20, 8 See Memorandum to Paul Piquado, ‘‘Issues and 2015). 2015; and Memorandum to the File from Blaine Decision Memorandum for the Final Affirmative 5 See Letter to Secretary Pritzker, from American Wiltse, Senior Analyst, entitled ‘‘Verification of the Determination in the Less-Than-Fair-Value Greetings, ‘‘Certain Uncoated Paper from Australia, Sales Response of PT Anugerah Kertas Utama Brazil, the People’s Republic of China, Indonesia, Investigation of Certain Uncoated Paper from (AKU), PT Riau Andalan Kertas (RAK), and APRIL and Portugal: Case Brief of American Greetings Indonesia’’ (January 8, 2016) (Issues and Decision Fine Paper Macao Commercial Offshore Limited Corporation’’ (October 19, 2015). Memorandum). (AFPM) (collectively, APRIL) in the Antidumping 6 See Letter to Secretary Pritzker, from Petitioners, 9 See Memorandum to the File from Heidi K. Duty Investigation of Certain Uncoated Paper from ‘‘Certain Uncoated Paper from Australia, Brazil, the Schriefer and Ji Young Oh, Senior Accountants, Indonesia,’’ dated October 22, 2015.

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Further, CBP shall require a cash International Trade Commission (ITC) or is a colored paper; whether or not surface- deposit equal to the estimated amount Notification decorated, printed (except as described below), embossed, perforated, or punched; by which the normal value exceeds the In accordance with section 735(d) of U.S. price, as follows: (1) The rate for irrespective of the smoothness of the surface; the Act, we will notify the ITC of the and irrespective of dimensions (Certain the mandatory respondents listed above final affirmative determination of sales Uncoated Paper). will be the respondent-specific rates we at LTFV. Because the final Certain Uncoated Paper includes (a) determined in this final determination; determination in this proceeding is uncoated free sheet paper that meets this (2) if the exporter is not a firm identified affirmative, in accordance with section scope definition; (b) uncoated ground wood in this investigation, but the producer paper produced from bleached chemi- 735(b)(2) of the Act, the ITC will make is, the rate will be the rate established thermo-mechanical pulp (BCTMP) that meets its final determination as to whether the for the producer of the subject this scope definition; and (c) any other domestic industry in the United States merchandise; and (3) the rate for all uncoated paper that meets this scope is materially injured, or threatened with other producers or exporters will be definition regardless of the type of pulp used material injury, by reason of imports of to produce the paper. 2.05 percent. 10 uncoated paper from Indonesia no later Specifically excluded from the scope are Consistent with our practice, where (1) paper printed with final content of the product under investigation is also than 45 days after our final determination. If the ITC determines printed text or graphics and (2) lined paper subject to a concurrent CVD products, typically school supplies, investigation, we instruct CBP to require that material injury or threat of material composed of paper that incorporates straight a cash deposit less the amount of the injury does not exist, the proceeding horizontal and/or vertical lines that would countervailing duty determined to will be terminated and all cash deposits make the paper unsuitable for copying or constitute an export subsidy.11 will be refunded. If the ITC determines printing purposes. For purposes of this scope Therefore, in the event that a CVD order that such injury does exist, the definition, paper shall be considered Department will issue an antidumping ‘‘printed with final content’’ where at least is issued and suspension of liquidation one side of the sheet has printed text and/ is resumed in the companion CVD duty order directing CBP to assess, upon further instruction by the Department, or graphics that cover at least five percent of investigation on uncoated paper from the surface area of the entire sheet. Indonesia, the Department will instruct antidumping duties on all imports of the Imports of the subject merchandise are CBP to require cash deposits adjusted subject merchandise entered, or provided for under Harmonized Tariff for export subsidies, as appropriate, withdrawn from warehouse, for Schedule of the United States (HTSUS) found in the final determination of the consumption on or after the effective categories 4802.56.1000, 4802.56.2000, companion CVD investigation. date of the suspension of liquidation. 4802.56.3000, 4802.56.4000, 4802.56.6000, 4802.56.7020, 4802.56.7040, 4802.57.1000, Specifically, for cash deposit purposes, Notification Regarding Administrative 4802.57.2000, 4802.57.3000, and we will subtract from the applicable Protective Orders (APO) 4802.57.4000. Some imports of subject cash deposit rate that portion of the merchandise may also be classified under CVD rate attributable to the export This notice serves as a reminder to parties subject to an APO of their 4802.62.1000, 4802.62.2000, 4802.62.3000, subsidies found in the final affirmative 4802.62.5000, 4802.62.6020, 4802.62.6040, countervailing duty determination for responsibility concerning the 4802.69.1000, 4802.69.2000, 4802.69.3000, each respondent (i.e., 57.78 percent for disposition of proprietary information 4811.90.8050 and 4811.90.9080. While Great Champ and APP/SMG).12 After disclosed under APO in accordance HTSUS subheadings are provided for this adjustment, the resulting cash with 19 CFR 351.305(a)(3). Timely convenience and customs purposes, the notification of the return or destruction written description of the scope of the deposit rates will be 0.00 percent for investigation is dispositive. Great Champ and APP/SMG. Because of APO materials, or conversion to judicial protective order, is hereby the Department found no export Appendix II subsidies for APRIL, the cash deposit requested. Failure to comply with the rate for APRIL and firms covered by the regulations and the terms of an APO is a violation subject to sanction. List of Topics Discussed in the Issues and all-others rate will remain 2.05 percent. Decision Memorandum: This determination and this notice are The instructions suspending I. Summary liquidation will remain in effect until issued and published pursuant to sections 735(d) and 777(i)(1) of the Act. II. Background further notice. III. Period of Investigation Dated: January 8, 2016. IV. Margin Calculations 10 The Department terminated the suspension of Paul Piquado, V. List of Comments liquidation associated with the CVD investigation Assistant Secretary for Enforcement and VI. Discussion of Comments effective October 27, 2015. See CBP message no. Compliance. Comment 1: Selection and Corroboration of 5300305 dated October 27, 2015. Therefore, until the AFA Rate for Great Champ and APP/ and unless suspension of liquidation is resumed, SMG we will not adjust the AD cash deposit rate for Appendix I collection of duties associated with export Comment 2: Stock Lot Sales subsidies. Scope of the Investigation Comment 3: Unreported Home Market 11 See, e.g., Notice of Final Determination of Sales The merchandise covered by the Rebates at Less Than Fair Value: Carbazole Violet Pigment investigation includes uncoated paper in Comment 4: Additional Changes to 23 From India, 69 FR 67306, 67307 (November 17, sheet form; weighing at least 40 grams per APRIL’s Margin Program 2004); and Notice of Final Determination of Sales square meter but not more than 150 grams Comment 5: APRIL’s Variable and Fixed at Less Than Fair Value and Negative Critical Overhead Costs Circumstances Determination: Bottom Mount per square meter; that either is a white paper with a GE brightness level 1 of 85 or higher Comment 6: APRIL’s Costs Associated with Combination Refrigerator-Freezers From the Broke Paper Republic of Korea, 77 FR 17413 (March 26, 2012). Comment 7: Adjustments to APRIL’s Cost 12 See the Memorandum to the File, through 1 One of the key measurements of any grade of Shawn Thompson, Program Manager, Office II, AD/ paper is brightness. Generally speaking, the brighter Reconciliation CVD Operations, from Blaine Wiltse, Senior the paper the better the contrast between the paper Analyst, Office II, AD/CVD Operations, entitled, and the ink. Brightness is measured using a GE ‘‘Colored paper’’ as used in this scope definition ‘‘Placing Information on the Record: Export Reflectance Scale, which measures the reflection of means a paper with a hue other than white that Subsidies Calculated in the Countervailing Duty light off a grade of paper. One is the lowest reflects one of the primary colors of magenta, Final Determination of Certain Uncoated Paper reflection, or what would be given to a totally black yellow, and cyan (red, yellow, and blue) or a from Indonesia,’’ dated January 8, 2016. grade, and 100 is the brightest measured grade. combination of such primary colors.

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Comment 8: Calculating APRIL’s Financial calculated for the mandatory Final Determination and Suspension of Expenses respondents and all other producers/ Liquidation VII. Conclusion exporters. The Issues and Decision In accordance with section [FR Doc. 2016–01023 Filed 1–19–16; 8:45 am] Memorandum is a public document and 705(c)(1)(B)(i) of the Act, we calculated BILLING CODE 3510–DS–P is on file electronically via Enforcement and Compliance’s Antidumping and a rate for PT Anugrah Kertas Utama Countervailing Duty Centralized (AKU) and APRIL Fine Paper Macao DEPARTMENT OF COMMERCE Electronic Service System (ACCESS). Commercial Offshore Limited (AFPM) ACCESS is available to registered users (collectively, the APRIL companies). International Trade Administration at http://access.trade.gov, and is Section 705(c)(5)(A)(i) of the Act states that, for companies not individually [C–560–829] available to all parties in the Central Records Unit, room B8024 of the main investigated, we will determine an ‘‘all- Certain Uncoated Paper From Department of Commerce building. In others’’ rate equal to the weighted- Indonesia: Final Affirmative addition, a complete version of the average countervailable subsidy rates Countervailing Duty Determination Issues and Decision Memorandum can established for exporters and producers be accessed directly at http:// individually investigated, excluding any AGENCY: Enforcement and Compliance, enforcement.trade.gov/frn/index.html. zero and de minimis countervailable International Trade Administration, The signed Issues and Decision subsidy rates, and any rates determined Commerce. Memorandum and the electronic entirely under section 776 of the Act. SUMMARY: The Department of Commerce version of the Issues and Decision Where the rates for investigated (the Department) determines that Memorandum are identical in content. companies are zero or de minimis, or countervailable subsidies are being based entirely on facts otherwise provided to producers and exporters of Scope of the Investigation available, section 705(c)(5)(A)(ii) of the certain uncoated paper from Indonesia. Act instructs the Department to For information on the estimated The product covered by this establish an ‘‘all-others’’ rate using ‘‘any subsidy rates, see the ‘‘Final investigation is certain uncoated paper. reasonable method.’’ As discussed Determination and Suspension of For a complete description of the scope above, we determined Great Champ’s Liquidation’’ section of this notice. The of the investigation, see Appendix I. and IK’s/TK’s rates based entirely on period of investigation (POI) is January Analysis of Subsidy Programs and AFA in accordance with sections 776(a) 1, 2014, through December 31, 2014. Comments Received and (b) of the Act. Therefore, we used DATES: Effective: January 20, 2016. the rate calculated for the APRIL The subsidy programs under companies as the ‘‘all-others’’ rate. We FOR FURTHER INFORMATION CONTACT: investigation and the issues raised in intend to disclose to parties the David Goldberger or Brandon Custard, the case and rebuttal briefs by parties in calculations performed in this Office II, AD/CVD Operations, this investigation are discussed in the proceeding within five days of the Enforcement and Compliance, Issues and Decision Memorandum, public announcement of this final International Trade Administration, dated concurrently with this notice. A determination in accordance with 19 U.S. Department of Commerce, 14th list of the issues that parties raised, and CFR 351.224(b). Street and Constitution Avenue NW., to which we responded in the Issues Washington, DC 20230; telephone: (202) We determine the countervailable and Decision Memorandum, is attached 482–4136 or (202) 482–1823, subsidy rates to be: to this notice as Appendix II. respectively. Company Subsidy rate SUPPLEMENTARY INFORMATION: Use of Facts Otherwise Available, (percent) Including Adverse Inferences Background APRIL Fine Paper Macao Com- For purposes of this final mercial Offshore Limited/PT The events that occurred since the determination, we continue to rely on Department published the Preliminary Anugrah Kertas Utama/PT facts available and to draw an adverse Riau Andalan Kertas/PT Determination 1 on June 29, 2015, are inference, in accordance with sections Intiguna Primatama/PT Riau discussed in the Issues and Decision 776(a) and (b) of the Act, to determine Andalan Pulp & Paper/PT Memorandum, which is hereby Esensindo Cipta Cemerlang 21.22 2 the subsidy rates for Great Champ incorporated in this notice. This Trading Limited (Great Champ) and Great Champ Trading Limited .. 104.00 memorandum also details the changes Indah Kiat Pulp & Paper TBK (IK) and Indah Kiat Pulp & Paper TBK/ we made since the Preliminary Pabrik Kertas Tjiwi Kimia/PT Pabrik Kertas Tjiwi Kimia (TK) 3 Determination to the subsidy rates Pindo Deli Pulp and Paper because these companies failed to Mills ...... 109.15 participate in this investigation and the 1 See Certain Uncoated Paper From Indonesia: All-Others ...... 21.22 Preliminary Affirmative Countervailing Duty Government of Indonesia (GOI) failed to Determination and Alignment of Final provide requested information with As a result of our affirmative Determination With Final Antidumping respect to certain programs upon which Preliminary Determination, pursuant to Determination, 80 FR 36971 (June 29, 2015) we initiated an investigation.4 (Preliminary Determination), and accompanying sections 703(d)(1)(B) and (2) of the Act, Decision Memorandum for the Preliminary we instructed U.S. Customs and Border Affirmative Countervailing Duty Determination in 3 We found IK, TK, and PT Pindo Deli Pulp and Protection (CBP) to suspend liquidation the Countervailing Duty Investigation of Certain Paper Mills to be cross-owned and, therefore, are Uncoated Paper from Indonesia (Preliminary assigning them a single countervailing duty rate. of entries of subject merchandise from Decision Memorandum). For further discussion, see Memorandum entitled, Indonesia which were entered or 2 See memorandum entitled, ‘‘Countervailing ‘‘Cross-Ownership of Asia Pulp and Paper/Sinar withdrawn from warehouse, for Duty Investigation of Certain Uncoated Paper from Mas Group Companies: Countervailing Duty consumption on or after June 29, 2015, Indonesia: Issues and Decision Memorandum for Investigation of Uncoated Paper from Indonesia,’’ the date of the publication of the the Final Affirmative Determination,’’ dated dated June 22, 2015. concurrently with this notice (Issues and Decision 4 See Issues and Decision Memorandum, at pages Preliminary Determination in the Memorandum). 3–9. Federal Register.

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In accordance with section 703(d) of Dated: January 8, 2016. II. Background the Act, we later issued instructions to Paul Piquado, III. Use of Facts Otherwise Available CBP to discontinue the suspension of Assistant Secretary for Enforcement and IV. Subsidies Valuation Compliance. V. Analysis of Programs liquidation for CVD purposes for subject VI. Analysis of Comments merchandise entered, or withdrawn Appendix I 1. Adverse Facts Available for Great from warehouse, on or after October 27, Champ 2015, but to continue the suspension of Scope of the Investigation 2. Whether the Stumpage Program Meets liquidation of all entries from June 29, The merchandise covered by the the Specificity Requirement 2015, through October 26, 2015, as investigation includes uncoated paper in 3. Whether the Stumpage Program Applies appropriate. sheet form; weighing at least 40 grams per to Purchases of Felled Trees square meter but not more than 150 grams 4. Whether To Include APRIL’s Harvest of We will issue a CVD order and per square meter; that either is a white paper Mixed Hardwood Timber in Calculating reinstate the suspension of liquidation with a GE brightness level 1 of 85 or higher Countervailable Benefits in accordance with our final or is a colored paper; whether or not surface- 5. Whether To Use Malaysian Stumpage determination and under section 706(a) decorated, printed (except as described Fees as a Benchmark below), embossed, perforated, or punched; 6. Whether the Log Export Ban Constitutes of the Act if the United States irrespective of the smoothness of the surface; International Trade Commission (ITC) a Countervailable Subsidy and irrespective of dimensions (Certain 7. Selection of Timber Benchmark Values issues a final affirmative injury Uncoated Paper). 8. Adjustments to Log Benchmark Values determination, and we will instruct CBP Certain Uncoated Paper includes (a) 9. Corrections and Revisions to APRIL’s to require a cash deposit of estimated uncoated free sheet paper that meets this Log Harvesting and Purchase Data countervailing duties for such entries of scope definition; (b) uncoated ground wood 10. Whether APRIL Received a paper produced from bleached chemi- merchandise in the amounts indicated Countervailable Debt Forgiveness Benefit thermo-mechanical pulp (BCTMP) that meets 11. Whether APRIL Received a above. If the ITC determines that this scope definition; and (c) any other material injury, or threat of material Countervailable Benefit for Preferential uncoated paper that meets this scope Loans definition regardless of the type of pulp used injury, does not exist, this proceeding 12. Uncreditworthiness to produce the paper. will be terminated and all estimated VII. Recommendation duties deposited as a result of the Specifically excluded from the scope are [FR Doc. 2016–01026 Filed 1–19–16; 8:45 am] suspension of liquidation will be (1) paper printed with final content of printed text or graphics and (2) lined paper BILLING CODE 3510–DS–P refunded. products, typically school supplies, International Trade Commission (ITC) composed of paper that incorporates straight horizontal and/or vertical lines that would DEPARTMENT OF COMMERCE Notification make the paper unsuitable for copying or printing purposes. For purposes of this scope International Trade Administration In accordance with section 705(d) of definition, paper shall be considered the Act, we will notify the ITC of our ‘‘printed with final content’’ where at least [A–471–807] determination. In addition, we are one side of the sheet has printed text and/ making available to the ITC all non- or graphics that cover at least five percent of Certain Uncoated Paper From privileged and non-proprietary the surface area of the entire sheet. Portugal: Final Determination of Sales information related to this investigation. Imports of the subject merchandise are at Less Than Fair Value and Final provided for under Harmonized Tariff Negative Determination of Critical We will allow the ITC access to all Schedule of the United States (HTSUS) privileged and business proprietary categories 4802.56.1000, 4802.56.2000, Circumstances information in our files, provided the 4802.56.3000, 4802.56.4000, 4802.56.6000, AGENCY: Enforcement and Compliance, ITC confirms that it will not disclose 4802.56.7020, 4802.56.7040, 4802.57.1000, International Trade Administration, such information, either publicly or 4802.57.2000, 4802.57.3000, and 4802.57.4000. Some imports of subject Commerce. under an administrative protective order SUMMARY: The Department of Commerce (APO), without the written consent of merchandise may also be classified under 4802.62.1000, 4802.62.2000, 4802.62.3000, (‘‘the Department’’) determines that the Assistant Secretary for Enforcement 4802.62.5000, 4802.62.6020, 4802.62.6040, certain uncoated paper (‘‘uncoated and Compliance. 4802.69.1000, 4802.69.2000, 4802.69.3000, paper’’) from Portugal is being, or is 4811.90.8050 and 4811.90.9080. While likely to be, sold in the United States at Return or Destruction of Proprietary HTSUS subheadings are provided for Information less than fair value (‘‘LTFV’’), as convenience and customs purposes, the provided in section 735(a) of the Tariff written description of the scope of the This notice serves as the only investigation is dispositive. Act of 1930, as amended (‘‘the Act’’). reminder to parties subject to the The period of investigation (‘‘POI’’) is administrative protective order (APO) of Appendix II January 1, 2014, through December 31, their responsibility concerning the List of Topics Discussed in the Issues and 2014. The final dumping margins of destruction of proprietary information Decision Memorandum sales at LTFV are listed below in the disclosed under APO in accordance I. Summary ‘‘Final Determination’’ section of this with 19 CFR 351.305(a)(3). Timely notice. written notification of the return/ 1 One of the key measurements of any grade of DATES: Effective: January 20, 2016. destruction of APO materials or paper is brightness. Generally speaking, the brighter the paper the better the contrast between the paper FOR FURTHER INFORMATION CONTACT: conversion to judicial protective order is and the ink. Brightness is measured using a GE Kabir Archuletta, AD/CVD Operations, hereby requested. Failure to comply Reflectance Scale, which measures the reflection of Office V, Enforcement and Compliance, with the regulations and terms of an light off a grade of paper. One is the lowest International Trade Administration, APO is a violation which is subject to reflection, or what would be given to a totally black grade, and 100 is the brightest measured grade. U.S. Department of Commerce, 14th sanction. ‘‘Colored paper’’ as used in this scope definition Street and Constitution Avenue NW., This determination is issued and means a paper with a hue other than white that Washington, DC 20230; telephone: (202) reflects one of the primary colors of magenta, published pursuant to sections 705(d) yellow, and cyan (red, yellow, and blue) or a 482–2593. and 777(i) of the Act. combination of such primary colors. SUPPLEMENTARY INFORMATION:

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Background memorandum for the final original source documents provided by 9 On August 26, 2015, the Department determinations of the AD and Portucel. published the Preliminary countervailing duty investigations of Changes Since the Preliminary Determination of this antidumping duty uncoated paper, which is incorporated Determination (‘‘AD’’) investigation.1 The following by reference in, and hereby adopted by, this final determination.7 As explained Based on our analysis of the events occurred since the Preliminary comments received and our findings at Determination was issued. in the Final Scope Decision Memorandum, to facilitate the scope’s verification, we made certain changes to Between September and December the margin calculations for Portucel. For administrability and enforcement, we 2015, the Department received a discussion of these changes, see the have clarified the scope language such supplemental questionnaire responses ‘‘Margin Calculations’’ section of the and revised databases from Portucel that uncoated paper with ‘‘final printed Issues and Decision Memorandum. We S.A. (‘‘Portucel’’), the sole mandatory content’’ is excluded from the scope of have also revised the all-others rate. respondent in this investigation. the investigations. On December 4, 2015, Petitioners2 All-Others Rate Analysis of Comments Received and Portucel submitted properly filed Section 735(c)(5)(A) of the Act 3 case briefs. On December 9, 2015, All issues raised in the case and provides that the estimated all-others Petitioners and Portucel submitted rebuttal briefs by parties in this rate shall be an amount equal to the 4 properly filed rebuttal briefs. investigation are addressed in the Issues weighted-average of the estimated Scope of the Investigation and Scope and Decision Memorandum, which is weighted-average dumping margins Comments hereby adopted by this notice.8 A list of established for exporters and producers the issues raised is attached to this individually investigated excluding any The product covered by this zero or de minimis margins, and investigation is uncoated paper from notice as Appendix II. The Issues and Decision Memorandum is a public margins determined entirely under Portugal. For a complete description of section 776 of the Act. Portucel is the the scope of the investigation, see the document and is on file electronically via Enforcement and Compliance’s only respondent for which the ‘‘Scope of the Investigation,’’ in Department calculated a company- Antidumping and Countervailing Duty Appendix I of this notice, which specific rate. Therefore, for purposes of Centralized Electronic Service System incorporates changes made subsequent determining the all-others rate and (‘‘ACCESS’’). ACCESS is available to to the Preliminary Determination. pursuant to section 735(c)(5)(A) of the registered users at https:// On October 2, 2015, Gartner Studios Act, we are using the dumping margin submitted a case brief regarding the access.trade.gov and it is available to all calculated for Portucel, as referenced in scope of the investigations. On October parties in the Central Records Unit, the ‘‘Final Determination’’ section 19, 2015, American Greetings room B–8024 of the main Department of below. Corporation (‘‘American Greetings’’) Commerce building. In addition, a submitted a case brief regarding the complete version of the Issues and Final Determination scope of the investigations.5 On October Decision Memorandum can be accessed The Department determines that the 29, 2015, Petitioners submitted a directly at http://enforcement.trade.gov/ final weighted-average dumping rebuttal brief regarding the scope of the frn/index.html. The signed and margins are as follows: investigations.6 The Department is electronic versions of the Issues and issuing a scope comments decision Decision Memorandum are identical in 9 See Memorandum to the File, through Neal content. Halper, Office Director, and Taija Slaughter, Lead Accountant, from Stephanie Arthur, Senior 1 See Certain Uncoated Paper From Portugal: Accountant, ‘‘Verification of the Cost Response of Preliminary Determination of Sales at Less Than Verification Portucel S.A. in the Antidumping Duty Fair Value and Postponement of Final Investigation of Uncoated Paper from Portugal’’ Determination, 80 FR 51777 (August 26, 2015) As provided in section 782(i) of the (November 12, 2015); Memorandum to the File, (‘‘Preliminary Determination’’). Act, in September and October 2015, the through Catherine Bertrand, Program Manager, 2 Petitioners are United Steel, Paper and Forestry, Department verified the sales and cost Office V, from Kabir Archuletta and Frances Veith, Rubber, Manufacturing, Energy, Allied Industrial data reported by Portucel, pursuant to Senior International Trade Analysts, ‘‘Verification and Service Workers International Union; Domtar of Home Market Sales of Portucel S.A. (‘Portucel’) Corporation; Finch Paper LLC; P.H. Glatfelter section 782(i) of the Act. We used in the Antidumping Duty Investigation of Certain Company; and Packaging Corporation of America. standard verification procedures, Uncoated Paper from Portugal’’ (November 24, 3 See Letter to the Secretary of Commerce from including an examination of relevant 2015); Memorandum to the File, through Catherine Petitioners ‘‘Case Brief Submitted on behalf of accounting and production records, and Bertrand, Program Manager, Office V, from Kabir Petitioners’’ (December 7, 2015, 2015) (‘‘Petitioners’ Archuletta and Frances Veith, Senior International Case Brief’’); Letter to the Secretary of Commerce Trade Analysts, ‘‘Verification of U.S. Sales of from Portucel ‘‘Case Brief of Portucel, S.A. and 7 See the Department’s Memorandum to the File Portucel S.A. (‘Portucel’) in the Antidumping Duty Portucel Soporcel N.A.’’ (December 4, 2015) ‘‘Less-Than-Fair-Value Investigations of Certain Investigation of Certain Uncoated Paper from (‘‘Portucel’s Case Brief’’). Uncoated Paper from Australia, Brazil, the People’s Portugal’’ (November 24, 2015). 4 See Letter to the Secretary of Commerce from Republic of China, Indonesia, and Portugal; and 10 In the Preliminary Determination we found that Petitioners ‘‘Rebuttal Brief Submitted on behalf of Countervailing Duty Investigations of Certain Portucel is affiliated with sales subsidiaries Petitioners’’ (December 9, 2015) (‘‘Petitioners’ Uncoated Paper from the People’s Republic of Portucel Soporcel Lusa, Unipessoal, Lda. (‘‘Lusa’’), Rebuttal Brief’’); Letter to the Secretary of China and Indonesia: Scope Comments Decision and Portucel Soporcel Fine Paper, S.A. (‘‘Fine Commerce from Portucel ‘‘Portucel’s Rebuttal Brief’’ Memorandum for the Final Determinations,’’ dated Paper’’), production subsidiaries About the Future, (December 1, 2015) (‘‘Portucel’s Rebuttal Brief’’). January 8, 2016 (‘‘Final Scope Decision S.A. (‘‘About the Future’’), Portucel Papel Setubal, 5 See Letter to the Secretary of Commerce from Memorandum’’). S.A. (‘‘Setubal’’), and Soporcel, Sociedade American Greetings ‘‘Certain Uncoated Paper From 8 See Memorandum to Paul Piquado, Assistant Portuguesa de Papel, S.A. (‘‘Soporcel’’) and U.S. Australia, Brazil, The People’s Republic of China, Secretary for Enforcement and Compliance, from subsidiary Portucel Soporcel North America, Inc., Indonesia, and Portugal: Case Brief of American Christian Marsh, Deputy Assistant Secretary for pursuant to sections 771(33)(B), (E) and (F) of the Greetings Corporation’’ (October 19, 2015). Antidumping and Countervailing Duty Operations Act, and that Portucel, Fine Paper, Lusa, About the 6 See Letter to the Secretary of Commerce from ‘‘Issues and Decision Memorandum for the Final Future, Setubal and Soporcel are a single entity for Petitioners ‘‘Certain Uncoated Paper From Determination of the Antidumping Duty purposes of the Department’s analysis in this Australia, Brazil, The People’s Republic of China, Investigation of Certain Uncoated Paper from investigation, in accordance with 19 CFR Indonesia, and Portugal: Scope Rebuttal Brief’’ Portugal’’ (January 8, 2016) (‘‘Issues and Decision 351.401(f). See Preliminary Determination and (October 20, 2015). Memorandum’’). accompanying Decision Memorandum at 4–5;

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Weighted-average exporters will be 7.80 percent. These sheet form; weighing at least 40 grams per Exporter/Manufacturer dumping margin instructions suspending liquidation will square meter but not more than 150 grams (percent) per square meter; that either is a white paper remain in effect until further notice. 1 Because of our negative determination with a GE brightness level of 85 or higher Portucel S.A. 10 ...... 7.80 or is a colored paper; whether or not surface- All-Others ...... 7.80 of critical circumstances, we will decorated, printed (except as described instruct CBP to refund all cash deposits below), embossed, perforated, or punched; posted on merchandise under Disclosure irrespective of the smoothness of the surface; consideration from Portugal entered, or and irrespective of dimensions (‘‘Certain We will disclose the calculations withdrawn from warehouse for Uncoated Paper’’). performed to interested parties within consumption, prior to August 26, 2015 Certain Uncoated Paper includes (a) five days of the public announcement of (i.e., the date of publication of the uncoated free sheet paper that meets this this final determination in accordance Preliminary Determination). scope definition; (b) uncoated ground wood with 19 CFR 351.224(b). paper produced from bleached chemi- ITC Notification thermo-mechanical pulp (‘‘BCTMP’’) that Final Negative Determination of meets this scope definition; and (c) any other Critical Circumstances In accordance with section 735(d) of uncoated paper that meets this scope the Act, we will notify the ITC of the definition regardless of the type of pulp used On November 4, 2015, the Department final affirmative determination of sales to produce the paper. found that critical circumstances exist at LTFV. Because the final Specifically excluded from the scope are with respect to imports of uncoated determination in this proceeding is (1) paper printed with final content of paper from Portugal from Portucel and affirmative, in accordance with section printed text or graphics and (2) lined paper all other exporters or producers.11 Based products, typically school supplies, 735(b)(2) of the Act, the ITC will make composed of paper that incorporates straight on Portucel’s final dumping margin and its final determination as to whether the further analysis following the horizontal and/or vertical lines that would domestic industry in the United States make the paper unsuitable for copying or Preliminary Critical Circumstances is materially injured, or threatened with printing purposes. For purposes of this scope Determination, we are modifying our material injury, by reason of imports of definition, paper shall be considered findings for the final determination. For uncoated paper from Portugal no later ‘‘printed with final content’’ where at least a complete discussion of this issue, see than 45 days after our final one side of the sheet has printed text and/ the ‘‘Negative Finding of Critical determination. If the ITC determines or graphics that cover at least five percent of the surface area of the entire sheet. Circumstances’’ section of the Issues that material injury or threat of material and Decision Memorandum. Imports of the subject merchandise are injury does not exist, the proceeding provided for under Harmonized Tariff Continuation of Suspension of will be terminated and all cash deposits Schedule of the United States (HTSUS) Liquidation will be refunded. If the ITC determines categories 4802.56.1000, 4802.56.2000, that such injury does exist, the 4802.56.3000, 4802.56.4000, 4802.56.6000, In accordance with section 4802.56.7020, 4802.56.7040, 4802.57.1000, 735(c)(1)(B) of the Act, the Department Department will issue an antidumping duty order directing CBP to assess, upon 4802.57.2000, 4802.57.3000, and will instruct U.S. Customs and Border 4802.57.4000. Some imports of subject Protection (‘‘CBP’’) to continue to further instruction by the Department, merchandise may also be classified under suspend liquidation of all appropriate antidumping duties on all imports of the 4802.62.1000, 4802.62.2000, 4802.62.3000, entries of uncoated paper from Portugal, subject merchandise entered, or 4802.62.5000, 4802.62.6020, 4802.62.6040, as described in Appendix I of this withdrawn from warehouse, for 4802.69.1000, 4802.69.2000, 4802.69.3000, notice, which were entered, or consumption on or after the effective 4811.90.8050 and 4811.90.9080. While date of the suspension of liquidation. HTSUS subheadings are provided for withdrawn from warehouse, for convenience and customs purposes, the consumption on or after August 26, Notification Regarding Administrative written description of the scope of the 2015, the date of publication of the Protective Orders (‘‘APO’’) investigation is dispositive. Preliminary Determination of this This notice serves as a reminder to investigation in the Federal Register. Appendix II Further, CBP shall require a cash parties subject to APO of their deposit equal to the estimated amount responsibility concerning the List of Topics Discussed in the Issues and by which the normal value exceeds the disposition of proprietary information Decision Memorandum U.S. price, as follows: (1) The rate for disclosed under APO in accordance I. Summary Portucel will be the rate we determined with 19 CFR 351.305(a)(3). Timely II. Background in this final determination; (2) if the notification of the return or destruction III. Period of Investigation exporter is not a firm identified in this of APO materials, or conversion to IV. Margin Calculations judicial protective order, is hereby V. List of Comments investigation but the producer is, the VI. Discussion of Comments rate will be the rate established for the requested. Failure to comply with the regulations and the terms of an APO is Comment 1: Water Supplied by Portucel’s producer of the subject merchandise; (3) Affiliated Pulp Mills the rate for all other producers or a violation subject to sanction. Comment 2: Purchases of Eucalyptus Pulp This determination and this notice are From Affiliates Memorandum to the File from Kabir Archuletta, issued and published pursuant to Senior International Trade Analyst, Office V, sections 735(d) and 777(i)(1) of the Act. 1 One of the key measurements of any grade of through Catherine Bertrand, Program Manager, Dated: January 8, 2016. paper is brightness. Generally speaking, the brighter Office V ‘‘Preliminary Affiliation Memorandum’’ the paper the better the contrast between the paper (August 19, 2015). Because no interested parties Paul Piquado, and the ink. Brightness is measured using a GE submitted comments on this issue, the Assistant Secretary for Enforcement and Reflectance Scale, which measures the reflection of Department’s determination remains unchanged for Compliance. light off a grade of paper. One is the lowest this final determination. reflection, or what would be given to a totally black 11 See Certain Uncoated Paper From Portugal: Appendix I grade, and 100 is the brightest measured grade. Preliminary Affirmative Determination of Critical ‘‘Colored paper’’ as used in this scope definition Circumstances in the Antidumping Duty Scope of the Investigation means a paper with a hue other than white that Investigation, 80 FR 68293, 68294–5 (November 4, reflects one of the primary colors of magenta, 2015) (‘‘Preliminary Critical Circumstances The merchandise covered by the yellow, and cyan (red, yellow, and blue) or a Determination’’). investigation includes uncoated paper in combination of such primary colors.

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Comment 3: Critical Circumstances the significant preliminary dumping Petitioners submitted their rebuttal brief Comment 4: Advertising Expenses margin,’’ it was suspending its regarding the scope of the Comment 5: Insurance Expenses participation in the U.S. market investigations.9 The Department is Comment 6: Other Data Revisions Based on ‘‘pending the final determination on issuing a scope comments decision Verification Findings Injury.’’ 2 memorandum for the final Comment 7: Minor Corrections Presented at Verification On August 28, 2015, the Department determinations of the AD and Comment 8: Portucel’s Transposition Error notified interested parties of a revised, countervailing duty investigations of VII. Negative Finding of Critical accelerated briefing schedule due to the certain uncoated paper, which is Circumstances lack of participation from the sole incorporated by reference in, and hereby respondent, Australian Paper, which 10 [FR Doc. 2016–01024 Filed 1–19–16; 8:45 am] adopted by, this final determination. resulted in the cancellation of As explained in the Final Scope BILLING CODE 3510–DS–P verification of its questionnaire Decision Memorandum, to facilitate the responses.3 On September 24, 2015, the scope’s administrability and 4 DEPARTMENT OF COMMERCE Department granted Petitioners’ enforcement, we have clarified the request to extend the briefing schedule.5 scope language such that certain International Trade Administration On October 2, 2015, Petitioners uncoated paper with ‘‘final printed submitted a case brief. content’’ is excluded from the scope of [A–602–807] Scope of the Investigation and Scope the investigations. Certain Uncoated Paper From Comments Analysis of Comments Received Australia: Final Determination of Sales The product covered by this All issues raised in the case and at Less Than Fair Value and investigation is certain uncoated paper rebuttal briefs by interested parties in Affirmative Final Determination of from Australia. For a complete this investigation that are not related to Critical Circumstances, In Part description of the scope of the the scope of this investigation are AGENCY: Enforcement and Compliance, investigation, see the ‘‘Scope of the addressed in the Issues and Decision International Trade Administration, Investigation,’’ in Appendix I of this Memorandum, which is incorporated by Commerce. notice, which incorporates changes reference by, and hereby adopted by, 11 SUMMARY: The Department of Commerce made subsequent to the Preliminary this notice. (Department) determines that certain Determination. A list of the issues raised is attached uncoated paper from Australia is being, On October 2, 2015, Gartner Studios to this notice as Appendix II. The Issues submitted its case brief regarding the and Decision Memorandum is a public or is likely to be, sold in the United 6 States at less than fair value (LTFV), as scope of the investigations. On October document and is on file electronically 6, 2015, the Department revised the provided in section 735(a) of the Tariff via Enforcement and Compliance’s briefing schedule for scope comments Act of 1930, as amended (the Act). The Antidumping and Countervailing Duty and rebuttal comments.7 On October 19, period of investigation (POI) is January Centralized Electronic Service System 2015, American Greetings Corporation 1, 2014, through December 31, 2014. (ACCESS). ACCESS is available to (American Greetings) submitted its case The final dumping margins of sales at registered users at https:// brief regarding the scope of the LTFV are listed below in the ‘‘Final access.trade.gov and it is available to all investigations.8 On October 29, 2015, Determination’’ section of this notice. parties in the Central Records Unit, room B–8024 of the main Department of DATES: Effective: January 20, 2016. 2 See Australian Paper’s letter titled, Commerce building. In addition, a FOR FURTHER INFORMATION CONTACT: Eve ‘‘Respondents Paper Australia Pty Ltd and Paper complete version of the Issues and Products Marketing (USA) Notification of Wang or George McMahon, AD/CVD Withdrawal,’’ dated August 27, 2015 (Australian Decision Memorandum can be accessed Operations, Office III, Enforcement and Paper’s Letter of Withdrawal), at 2. directly at http://enforcement.trade.gov/ Compliance, International Trade 3 See the Department’s Memorandum titled, frn/index.html. The signed and Administration, U.S. Department of ‘‘Antidumping Duty Investigation of Certain electronic versions of the Issues and Uncoated Paper from Australia: Case Brief and Commerce, 14th Street and Constitution Rebuttal Brief Schedule for Final Determination of Decision Memorandum are identical in Avenue NW., Washington, DC 20230; the above referenced Investigation,’’ dated August content. telephone: (202) 482–6231 or (202) 482– 28, 2015. 1167, respectively. 4 Petitioners in this investigation are United Steel, 9 See Letter from Petitioners titled, ‘‘Certain Paper and Forestry, Rubber, Manufacturing, Energy, SUPPLEMENTARY INFORMATION: Uncoated Paper From Australia, Brazil, The Allied Industrial and Service Workers International People’s Republic of China, Indonesia, and Union; Domtar Corporation; Finch Paper LLC; P.H. Background Portugal: Scope Rebuttal Brief,’’ dated October 20, Glatfelter Company; and Packaging Corporation of 2015. On August 26, 2015, the Department America. 10 See the Department’s memorandum to the file 5 published the Preliminary See the Department’s Memorandum titled, titled, ‘‘Less-Than-Fair-Value Investigations of ‘‘Certain Uncoated Paper From Australia: Certain Uncoated Paper from Australia, Brazil, the Determination of this antidumping duty Antidumping Duty Investigation: Revised Briefing People’s Republic of China, Indonesia, and (AD) investigation.1 The following Schedule,’’ dated September 24, 2015; see also Portugal; and Countervailing Duty Investigations of events occurred since the Preliminary Petitioners’ letter titled, ‘‘Petitioners’ Request to Certain Uncoated Paper from the People’s Republic Extend Briefing Schedule,’’ dated September 24, Determination was issued. of China and Indonesia: Scope Comments Decision 2015. Memorandum for the Final Determinations,’’ dated On August 27, 2015, sole respondent 6 Because there are multiple investigations of January 8, 2016 (Final Scope Decision Paper Australia Pty. Ltd. (Australian uncoated paper, the Department has considered Memorandum). Paper) withdrew its participation from collectively all comments regarding the scope of the 11 See Memorandum from Christian Marsh, investigations filed by the interested parties. this investigation, stating that ‘‘due to Deputy Assistant Secretary for Antidumping and 7 See Memorandum titled, ‘‘Revised Briefing Countervailing Duty Operations, to Paul Piquado, Schedule for Scope Comments and Rebuttal Assistant Secretary for Enforcement and 1 See Certain Uncoated Paper From Australia: Comments,’’ dated October 6, 2015. Compliance, titled ‘‘Issues and Decision Preliminary Determination of Sales at Less Than 8 See Letter from American Greetings titled, Memorandum for the Final Determination in the Fair Value, Negative Preliminary Determination of ‘‘Certain Uncoated Paper From Australia, Brazil, Antidumping Duty Investigation of Certain Critical Circumstances, and Postponement of Final The People’s Republic of China, Indonesia, and Uncoated Paper from Australia’’ (Issues and Determination, 80 FR 51783 (August 26, 2015) Portugal: Case Brief of American Greetings Decision Memorandum), dated concurrently with (Preliminary Determination). Corporation,’’ dated October 19, 2015. this notice.

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Changes Since the Preliminary Final Affirmative Determination of respect to finding a massive surge in Determination Critical Circumstances, In Part imports by the all-others companies is not appropriate. Therefore, we Based on our analysis of the In the Preliminary Determination, the determine that critical circumstances do comments received and Australian Department found that critical not exist for imports of uncoated paper Paper’s withdrawal of participation circumstances did not exist with respect from Australia for companies in the all- from this investigation, we have revised to imports of uncoated paper from others category. For further discussion the margin for Australian Paper to Australia from Australian Paper and all of this analysis, see the Issues and reflect the application of facts available other exporters or producers.14 Based on Decision Memorandum at ‘‘VI. Finding with an adverse inference pursuant to Australian Paper’s withdrawal from this of Critical Circumstances, In Part.’’ sections 776(a)(2)(C) and (D) and 776(b) investigation, and upon further analysis of the Act. We have also revised the all- following the Preliminary Continuation of Suspension of others rate. For a discussion of these Determination, we are modifying our Liquidation findings for the final determination. changes, see the Issues and Decision As noted above, for this final Memorandum at Comments 1, 2, and 3. Because we do not have verifiable shipment data from Australian Paper, determination, the Department found All Others Rate we must base our ‘‘massive imports’’ that critical circumstances exist with determination on the facts available, respect to imports of the subject Section 735(c)(5)(B) of the Act merchandise from Australian Paper. provides that, where the estimated pursuant to section 776(a) of the Act. Because Australian Paper failed to However, the Department did not find weighted-average dumping margins that critical circumstances existed with established for all exporters and cooperate by not acting to the best of its ability to allow for verification of its respect to imports by Australian Paper producers individually investigated are in the Preliminary Determination.17 zero or de minimis, or are determined sales and cost questionnaire responses, we are making an adverse inference in Therefore, in accordance with section entirely under section 776 of the Act, 735(c)(4)(B) of the Act, the Department the Department may use any reasonable selecting from the facts available, pursuant to section 776(b) of the Act. is modifying the suspension of method to establish the estimated all- liquidation as announced in the others rate for exporters and producers Thus, in accordance with section 776(b) of the Act, we have used an adverse Preliminary Determination for not individually investigated. Where the Australian Paper. The Department will sole individually investigated inference in applying facts available, and determine that there were massive instruct U.S. Customs and Border respondent’s margin is based on total Protection (CBP) to suspend liquidation AFA under section 776 of the Act, our imports from Australian Paper over a relatively short period pursuant to of entries of uncoated paper from practice under these circumstances has 15 Australian Paper, as described in been to assign as the all-others rate the section 733(e)(1)(B) of the Act. We also find that Australian Paper’s Appendix I of this notice, to apply to simple average of the margins in the dumping margin is sufficient to impute unliquidated entries that were entered, petition,12 which we have done in this importer knowledge of sales at less than or withdrawn from warehouse, for final determination.13 fair value, and the International Trade consumption on or after May 28, 2015, Final Determination Commission’s (ITC) preliminary injury 90 days prior to publication of the Preliminary Determination of this The Department determines that the determination is sufficient to impute the likelihood of material injury, in investigation in the Federal Register, estimated final weighted-average and require a cash deposit for such dumping margins are as follows: accordance with section 733(e)(1)(A)(ii) of the Act. For those reasons, we entries equal to the estimated amount by determine that critical circumstances which the normal value exceeds the Weighted- U.S. price as noted above for such average exist for imports from Australia of Exporter/Manufacturer dumping uncoated paper produced by Australian unliquidated entries. Because we continue to find that margin Paper. For a discussion of these (percent) critical circumstances do not exist with changes, see the Issues and Decision respect to all others, in accordance with Memorandum at ‘‘VI. Finding of Critical Paper Australia Pty. Ltd ...... 222.46 section 735(c)(1)(B) of the Act, we will All Others ...... 138.87 Circumstances, In Part.’’ However, we have not inferred, as instruct CBP to continue to suspend liquidation of all appropriate entries of Disclosure AFA, that massive imports exist for companies under the all-others category, uncoated paper from all others, which We will disclose the calculations because, unlike the uncooperative were entered, or withdrawn from performed to interested parties within company in question, the all-others warehouse, for consumption on or after five days of the public announcement of companies have not failed to cooperate August 26, 2015, the date of publication this final determination in accordance in this investigation. Furthermore, the of the Preliminary Determination in the with 19 CFR 351.224(b). record indicates that the only known Federal Register. producer of uncoated paper from ITC Notification 12 See, e.g., Notice of Preliminary Determination 16 Australia is Australian Paper. In accordance with section 735(d) of of Sales at Less Than Fair Value: Light-Walled Therefore, an adverse inference with Rectangular Pipe and Tube from Turkey, 73 FR the Act, we will notify the ITC of our 5508, 5513–14 (January 30, 2008), unchanged in final affirmative determination of sales 14 Notice of Final Determination of Sales at Less Than See Preliminary Determination, 80 FR at 51784. at LTFV. Because the final Fair Value: Light-Walled Rectangular Pipe and 15 See, e.g., Notice of Final Determination of Sales Tube from Turkey, 73 FR 19814, 19815 (April 11, at Less Than Fair Value: Certain Cut-To-Length determination in this proceeding is 2008); see also Notice of Final Determination of Carbon-Quality Steel Plate Products from Japan, 64 affirmative, in accordance with section Sales at Less Than Fair Value and Affirmative Final FR 73215 (December 29, 1999). 735(b)(2) of the Act, the ITC will make Determination of Critical Circumstances: Glycine 16 See Certain Uncoated Paper From Australia, its final determination as to whether the from Japan, 72 FR 67271, 67272 (November 28, Brazil, the People’s Republic of China, Indonesia, 2007). and Portugal: Initiation of Less-Than-Fair-Value domestic industry in the United States 13 See Issues and Decision Memorandum at Investigations, 80 FR 8614 (February 18, 2015); see Comment 3. also Initiation Checklist at 2. 17 See Preliminary Determination, 80 FR at 51784.

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is materially injured, or threatened with thermo-mechanical pulp (BCTMP) that meets certain uncoated paper (uncoated paper) material injury, by reason of imports of this scope definition; and (c) any other from the People’s Republic of China uncoated paper from Australia no later uncoated paper that meets this scope (PRC). For more information on the than 45 days after our final definition regardless of the type of pulp used estimated subsidy rate, see the ‘‘Final to produce the paper. determination. If the ITC determines Specifically excluded from the scope are Determination and Suspension of that material injury or threat of material (1) paper printed with final content of Liquidation’’ section of this notice. The injury does not exist, the proceeding printed text or graphics and (2) lined paper period of investigation is January 1, will be terminated and all cash deposits products, typically school supplies, 2014, through December 31, 2014. will be refunded. If the ITC determines composed of paper that incorporates straight DATES: Effective: January 20, 2016. that such injury does exist, the horizontal and/or vertical lines that would Department will issue an antidumping make the paper unsuitable for copying or FOR FURTHER INFORMATION CONTACT: duty order directing CBP to assess, upon printing purposes. For purposes of this scope Patricia Tran or Joy Zhang, Office III, further instruction by the Department, definition, paper shall be considered AD/CVD Operations, Enforcement and ‘‘printed with final content’’ where at least Compliance, International Trade antidumping duties on all imports of the one side of the sheet has printed text and/ subject merchandise entered, or Administration, U.S. Department of or graphics that cover at least five percent of Commerce, 14th Street and Constitution withdrawn from warehouse, for the surface area of the entire sheet. consumption on or after the effective Imports of the subject merchandise are Avenue NW., Washington, DC 20230; date of the suspension of liquidation. provided for under Harmonized Tariff telephone: (202) 482–1503 or (202) 482– Schedule of the United States (HTSUS) 1168, respectively. Notification Regarding Administrative categories 4802.56.1000, 4802.56.2000, SUPPLEMENTARY INFORMATION: Protective Orders (APO) 4802.56.3000, 4802.56.4000, 4802.56.6000, This notice also serves as a reminder 4802.56.7020, 4802.56.7040, 4802.57.1000, Background to parties subject to an APO of their 4802.57.2000, 4802.57.3000, and 4802.57.4000. Some imports of subject The events that have occurred since responsibility concerning the merchandise may also be classified under the Department published the disposition of proprietary information 4802.62.1000, 4802.62.2000, 4802.62.3000, Preliminary Determination on June 29, disclosed under APO in accordance 4802.62.5000, 4802.62.6020, 4802.62.6040, 2015 and Notice of Correction on July 9, with 19 CFR 351.305(a)(3). Timely 4802.69.1000, 4802.69.2000, 4802.69.3000, 2015,1 are discussed in the Issues and written notification of the return or 4811.90.8050 and 4811.90.9080. While Decision Memorandum, which is hereby destruction of APO materials, or HTSUS subheadings are provided for incorporated in this notice.2 This convenience and customs purposes, the conversion to judicial protective order, memorandum also details the changes is hereby requested. Failure to comply written description of the scope of the investigation is dispositive. we made since the Preliminary with the regulations and terms of an Determination to the subsidy rates APO is a violation subject to sanction. Appendix II—List of Topics Discussed calculated for the mandatory This determination and this notice are in the Issues and Decision respondents and all other producers/ issued and published pursuant to Memorandum exporters. The Issues and Decision sections 735(d) and 777(i)(1) of the Act. I. Summary Memorandum is a public document and Dated: January 8, 2016. II. Background is on file electronically via Enforcement Paul Piquado, III. Period of Investigation and Compliance’s Antidumping and Assistant Secretary for Enforcement and IV. List of Comments Countervailing Duty Centralized Compliance. V. Discussion of Comments Electronic Service System (ACCESS). Comment 1: Whether Adverse Facts ACCESS is available to registered users Appendix I—Scope of the Investigation Available (AFA) are Warranted for at http://access.trade.gov, and is Respondent Australian Paper The merchandise covered by the Comment 2: Rate To Assign to Australian available to all parties in the Central investigation includes uncoated paper in Paper Based on AFA Records Unit, room B8024 of the main sheet form; weighing at least 40 grams per Comment 3: Derivation of the All-Others Department of Commerce building. In square meter but not more than 150 grams Rate addition, a complete version of the per square meter; that either is a white paper VI. Finding of Critical Circumstances, In Part Issues and Decision Memorandum can with a GE brightness level 1 of 85 or higher or is a colored paper; whether or not surface- [FR Doc. 2016–01019 Filed 1–19–16; 8:45 am] be accessed directly at http:// decorated, printed (except as described BILLING CODE 3510–DS–P enforcement.trade.gov/frn/index.html. below), embossed, perforated, or punched; The signed Issues and Decision irrespective of the smoothness of the surface; Memorandum and the electronic and irrespective of dimensions (Certain DEPARTMENT OF COMMERCE version of the Issues and Decision Uncoated Paper). Memorandum are identical in content. Certain Uncoated Paper includes (a) International Trade Administration uncoated free sheet paper that meets this [C–570–023] 1 See Certain Uncoated Paper From the People’s scope definition; (b) uncoated ground wood Republic of China: Preliminary Affirmative paper produced from bleached chemi- Countervailing Duty Determination and Alignment Certain Uncoated Paper From the of Final Determination With Final Antidumping 1 One of the key measurements of any grade of People’s Republic of China: Final Duty Determination, 80 FR 36968 (June 29, 2015) paper is brightness. Generally speaking, the brighter Affirmative Countervailing Duty (Preliminary Determination), and Certain Uncoated the paper the better the contrast between the paper Determination Paper From the People’s Republic of China: Notice and the ink. Brightness is measured using a GE of Correction to Preliminary Affirmative Reflectance Scale, which measures the reflection of AGENCY: Enforcement and Compliance, Countervailing Duty Determination, 80 FR 39409 light off a grade of paper. One is the lowest (July 9, 2015) (Notice of Correction). reflection, or what would be given to a totally black International Trade Administration, 2 See Memorandum to Paul Piquado, ‘‘Issues and grade, and 100 is the brightest measured grade. Commerce. Decision Memorandum for the Final Affirmative ‘‘Colored paper’’ as used in this scope definition SUMMARY: The Department of Commerce Countervailing Duty Determination in the means a paper with a hue other than white that Countervailing Duty Investigation of Certain reflects one of the primary colors of magenta, (the Department) determines that Uncoated Paper from the People’s Republic of yellow, and cyan (red, yellow, and blue) or a countervailable subsidies are being China’’ (January 8, 2016) (Issues and Decision combination of such primary colors. provided to producers and exporters of Memorandum).

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Scope of the Investigation basing the countervailing duty (CVD) companies not individually rate for Sun Paper Companies and UPM investigated, we will determine an ‘‘all- The scope of the investigation covers on facts otherwise available, pursuant to others’’ rate equal to the weighted- uncoated paper. For a complete sections 776(a)(2)(C) and (D) of the average countervailable subsidy rates description of the scope of the Tariff Act of 1930, as amended (the Act). established for exporters and producers investigation, see Appendix I. Further, because Sun Paper Companies individually investigated, excluding any Analysis of Subsidy Programs and and UPM did not cooperate to the best zero and de minimis countervailable Comments Received of their ability in this investigation, we subsidy rates, and any rates determined also determine that an adverse inference entirely under section 776 of the Act. The subsidy programs under is warranted, pursuant to section 776(b) Where the rates for investigated investigation and the issues raised in of the Act. As adverse facts available companies are zero or de minimis, or the case and rebuttal briefs by parties in (AFA), we have assigned Sun Paper based entirely on facts otherwise this investigation are discussed in the Companies and UPM, each a rate of available, section 705(c)(5)(A)(ii) of the Issues and Decision Memorandum, 185.25 percent. For a full discussion of dated concurrently with this notice. A Act instructs the Department to this issue, see the Issues and Decision establish an ‘‘all-others’’ rate using ‘‘any list of the issues that parties raised, and Memorandum. to which we responded in the Issues reasonable method.’’ As discussed and Decision Memorandum, is attached Final Determination and Suspension of above, we determined Sun Paper to this notice as Appendix II. Liquidation Companies and UPM rates based entirely on AFA in accordance with In accordance with section Use of Facts Otherwise Available, sections 776(a) and (b) of the Act. Including Adverse Inferences 705(c)(1)(B)(i) of the Act, we calculated a rate for Asia Symbol (Guangdong) Therefore, we used the rate calculated As described in the Preliminary Paper Co., Ltd. (AS Guangdong), Asia for Asia Symbol Companies as the ‘‘all- Determination, Shandong Sun Paper Symbol (Shandong) Pulp & Paper Co., others’’ rate. We intend to disclose to Industry Joint Stock Co., Ltd., and Sun Ltd. (AS Shandong), Asia Symbol parties the calculations performed in Paper (Hong Kong) Co., Ltd. (Guangdong) Omya Minerals Co., Ltd. this proceeding within five days of the (collectively, Sun Paper Companies) and (AS Omya), and Greenpoint Global public announcement of this final UPM (China) Co., Ltd. (UPM) each Trading (Macao Commercial Offshore) determination in accordance with 19 notified the Department that it would Limited (Greenpoint) (collectively, Asia CFR 351.224(b). not participate in this investigation.3 Symbol Companies). Section We determine the total estimated net Thus, for the final determination, we are 705(c)(5)(A)(i) of the Act states that, for countervailable subsidy rates to be:

Company Subsidy rate

Asia Symbol (Guangdong) Paper Co., Ltd. (AS Guangdong), Asia Symbol (Shandong) Pulp & Paper Co., Ltd. (AS 7.23 percent. Shandong), Asia Symbol (Guangdong) Omya Minerals Co., Ltd. (AS Omya), and Greenpoint Global Trading (Macao Commercial Offshore) Limited (Greenpoint) (collectively, Asia Symbol Companies). Shandong Sun Paper Industry Joint Stock Co., Ltd. (Shandong Sun Paper), and Sun Paper (Hong Kong) Co., Ltd. 176.75 percent. (Sun Paper HK) (collectively, Sun Paper Companies). UPM (China) Co. Ltd. (UPM) ...... 176.75 percent. All-Others ...... 7.23 percent.

As a result of our affirmative We will issue a CVD order and International Trade Commission Preliminary Determination, pursuant to reinstate the suspension of liquidation Notification sections 703(d)(1)(B) and (2) of the Act, in accordance with our final In accordance with section 705(d) of we instructed U.S. Customs and Border determination and under section 706(a) the Act, we will notify the ITC of our Protection (CBP) to suspend liquidation of the Act if the United States final determination. In addition, we are of entries of subject merchandise from International Trade Commission (ITC) making available to the ITC all non- the PRC which were entered or issues a final affirmative injury privileged and non-proprietary withdrawn from warehouse, for determination, and we will instruct CBP information related to this investigation. consumption on or after June 29, 2015, to require a cash deposit of estimated We will allow the ITC access to all the date of the publication of the countervailing duties for such entries of privileged and business proprietary Preliminary Determination in the merchandise in the amounts indicated information in our files, provided the Federal Register. above. If the ITC determines that ITC confirms that it will not disclose In accordance with section 703(d) of material injury, or threat of material such information, either publicly or the Act, we later issued instructions to injury, does not exist, this proceeding under an administrative protective order CBP to discontinue the suspension of (APO), without the written consent of liquidation for CVD purposes for subject will be terminated and all estimated duties deposited as a result of the the Assistant Secretary for Enforcement merchandise entered, or withdrawn and Compliance. from warehouse, on or after October 27, suspension of liquidation will be 2015, but to continue the suspension of refunded. Return or Destruction of Proprietary liquidation of all entries from June 29, Information 2015, through October 26, 2015, as In the event that the ITC issues a final appropriate. negative injury determination, this

3 See Letter from Sun Paper Companies, ‘‘Certain Companies Withdrawal Letter) and UPM’s Responses,’’ (May 6, 2015) (UPM Withdrawal Uncoated Paper from the People’s Republic of submission, ‘‘Uncoated Paper From the People’s Letter). China—Withdrawal of Participation in Republic of China (C–570–023) Investigation; UPM Investigation,’’ (April 8, 2015) (Sun Paper (China) Co. Ltd.’s Letter Regarding Questionnaire

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notice will serve as the only reminder 4802.56.3000, 4802.56.4000, 4802.56.6000, DEPARTMENT OF COMMERCE to parties subject to an APO of their 4802.56.7020, 4802.56.7040, 4802.57.1000, responsibility concerning the 4802.57.2000, 4802.57.3000, and International Trade Administration destruction of proprietary information 4802.57.4000. Some imports of subject [A–570–022] disclosed under APO in accordance merchandise may also be classified under with 19 CFR 351.305(a)(3). Timely 4802.62.1000, 4802.62.2000, 4802.62.3000, Certain Uncoated Paper From the 4802.62.5000, 4802.62.6020, 4802.62.6040, written notification of the return/ People’s Republic of China: Final 4802.69.1000, 4802.69.2000, 4802.69.3000, destruction of APO materials or Determination of Sales at Less Than 4811.90.8050 and 4811.90.9080. While conversion to judicial protective order is Fair Value hereby requested. Failure to comply HTSUS subheadings are provided for with the regulations and terms of an convenience and customs purposes, the AGENCY: Enforcement and Compliance, APO is a violation that is subject to written description of the scope of the International Trade Administration, sanction. investigation is dispositive. Department of Commerce. This determination is issued and SUMMARY: The Department of Commerce published pursuant to sections 705(d) Appendix II—List of Topics Discussed (‘‘Department’’) determines that certain and 777(i) of the Act. in the Issues and Decision uncoated paper from the People’s Memorandum Dated: January 8, 2016. Republic of China (‘‘PRC’’) is being, or Paul Piquado, is likely to be, sold in the United States I. Summary at less than fair value (‘‘LTFV’’), as Assistant Secretary for Enforcement and II. Background Compliance. provided in section 735 of the Tariff Act III. Scope of the Investigation of 1930, as amended (‘‘the Act’’). The Appendix I—Scope of the Investigation IV. Application of the Countervailing Duty period of investigation (‘‘POI’’) is July 1, Law to Imports From the PRC 2014, through December 31, 2014. The The merchandise covered by the V. Subsidies Valuation final weighted-average dumping investigation includes uncoated paper in VI. Benchmarks and Discount Rates margins of sales at LTFV are listed sheet form; weighing at least 40 grams per VII. Use of Facts Otherwise Available and square meter but not more than 150 grams below in the ‘‘Final Determination Adverse Inferences Margins’’ section of this notice. per square meter; that either is a white paper VIII. Analysis of Programs 4 with a GE brightness level of 85 or higher IX. Analysis of Comments DATES: Effective: January 20, 2016. or is a colored paper; whether or not surface- Comment 1: Whether To Reverse the FOR FURTHER INFORMATION CONTACT: decorated, printed (except as described below), embossed, perforated, or punched; Department’s Government ‘‘Authorities’’ Stephanie Moore, AD/CVD Operations, irrespective of the smoothness of the surface; Determination Office III, Enforcement and Compliance, and irrespective of dimensions (Certain Comment 2: Whether To Reverse the International Trade Administration, Uncoated Paper). Department’s Specificity Determination U.S. Department of Commerce, 14th Certain Uncoated Paper includes (a) for the Provision of Calcium Carbonate Street and Constitution Avenue NW., uncoated free sheet paper that meets this and Caustic Soda for Less Than Washington, DC 20230; telephone: (202) scope definition; (b) uncoated ground wood Adequate Remuneration (LTAR) 482–3692. paper produced from bleached chemi- Comment 3: Whether To Reverse the SUPPLEMENTARY INFORMATION: thermo-mechanical pulp (BCTMP) that meets Department’s Market Distortion this scope definition; and (c) any other Determination Background uncoated paper that meets this scope definition regardless of the type of pulp used Comment 4: Whether To Exclude Policy On August 26, 2015, the Department to produce the paper. Loan Observation 95 From the Final published the Preliminary Specifically excluded from the scope are Determination Calculations Determination of this antidumping duty (1) paper printed with final content of Comment 5: Whether To Include (‘‘AD’’) investigation.1 The following printed text or graphics and (2) lined paper Surcharges in International Freight events occurred since the Preliminary products, typically school supplies, Calculations for Calcium Carbonate and Determination was issued. composed of paper that incorporates straight Caustic Soda Benchmarks horizontal and/or vertical lines that would Between September 21, 2015, and Comment 6: Whether To Incorporate the September 30, 2015, the Department make the paper unsuitable for copying or Minor Corrections Into the Final printing purposes. For purposes of this scope conducted verifications of the sales and Calculations definition, paper shall be considered factors of production (‘‘FOP’’) ‘‘printed with final content’’ where at least Comment 7: Whether To Revise the information submitted by Greenpoint one side of the sheet has printed text and/ Provision of Coal for Less Than Global Trading (Macao Commercial Adequate Remuneration Benchmark or graphics that cover at least five percent of Offshore) Ltd. (‘‘Greenpoint’’), Asia Comment 8: Whether the Provision of the surface area of the entire sheet. Symbol (Guangdong) Paper Co. Ltd. Water for LTAR Confers a Benefit Imports of the subject merchandise are (‘‘AS Guangdong’’), and Asia Symbol provided for under Harmonized Tariff Comment 9: Whether the Provision of Land (Shandong) Pulp and Paper Co. Ltd. Schedule of the United States (HTSUS) to State-Owned Enterprises (SOEs) for categories 4802.56.1000, 4802.56.2000, (‘‘AS Shandong’’) (collectively, ‘‘Asia LTAR is Countervailable 2 X. Recommendation Symbol’’) for use in the final 4 One of the key measurements of any grade of [FR Doc. 2016–01013 Filed 1–19–16; 8:45 am] paper is brightness. Generally speaking, the brighter 1 See Certain Uncoated Paper from the People’s the paper the better the contrast between the paper BILLING CODE 3510–DS–P Republic of China: Preliminary Determination of and the ink. Brightness is measured using a GE Sales at Less Than Fair Value and Postponement Reflectance Scale, which measures the reflection of of Final Determination, 80 FR 51768 (August 26, light off a grade of paper. One is the lowest 2015) (‘‘Preliminary Determination’’) and reflection, or what would be given to a totally black accompanying Preliminary Decision Memorandum. grade, and 100 is the brightest measured grade. 2 The Department preliminarily collapsed AS ‘‘Colored paper’’ as used in this scope definition Guangdong, AS Shandong, and Greenpoint, treating means a paper with a hue other than white that them as a single entity for the purposes of reflects one of the primary colors of magenta, calculating a margin in this investigation. See yellow, and cyan (red, yellow, and blue) or a Memorandum to the File, ‘‘Investigation of combination of such primary colors. Uncoated Paper from the People’s Republic of

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determination. We issued our investigations.9 On October 29, 2015, Decision Memorandum are identical in verification report on November 10, Petitioners submitted their rebuttal brief content. 2015.3 regarding the scope of the Verification Petitioners and Asia Symbol investigations.10 The Department is submitted case briefs on November 19, issuing a scope comments decision As provided in section 782(i) of the 2015,4 and rebuttal briefs on November memorandum for the final Act, from September 21, 2015, to 24, 2015.5 On December 9, 2015, Asia determinations of the AD and September 30, 2015, we conducted Symbol provided a revised FOP countervailing duty investigations of verification of the information database and market-economy uncoated paper, which is incorporated submitted by Asia Symbol for use in the purchases (‘‘MEP’’) chart.6 On December by reference in, and hereby adopted by, final determination.13 We issued a 15, 2015, Petitioners provided this final determination.11 As explained verification report on November 10, comments on that submission.7 in the Final Scope Decision 2015.14 The Department used standard Memorandum, to facilitate the scope’s verification procedures, including an Scope of the Investigation administrability and enforcement, we examination of relevant accounting and The product covered by this have clarified the scope language such production records and original source 15 investigation is certain uncoated paper that certain uncoated paper with ‘‘final documents provided by respondents. from the PRC. For a full description of printed content’’ is excluded from the Changes Since the Preliminary the scope of this investigation, see the scope of the investigations. Determination ‘‘Scope of the Investigation,’’ in Appendix I of this notice, which Analysis of Comments Received Based on the Department’s analysis of incorporates changes made subsequent the comments received and our findings All issues raised in the case and at verification, we made certain changes to the Preliminary Determination. rebuttal briefs by interested parties in to Asia Symbol’s margin calculations. On October 2, 2015, Gartner Studios, this investigation that are not related to For a discussion of these changes, see Inc. submitted its case brief on the scope the scope of this investigation are 8 the Issues and Decision Memorandum. of the investigations. On October 19, addressed in the Issues and Decision 2015, American Greetings Corporation Memorandum, which is incorporated by Combination Rates (‘‘American Greetings’’) submitted its reference by, and hereby adopted by, In the Initiation Notice,16 the case brief regarding the scope of the this notice.12 The Issues and Decision Department stated that it would Memorandum is a public document and calculate combination rates for the China: Preliminary Determination Regarding is on file electronically via Enforcement respondents that are eligible for a Affiliation and Collapsing of Asia Symbol separate rate in this investigation. Policy (Guangdong) Paper Co., Ltd., Asia Symbol and Compliance’s Antidumping and 17 (Shandong) Pulp and Paper Co., Ltd., and Countervailing Duty Centralized Bulletin 05.1 describes this practice. Greenpoint Global Trading (Macao Commercial Electronic Service System (‘‘ACCESS’’). PRC-Wide Rate Offshore) Ltd.,’’ dated August 19, 2015. No party ACCESS is available to registered users provided further comment or subsequent challenge at http://access.trade.gov. The Issues For the final determination, we have to this finding. Accordingly, the Department determined to use, as the adverse facts sustains this collapsing determination for the final and Decision Memorandum is available determination. to all parties in the Central Records available (‘‘AFA’’) rate applied to the 3 See Memorandum to the File, ‘‘Verification of Unit, room B8024 of the main PRC-wide entity, 149.00 percent, the the Sales and Factors Responses of Greenpoint Department of Commerce building. In highest transaction-specific dumping Global Trading (Macao Commercial Offshore) Ltd., margin calculated in the final Asia Symbol (Guangdong) Paper Co. Ltd., and Asia addition, a complete version of the Symbol (Shandong) Pulp and Paper Co., Ltd. in the Issues and Decision Memorandum is determination. Consistent with our Antidumping Investigation of Uncoated Paper from available at http://enforcement.trade. practice, the Department selected Asia the People’s Republic of China,’’ dated November gov/frn/index.html. The signed and Symbol’s highest transaction-specific 10, 2015 (‘‘Asia Symbol Verification Report’’). 4 electronic versions of the Issues and See Letter from Petitioners, ‘‘Certain Uncoated 13 See Memorandum to the File, ‘‘Verification of Paper from the People’s Republic of China: the Sales and Factors Responses of Greenpoint Petitioners Case Brief,’’ dated November 19, 2015 9 See Letter to Secretary Pritzker, from American Global Trading (Macao Commercial Offshore) Ltd., (‘‘Petitioners’ Case Brief’’). See also Letter from Asia Greetings, ‘‘Certain Uncoated Paper from Australia, Asia Symbol (Guangdong) Paper Co. Ltd., and Asia Symbol, ‘‘Certain Uncoated Paper from the People’s Brazil, the People’s Republic of China, Indonesia, Symbol (Shandong) Pulp and Paper Co., Ltd. in the Republic of China: Case Brief of the Asia Symbol and Portugal: Case Brief of American Greetings Antidumping Investigation of Uncoated Paper from Companies,’’ dated November 19, 2015 (‘‘Asia Corporation’’ (October 19, 2015). the People’s Republic of China,’’ dated November Symbol’s Case Brief’’). 10 See Letter to Secretary Pritzker, from 10, 2015 (‘‘Verification Report’’). 5 See Letter from Petitioners, ‘‘Certain Uncoated Petitioners, ‘‘Certain Uncoated Paper from 14 See Memorandum to the File, ‘‘Verification of Paper from the People’s Republic of China: Australia, Brazil, the People’s Republic of China, the Sales and Factors Responses of Greenpoint Petitioners’ Rebuttal Brief,’’ dated November 24, Indonesia, and Portugal: Scope Rebuttal Brief’’ Global Trading (Macao Commercial Offshore) Ltd., 2015 (‘‘Petitioners’ Rebuttal Brief’’). See also Letter (October 29, 2015). Asia Symbol (Guangdong) Paper Co. Ltd., and Asia from Asia Symbol, ‘‘Certain Uncoated Paper from 11 See the Department’s Memorandum to the File, Symbol (Shandong) Pulp and Paper Co., Ltd. in the the People’s Republic of China: Rebuttal Brief of the ‘‘Less Than Fair Value Investigations of Certain Antidumping Investigation of Uncoated Paper from Asia Symbol Companies,’’ dated November 24, Uncoated Paper from Australia, Brazil, the People’s the People’s Republic of China,’’ dated November 2015 (‘‘Asia Symbol’s Rebuttal Brief’’). Republic of China, Indonesia, and Portugal; and 10, 2015 (‘‘Verification Report’’). 6 See Letter from Asia Symbol, ‘‘Certain Uncoated Countervailing Duty Investigations of Certain 15 Id. Paper from the People’s Republic of China: Revised Uncoated Paper from the People’s Republic of 16 See Certain Uncoated Paper From Australia, Database and MEP Chart,’’ dated December 9, 2015 China and Indonesia: Scope Comments Decision Brazil, the People’s Republic of China, Indonesia, (‘‘Revised Database Submission’’). Memorandum for the Final Determinations,’’ dated and Portugal: Initiation of Less-Than-Fair-Value 7 See Letter from Petitioners, ‘‘Certain Uncoated January 8, 2016 (‘‘Final Scope Decision Investigations, 80 FR 8608 (February 18, 2015) Paper from the People’s Republic of China: Memorandum’’). (‘‘Initiation Notice’’). Petitioners’ Response to Asia Symbol’s Revised 12 See Memorandum to Paul Piquado, Assistant 17 See Enforcement and Compliance’s Policy Database and MEP Chart,’’ dated December 15, Secretary for Enforcement and Compliance, ‘‘Issues Bulletin No. 05.1, regarding, ‘‘Separate-Rates 2015. and Decision Memorandum for the Final Practice and Application of Combination Rates in 8 See Letter to Secretary Pritzker, from Gartner Determination of Sales at Less than Fair Value in Antidumping Investigations involving Non-Market Studios, Inc., ‘‘Certain Uncoated Paper from the Antidumping Duty Investigation of Certain Economy Countries,’’ dated April 5, 2005 (‘‘Policy Australia, Brazil, the People’s Republic of China, Uncoated Paper from the People’s Republic of Bulletin 05.1’’), available on the Department’s Web Indonesia, and Portugal: Case Brief’’ (October 2, China,’’ dated concurrently with this notice (‘‘Issues site at http://enforcement.trade.gov/policy/bull05– 2015). and Decision Memorandum’’). 1.pdf.

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margin, as AFA, because this rate is need to corroborate the selected margin Final Determination higher than the other rates in this because it is based on information investigation and therefore, sufficiently submitted by Asia Symbol in the course The Department determines that the adverse to serve the purposes of facts of this investigation, i.e., it is not estimated final weighted-average available.18 Furthermore, there is no secondary information.19 dumping margins are as follows:

Weighted- average Exporter Producer dumping margin (percent)

Greenpoint Global Trading (Macao Com- Asia Symbol (Guangdong) Paper Co., Ltd.; and Asia Symbol (Shandong) Pulp & 84.05 mercial Offshore) Ltd. Paper Co., Ltd. PRC-Wide Entity ...... 149.00

Disclosure received their own separate rate above, and, thus, we have no basis upon which 24 We intend to disclose to parties the the cash deposit rate will be equal to the to make such an adjustment. dumping margin established for the calculations performed in this International Trade Commission proceeding within five days of the PRC-wide entity; and (3) for all non-PRC Notification public announcement of this final exporters of merchandise under determination in accordance with 19 consideration which have not received In accordance with section 735(d) of CFR 351.224(b). their own separate rate above, the cash the Act, we will notify the International deposit rate will be equal to the cash Trade Commission (‘‘ITC’’) of the final Continuation of Suspension of deposit rate applicable to the PRC affirmative determination of sales at Liquidation exporter/producer combination that LTFV. Because the final determination In accordance with section supplied that non-PRC exporter. in this proceeding is affirmative, in accordance with section 735(b)(2) of the 735(c)(1)(B) of the Act, the Department As we stated in the Preliminary Act, the ITC will determine, within 45 will instruct U.S. Customs and Border Determination, consistent with our days, whether the domestic industry in Protection (‘‘CBP’’) to continue to practice, where the product under suspend liquidation of all appropriate the United States is materially injured, investigation is also subject to a entries of certain uncoated paper from or threatened with material injury, by concurrent countervailing duty the PRC as described in Appendix I of reason of imports of certain uncoated investigation, we instruct CBP to require this notice, which were entered, or paper from the PRC, or sales (or the a cash deposit equal to the amount by withdrawn from warehouse, for likelihood of sales) for importation, of which the normal value exceeds the consumption on or after August 26, certain uncoated paper from the PRC. If 2015, the date of publication in the export price or constructed export price, the ITC determines that such injury Federal Register of the affirmative less the amount of the countervailing does not exist, this proceeding will be Preliminary Determination. duty determined to constitute an export terminated and all securities posted will 21 Further, pursuant to 19 CFR subsidy. In this LTFV investigation, be refunded or canceled. If the ITC 351.205(d), the Department will instruct export subsidies constitute 0.13 determines that such injury does exist, CBP to require a cash deposit equal to percent 22 of the final calculated the Department will issue an the weighted-average amount by which countervailing duty rate in the antidumping duty order directing CBP the normal value exceeds U.S. price, concurrent countervailing duty to assess, upon further instruction by adjusted where appropriate for export investigation, and, thus, we will offset the Department, antidumping duties on subsidies and estimated domestic the calculated rates for Asia Symbol, the all imports of the subject merchandise subsidy pass-through,20 as follows: (1) company receiving a separate rate, and entered, or withdrawn from warehouse, For the exporter/producer combination the PRC-wide rate by the countervailing for consumption on or after the effective listed in the table above, the cash duty rate attributable to export subsidies date of the suspension of liquidation. deposit rate will be equal to the (i.e., 0.13 percent) to calculate the cash Notification Regarding Administrative dumping margin which the Department deposit rate for this LTFV Protective Orders determined in this final determination; investigation.23 We are not adjusting the (2) for all combinations of PRC rates for estimated domestic subsidy This notice also serves as a reminder exporters/producers of merchandise pass-through because there is no cost-to- to the parties subject to administrative under consideration which have not price linkage to a subsidized program protective order (‘‘APO’’) of their

18 See Issues and Decision Memorandum for a Determination of Sales at Less Than Fair Value, Determination (‘‘CVD Final’’), and accompanying detailed discussion. and Negative Determination of Critical Issues and Decision Memorandum. The final 19 See 19 CFR 351.308(c) and (d) and section Circumstances: Certain Lined Paper Products from determination in this companion CVD proceeding 776(c) of the Act. See also Issues and Decision India, 71 FR 45012 (August 8, 2006), and is being concurrently released on the same day as Memorandum at Comment 20. accompanying Issues and Decision Memorandum at this final determination. 20 Comment 1. See Modification of Regulations Regarding the 23 The cash deposit rate reflecting the export 21 See Preliminary Determination, 80 FR at Practice of Accepting Bonds During the Provisional subsidy offset will be in effect until the Measures Period in Antidumping and 51769–70. countervailing duty provisional measures expire Countervailing Duty Investigations, 76 FR 61042 22 The following subsidy programs in the final (October 3, 2011) and section 772(c)(1)(C) of the determination of the concurrent countervailing duty (i.e. 120 days after the publication of the Act. Unlike in administrative reviews, the investigation are export subsidies: City bonus for preliminary determination of the companion Department calculates the adjustment for export export activity from finance bureau (0.13 percent). countervailing duty investigation). subsidies in investigations not in the margin See Countervailing Duty Investigation of Certain 24 See Preliminary Decision Memorandum at the calculation program, but in the cash deposit Uncoated Paper from the People’s Republic of section, ‘‘Adjustment Under Section 777A(f) of the instructions issued to CBP. See Notice of Final China: Final Affirmative Countervailing Duty Act.’’

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responsibility concerning the merchandise may also be classified under DEPARTMENT OF COMMERCE disposition of propriety information 4802.62.1000, 4802.62.2000, 4802.62.3000, disclosed under APO in accordance 4802.62.5000, 4802.62.6020, 4802.62.6040, International Trade Administration with 19 CFR 351.305(a)(3). Timely 4802.69.1000, 4802.69.2000, 4802.69.3000, written notification of return or 4811.90.8050 and 4811.90.9080. While [A–351–842] HTSUS subheadings are provided for destruction of APO materials or Certain Uncoated Paper From Brazil: conversion to judicial protective order is convenience and customs purposes, the written description of the scope of the Final Determination of Sales at Less hereby requested. Failure to comply Than Fair Value with the regulations and terms of an investigations is dispositive. APO is a sanctionable violation. Appendix II—List of Topics Discussed AGENCY: Enforcement and Compliance, This determination is issued and in the Final Decision Memorandum International Trade Administration, published in accordance with sections Commerce. 735(d) and 777(i)(1) of the Act. I. Summary SUMMARY: The Department of Commerce Dated: January 8, 2016. II. Background (‘‘the Department’’) determines that III. Period of Investigation Paul Piquado, certain uncoated paper (‘‘uncoated IV. Margin Calculations paper’’) from Brazil is being, or is likely Assistant Secretary for Enforcement and V. List of Comments Compliance. to be, sold in the United States at less VI. Discussion of Comments than fair value (‘‘LTFV’’), as provided in Comment 1: Surrogate Country Appendix I—Scope of the Investigation section 735(a) of the Tariff Act of 1930, Comment 2: Selection of Surrogate Value The merchandise covered by this as amended (‘‘the Act’’). The period of for Wood Chips investigation includes uncoated paper in investigation (‘‘POI’’) is January 1, 2014, Comment 3: Selection of Surrogate Values sheet form; weighing at least 40 grams per through December 31, 2014. The final for Sodium Hypochlorite, Citric Acid, square meter but not more than 150 grams dumping margins of sales at LTFV are per square meter; that either is a white paper and Aluminum Chloride with a GE brightness level 1 of 85 or higher Comment 4: Selection of Surrogate Value listed below in the ‘‘Final or is a colored paper; whether or not surface- for Bamboo Pulp Determination’’ section of this notice. decorated, printed (except as described Comment 5: Selection of Surrogate Values DATES: Effective: January 20, 2016. below), embossed, perforated, or punched; for Cationic Starch, Whitening Materials, FOR FURTHER INFORMATION CONTACT: Julia irrespective of the smoothness of the surface; Calcium Carbonate Fillers, Hydrogen Hancock or Paul Walker, AD/CVD and irrespective of dimensions (Certain Peroxide, Ferrous Sulphate, and Sodium Uncoated Paper). Operations, Office V, Enforcement and Certain Uncoated Paper includes (a) Sulphate Compliance, International Trade uncoated free sheet paper that meets this Comment 6: Selection of Surrogate Value Administration, U.S. Department of scope definition; (b) uncoated ground wood for Fuel Inputs Commerce, 14th Street and Constitution paper produced from bleached chemi- Comment 7: Selection of Surrogate Value Avenue NW., Washington, DC 20230; thermo-mechanical pulp (BCTMP) that meets for Native Starches telephone: 202.482.1394 or this scope definition; and (c) any other Comment 8: Selection of Surrogate Values 202.482.0413, respectively. uncoated paper that meets this scope for Limestone, Antifoam Compound, SUPPLEMENTARY INFORMATION: definition regardless of the type of pulp used Liquid Polymer, and Sodium Phosphate to produce the paper. Comment 9: Selection of Surrogate Value Background Specifically excluded from the scope are for LMSTONE80_ENE_MAT (1) paper printed with final content of On August 26, 2015, the Department printed text or graphics and (2) lined paper Comment 10: Selection of Surrogate Value published the Preliminary products, typically school supplies, for Bailing Wire Determination of this antidumping duty composed of paper that incorporates straight Comment 11: Selection of Surrogate Value (‘‘AD’’) investigation.1 The events for Packing Cartons horizontal and/or vertical lines that would occurring since the Preliminary make the paper unsuitable for copying or Comment 12: Selection of Surrogate Value Determination was issued are detailed printing purposes. For purposes of this scope for Paper Cores in the Issues and Decision definition, paper shall be considered Comment 13: Selection of Surrogate Value Memorandum.2 ‘‘printed with final content’’ where at least for Packing Covers one side of the sheet has printed text and/ Comment 14: Brokerage and Handling Scope of the Investigation and Scope or graphics that cover at least five percent of Surrogate Value the surface area of the entire sheet. Comments Comment 15: Conversion of Nitrogen Imports of the subject merchandise are The product covered by this Surrogate Value provided for under Harmonized Tariff investigation is uncoated paper from Comment 16: Inland Insurance Surrogate Schedule of the United States (HTSUS) Brazil. For a complete description of the categories 4802.56.1000, 4802.56.2000, Value 4802.56.3000, 4802.56.4000, 4802.56.6000, Comment 17: Water Treatment Chemical scope of the investigation, see the 4802.56.7020, 4802.56.7040, 4802.57.1000, FOPs Comment ‘‘Scope of the Investigation,’’ in 4802.57.2000, 4802.57.3000, and 18: Minor Correction for Market Economy Appendix I of this notice, which 4802.57.4000. Some imports of subject Purchases Comment 19: Mondi’s SG&A Ratio 1 See Certain Uncoated Paper from Brazil: 1 One of the key measurements of any grade of Comment 20: PRC-Wide Rate Preliminary Determination of Sales at Less Than paper is brightness. Generally speaking, the brighter Fair Value and Postponement of Final the paper the better the contrast between the paper Comment 21: Minor Corrections and Determination, 80 FR 52029 (August 27, 2015) and the ink. Brightness is measured using a GE Inadvertent Errors (‘‘Preliminary Determination’’). Reflectance Scale, which measures the reflection of VII. Recommendation 2 See Memorandum from Christian Marsh, Deputy light off a grade of paper. One is the lowest Assistant Secretary for Antidumping and [FR Doc. 2016–01020 Filed 1–19–16; 8:45 am] reflection, or what would be given to a totally black Countervailing Duty Operations, to Paul Piquado, grade, and 100 is the brightest measured grade. BILLING CODE 3510–DS–P Assistant Secretary for Enforcement and ‘‘Colored paper’’ as used in this scope definition Compliance, ‘‘Issues and Decision Memorandum for means a paper with a hue other than white that the Final Determination in the Antidumping Duty reflects one of the primary colors of magenta, Investigation of Certain Uncoated Paper from yellow, and cyan (red, yellow, and blue) or a Brazil’’ (‘‘Issues and Decision Memorandum’’), combination of such primary colors. dated concurrently with this notice.

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incorporates changes made subsequent Countervailing Duty Centralized calculated the ‘‘all-others’’ rate based on to the Preliminary Determination. Electronic Service System (‘‘ACCESS’’). a weighted-average of International On October 2, 2015, Gartner Studios, ACCESS is available to registered users Paper’s and Suzano’s margins using Inc. submitted its case brief on the scope at https://access.trade.gov and it is publicly-ranged quantities for their sales of the investigations.3 On October 19, available to all parties in the Central of subject merchandise.13 2015, American Greetings Corporation Records Unit, room B–8024 of the main Final Determination (‘‘American Greetings’’) submitted its Department of Commerce building. In case brief regarding the scope of the addition, a complete version of the The Department determines that the investigations.4 On October 29, 2015, Issues and Decision Memorandum can final weighted-average dumping Petitioners submitted their rebuttal brief be accessed directly at http:// margins are as follows: regarding the scope of the enforcement.trade.gov/frn/index.html. investigations.5 The Department is Weighted- The signed and electronic versions of average issuing a scope comments decision the Issues and Decision Memorandum Exporter/Manufacturer dumping memorandum for the final are identical in content. margin determinations of the AD and (percent) countervailing duty investigations of Verification uncoated paper, which is incorporated As provided in section 782(i) of the International Paper do Brasil Ltda. and International Paper by reference in, and hereby adopted by, Act, in September and October 2015, the 14 6 Exportadora Ltda...... 41.39 this final determination. As explained Department verified the sales and cost Suzano Papel e Celulose S.A. 22.16 8 in the Final Scope Decision data reported by International Paper All-Others ...... 26.95 Memorandum, to facilitate the scope’s and Suzano,9 respectively, pursuant to administrability and enforcement, we section 782(i) of the Act. We used Disclosure have clarified the scope language such standard verification procedures, that certain uncoated paper with ‘‘final including an examination of relevant We will disclose the calculations printed content’’ is excluded from the accounting and production records, and performed to interested parties within scope of the investigations. original source documents provided by five days of the public announcement of International Paper and Suzano.10 this final determination in accordance Analysis of Comments Received with 19 CFR 351.224(b). All issues raised in the case and Changes Since the Preliminary Determination Continuation of Suspension of rebuttal briefs by interested parties in Liquidation this investigation that are not related to Based on our analysis of the the scope of this investigation are comments received and findings at In accordance with section 735(c)(1)(B) of the Act, the Department addressed in the Issues and Decision verification, we made certain changes to will instruct U.S. Customs and Border Memorandum, which is incorporated by the margin calculations for International Protection (‘‘CBP’’) to continue to reference by, and hereby adopted by, Paper and Suzano. For a discussion of 7 suspend liquidation of all appropriate this notice. A list of the issues raised these changes, see the ‘‘Margin entries of uncoated paper from Brazil, as is attached to this notice as Appendix II. Calculations’’ section of the Issues and described in Appendix I of this notice, The Issues and Decision Memorandum Decision Memorandum.11 We have also which were entered, or withdrawn from is a public document and is on file revised the all-others rate.12 electronically via Enforcement and Compliance’s Antidumping and All-Others Rate 13 Id. at 1–2. With two respondents, we normally calculate: (A) a weighted-average of the dumping Section 735(c)(5)(A) of the Act margins calculated for the mandatory respondents; 3 See Letter to Secretary Pritzker, from Gartner provides that the estimated all-others (B) a simple average of the dumping margins Studios, Inc., ‘‘Certain Uncoated Paper from rate shall be an amount equal to the calculated for the mandatory respondents; and (C) Australia, Brazil, the People’s Republic of China, weighted-average of the estimated a weighted-average of the dumping margins Indonesia, and Portugal: Case Brief’’ (October 2, calculated for the mandatory respondents using 2015). weighted-average dumping margins each company’s publicly-ranged values for the 4 See Letter to Secretary Pritzker, from American established for exporters and producers merchandise under consideration. We compare (B) Greetings, ‘‘Certain Uncoated Paper from Australia, individually investigated excluding any and (C) to (A) and select the rate closest to (A) as Brazil, the People’s Republic of China, Indonesia, zero or de minimis margins, and the most appropriate rate for all other companies. and Portugal: Case Brief of American Greetings See Ball Bearings and Parts Thereof from France, Corporation’’ (October 19, 2015). margins determined entirely under Germany, Italy, Japan, and the United Kingdom: 5 See Letter to Secretary Pritzker, from Petitioners, section 776 of the Act. For the Final Final Results of Antidumping Duty Administrative ‘‘Certain Uncoated Paper from Australia, Brazil, the Determination, the Department Reviews, Final Results of Changed-Circumstances People’s Republic of China, Indonesia, and Review, and Revocation of an Order in Part, 75 FR Portugal: Scope Rebuttal Brief’’ (October 29, 2015). 53661, 53663 (September 1, 2010). 8 International Paper do Brasil Ltda. (‘‘IP Brasil’’), 6 See the Department’s Memorandum to the File, 14 In the Preliminary Determination, we and International Paper Exportadora Ltda. (‘‘IPEX’’) ‘‘Less Than Fair Value Investigations of Certain determined that International Paper do Brasil Ltda. (collectively ‘‘International Paper’’). Uncoated Paper from Australia, Brazil, the People’s and International Paper Exportadora Ltda. 9 Republic of China, Indonesia, and Portugal; and Suzano Papel e Celulose S.A./Suzano Pulp and constituted a single entity. See Memorandum to Countervailing Duty Investigations of Certain Paper America, Inc. (collectively ‘‘Suzano’’). James C. Doyle, Director, Office V, through Paul Uncoated Paper from the People’s Republic of 10 See IP Brasil Cost Verification Report at 1–2; Walker, Acting Program Manager, from Julia China and Indonesia: Scope Comments Decision Suzano Cost Verification Report at 1–2; Hancock, Senior International Trade Compliance Memorandum for the Final Determinations,’’ dated International Paper Home Market Verification Analyst, Office V, ‘‘Antidumping Duty Investigation January 8, 2016 (‘‘Final Scope Decision Report at 1–2; Suzano Home Market Verification of Certain Uncoated Paper from Brazil: Preliminary Memorandum’’). Report at 1–2; Suzano U.S. Sales Verification Report Determination of Affiliation/Single Entity 7 See Memorandum from Christian Marsh, Deputy at 1–2. Treatment of International Paper do Brasil Ltda, Assistant Secretary for Antidumping and 11 See Issues and Decision Memorandum. International Paper Exportadora Ltda, et al.’’ Countervailing Duty Operations, to Paul Piquado, 12 See Memorandum to the File from Julia (August 19, 2015). Because no interested parties Assistant Secretary for Enforcement and Hancock, Senior International Trade Compliance submitted comments on this issue, the Compliance, ‘‘Issues and Decision Memorandum for Analyst, ‘‘Certain Uncoated Paper from Brazil: Department’s determination that IP Brasil and IPEX the Final Determination in the Antidumping Duty Calculation of the Final Margin for All Other are affiliated, pursuant to sections 771(33)(E) and Investigation of Certain Uncoated Paper from Companies,’’ dated concurrently with this (F) of the Act, and is considered a single entity, Brazil’’ (‘‘Issues and Decision Memorandum’’), memorandum (‘‘All Others Calculation pursuant to 19 CFR 351.401(f), remains unchanged dated concurrently with this notice. Memorandum’’). for this final determination.

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warehouse, for consumption on or after Dated: January 8, 2016. II. Background August 27, 2015, the date of publication Paul Piquado, III. Period of Investigation IV. List of Comments of the preliminary determination of this Assistant Secretary for Enforcement and V. Discussion of Comments Compliance. investigation in the Federal Register. Comment 1: Treatment of Re-Exported Further, CBP shall require a cash Appendix I—Scope of the Investigation Sales to Company X 15 deposit equal to the estimated amount Comment 2: Biological Asset Fair Value by which the normal value exceeds the The merchandise covered by the Adjustment (‘‘BAFVA’’) and Cost of investigation includes uncoated paper in Production U.S. price, as follows: (1) The rate for sheet form; weighing at least 40 grams per Comment 3: International Paper’s Level of International Paper and Suzano will be square meter but not more than 150 grams Trade (‘‘LOT’’) the rate we determined in this final per square meter; that either is a white paper Comment 4: Suzano’s LOT determination; (2) if the exporter is not with a GE brightness level 1 of 85 or higher Comment 5: Treatment of IPI and ICMS ST a firm identified in this investigation or is a colored paper; whether or not surface- Taxes Comment 6: Treatment of INSS Taxes but the producer is, the rate will be the decorated, printed (except as described below), embossed, perforated, or punched; Comment 7: Inland Insurance rate established for the producer of the irrespective of the smoothness of the surface; Comment 8: Bank Charges subject merchandise; (3) the rate for all and irrespective of dimensions (Certain Comment 9: Late Payment Fees, Rebate other producers or exporters will be Uncoated Paper). Expenses, and Other Expenses for Home 26.95 percent. The instructions Certain Uncoated Paper includes (a) Market Sales uncoated free sheet paper that meets this Comment 10: Interest Income and suspending liquidation will remain in Calculation of Financial Expense Rate effect until further notice. scope definition; (b) uncoated ground wood paper produced from bleached chemi- Comment 11: Corrections to U.S. Selling ITC Notification thermo-mechanical pulp (BCTMP) that meets Expenses and Movement Expenses this scope definition; and (c) any other Comment 12: U.S. Indirect Selling In accordance with section 735(d) of uncoated paper that meets this scope Expenses VI. Conclusion the Act, we will notify the ITC of our definition regardless of the type of pulp used to produce the paper. [FR Doc. 2016–01028 Filed 1–19–16; 8:45 am] final affirmative determination of sales Specifically excluded from the scope are at LTFV. Because the final (1) paper printed with final content of BILLING CODE 3510–DS–P determination in this proceeding is printed text or graphics and (2) lined paper products, typically school supplies, affirmative, in accordance with section DEPARTMENT OF COMMERCE 735(b)(2) of the Act, the ITC will make composed of paper that incorporates straight horizontal and/or vertical lines that would its final determination as to whether the make the paper unsuitable for copying or National Institute of Standards and domestic industry in the United States printing purposes. For purposes of this scope Technology is materially injured, or threatened with definition, paper shall be considered material injury, by reason of imports of ‘‘printed with final content’’ where at least Advisory Committee on Earthquake uncoated paper from Brazil no later than one side of the sheet has printed text and/ Hazards Reduction Meeting 45 days after our final determination. If or graphics that cover at least five percent of the surface area of the entire sheet. AGENCY: National Institute of Standards the ITC determines that material injury Imports of the subject merchandise are and Technology, Department of or threat of material injury does not provided for under Harmonized Tariff Commerce. exist, the proceeding will be terminated Schedule of the United States (HTSUS) ACTION: Notice of open meeting. and all cash deposits will be refunded. categories 4802.56.1000, 4802.56.2000, If the ITC determines that such injury 4802.56.3000, 4802.56.4000, 4802.56.6000, SUMMARY: The Advisory Committee on does exist, the Department will issue an 4802.56.7020, 4802.56.7040, 4802.57.1000, Earthquake Hazards Reduction (ACEHR 4802.57.2000, 4802.57.3000, and antidumping duty order directing CBP or Committee), will meet on Thursday, 4802.57.4000. Some imports of subject March 3, 2016 from 8:30 a.m. to 5:00 to assess, upon further instruction by merchandise may also be classified under the Department, antidumping duties on 4802.62.1000, 4802.62.2000, 4802.62.3000, p.m. Eastern Time and Friday, March 4, all imports of the subject merchandise 4802.62.5000, 4802.62.6020, 4802.62.6040, 2016, from 8:30 a.m. to 2:30 p.m. entered, or withdrawn from warehouse, 4802.69.1000, 4802.69.2000, 4802.69.3000, Eastern Time. The primary purpose of for consumption on or after the effective 4811.90.8050 and 4811.90.9080. While this meeting is to review the National date of the suspension of liquidation. HTSUS subheadings are provided for Earthquake Hazards Reduction Program convenience and customs purposes, the (NEHRP) agency updates on their latest Notification Regarding Administrative written description of the scope of the activities, receive the NEHRP agency Protective Orders (‘‘APO’’) investigation is dispositive. responses to the Committee’s 2015 report, and gather information for the Appendix II—List of Topics Discussed This notice also serves as a reminder Committee’s 2017 Report on the in the Issues and Decision to parties subject to an APO of their Effectiveness of the NEHRP. The agenda Memorandum responsibility concerning the may change to accommodate Committee disposition of proprietary information I. Summary business. The final agenda will be disclosed under APO in accordance posted on the NEHRP Web site at with 19 CFR 351.305(a)(3). Timely 1 One of the key measurements of any grade of http://nehrp.gov/. paper is brightness. Generally speaking, the brighter written notification of the return or DATES the paper the better the contrast between the paper : The ACEHR will meet on destruction of APO materials, or and the ink. Brightness is measured using a GE Thursday, March 3, 2016, from 8:30 a.m. conversion to judicial protective order, Reflectance Scale, which measures the reflection of until 5:00 p.m. Eastern Time. The is hereby requested. Failure to comply light off a grade of paper. One is the lowest meeting will continue on Friday, March with the regulations and terms of an reflection, or what would be given to a totally black grade, and 100 is the brightest measured grade. 4, 2016, from 8:30 a.m. until 2:30 p.m. APO is a violation subject to sanction. ‘‘Colored paper’’ as used in this scope definition This determination and this notice are means a paper with a hue other than white that 15 Because the identity of Company X is business reflects one of the primary colors of magenta, proprietary information, for further discussion, issued and published pursuant to yellow, and cyan (red, yellow, and blue) or a please see International Paper’s Case Brief at 2–8, sections 735(d) and 777(i)(1) of the Act. combination of such primary colors. and Suzano’s Case Brief at 24–5.

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Eastern Time. The meeting will be open information for the Committee’s 2017 at (301) 975–6707 or visit: http://www. to the public. Report on the Effectiveness of the nist.gov/public_affairs/visitor/. ADDRESSES: The meeting will be held in NEHRP. The agenda may change to Kevin Kimball, the Heritage Room, Administration accommodate Committee business. The Chief of Staff. Building, National Institute of Standards final agenda will be posted on the and Technology (NIST), 100 Bureau NEHRP Web site at http://nehrp.gov/. [FR Doc. 2016–00959 Filed 1–19–16; 8:45 am] BILLING CODE 3510–13–P Drive, Gaithersburg, Maryland 20899. Individuals and representatives of Please note admittance instructions organizations who would like to offer SUPPLEMENTARY INFORMATION under the comments and suggestions related to the DEPARTMENT OF COMMERCE section of this notice. Committee’s affairs are invited to FOR FURTHER INFORMATION CONTACT: Tina request a place on the agenda. On March National Oceanic and Atmospheric Faecke, Management and Program 4, 2016, approximately one-half hour Administration Analyst, National Earthquake Hazards will be reserved near the conclusion of Reduction Program, Engineering RIN 0648–XE389 the meeting for public comments, and Laboratory, NIST, 100 Bureau Drive, speaking times will be assigned on a Nominations for the General Advisory Mail Stop 8604, Gaithersburg, Maryland Committee and the Scientific Advisory 20899–8604. Ms. Faecke’s email address first-come, first-serve basis. The amount of time per speaker will be determined Subcommittee to the United States is [email protected] and her phone Delegation to the Inter-American number is (301) 975–5911. by the number of requests received, but is likely to be about three minutes each. Tropical Tuna Commission SUPPLEMENTARY INFORMATION: The Committee was established in Questions from the public will not be AGENCY: National Marine Fisheries accordance with the requirements of considered during this period. All those Service (NMFS), National Oceanic and Section 103 of the NEHRP wishing to speak must submit their Atmospheric Administration (NOAA), Reauthorization Act of 2004 (Pub. L. request by email to the attention of Ms. Commerce. 108–360). The Committee is composed Tina Faecke, [email protected], by ACTION: Notice; request for nominations. of 12 members appointed by the 5:00 p.m. Eastern time, Thursday, SUMMARY: NMFS, on behalf of the Director of NIST, who were selected for February 25, 2016. Secretary of Commerce, is seeking their established records of Speakers who wish to expand upon nominations for the General Advisory distinguished service in their their oral statements, those who had Committee to the U.S. delegation to the professional community, their wished to speak but could not be Inter-American Tropical Tuna knowledge of issues affecting NEHRP, accommodated on the agenda, and those Commission (IATTC or Commission), as and to reflect the wide diversity of who were unable to attend in person are well as to a Scientific Advisory technical disciplines, competencies, and invited to submit written statements to Subcommittee of the General Advisory communities involved in earthquake ACEHR, National Institute of Standards Committee. The purpose of the General hazards reduction. In addition, the and Technology, 100 Bureau Drive, MS Advisory Committee and its Scientific Chairperson of the U.S. Geological 8604, Gaithersburg, Maryland 20899– Advisory Subcommittee is to provide Survey (USGS) Scientific Earthquake 8604, via fax at (301) 975–4032, or public input and advice to the United Studies Advisory Committee (SESAC) electronically by email to tina.faecke@ States delegation to the IATTC in the serves as an ex-officio member of the formulation of U.S. policy and positions Committee. The Committee assesses: nist.gov. • Trends and developments in the All visitors to the NIST site are at meetings of the IATTC and its science and engineering of earthquake required to pre-register to be admitted. subsidiary bodies. The Scientific Advisory Subcommittee shall also hazards reduction; Anyone wishing to attend this meeting function as the National Scientific • the effectiveness of NEHRP in must register by 5:00 p.m. Eastern Time, Advisory Committee provided for in the performing its statutory activities; Thursday, February 25, 2016, in order to • Agreement on the International Dolphin any need to revise NEHRP; and attend. Please submit your full name, • Conservation Program (AIDCP). the management, coordination, email address, and phone number to implementation, and activities of DATES: Nominations must be received Jennifer Horning. Non-U.S. citizens no later than February 19, 2016. NEHRP. must submit additional information; Background information on NEHRP ADDRESSES: Nominations should be please contact Ms. Horning. Ms. and the Advisory Committee is available directed to William W. Stelle, Jr., Horning’s email address is at http://nehrp.gov/. Regional Administrator, NMFS West Pursuant to the Federal Advisory [email protected], and her Coast Region, and may be submitted by Committee Act, as amended, 5 U.S.C. phone number is (301) 975–6707. Also, any of the following means: App., notice is hereby given that the please note that federal agencies, • Email: ACEHR will hold an open meeting on including NIST, can only accept a state- RegionalAdministrator.WCRHMS@ Thursday, March 3, 2016 from 8:30 a.m. issued driver’s license or identification noaa.gov. Include in the subject line the to 5:00 p.m. Eastern Time and Friday, card for access to federal facilities if following document identifier: ‘‘General March 4, 2016, from 8:30 a.m. to 2:30 such license or identification card is Advisory Committee and Scientific p.m. Eastern Time. The meeting will be issued by a state that is compliant with Advisory Subcommittee nominations’’ held in the Heritage Room, the REAL ID Act of 2005 (Pub. L. 109– • Mail: Rachael Wadsworth, NMFS Administration Building, NIST, 100 13), or by a state that has an extension West Coast Region Long Beach Office, Bureau Drive, Gaithersburg, Maryland for REAL ID compliance. NIST currently 501 W. Ocean Blvd., Suite 4200, Long 20899. The primary purpose of this accepts other forms of federal-issued Beach, CA 90802. meeting is to review the NEHRP agency identification in lieu of a state-issued FOR FURTHER INFORMATION CONTACT: updates on their latest activities, receive driver’s license. For detailed Rachael Wadsworth, NMFS West Coast the NEHRP agency responses to the information please contact Ms. Horning Region; email: rachael.wadsworth@ Committee’s 2015 report, and gather noaa.gov; telephone: 562–980–4036.

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SUPPLEMENTARY INFORMATION: In accordance with Public Law 114–81, (3) making recommendations to the U.S. the General Advisory Committee shall Government regarding research needs General Advisory Committee not be subject to the Federal Advisory related to the eastern Pacific Ocean tuna The Tuna Conventions Act (16 U.S.C. Committee Act (5 U.S.C. App.). purse seine fishery; (4) promoting the 951 et seq.), as amended on November Individuals appointed to serve as a regular and timely full exchange of data 5, 2015, by title II of Public Law 114– member of the General Advisory among the AIDCP Parties on a variety of 81, provides that the Secretary of Committee shall serve without pay. matters related to the implementation of Commerce, in consultation with the While away from their homes or regular the AIDCP; and (5) consulting with Secretary of State, shall appoint a places of business to attend meetings of other experts, as necessary, in order to ‘‘General Advisory Committee’’ to the General Advisory Committee, they achieve the objectives of the AIDCP. advise the U.S. delegation to the IATTC. shall be allowed travel expenses, Members of the Scientific Advisory The General Advisory Committee shall including per diem in lieu of Subcommittee/National Scientific be composed of no more than 25 subsistence, in the same manner as Advisory Committee shall receive no individuals who shall be representative persons employed intermittently by the compensation for their service and of the various groups concerned with Federal Government are allowed members will not be compensated for the fisheries covered by the IATTC, expenses under 5 U.S.C. 5703. In travel or other expenses associated with including non-governmental addition, individuals appointed to serve their participation. conservation organizations, providing as a member of the General Advisory an equitable balance among such groups Committee shall not be considered General Provisions to the maximum extent practicable. Federal employees except for the Each appointed member of the Members of the General Advisory purposes of injury compensation or tort. General Advisory Committee shall be Committee shall be invited to attend all appointed for a term of 3 years and may Scientific Advisory Subcommittee non-executive meetings of the U.S. be reappointed. delegation to the IATTC and at such The Tuna Conventions Act, as The Secretary of Commerce and the meetings shall be given the opportunity amended, also provides that the Secretary of State shall provide the to examine and be heard on all Secretary of Commerce, in consultation General Advisory Committee with proposed programs of investigation, with the Secretary of State, shall relevant information concerning reports, recommendations, and appoint individuals as members of the fisheries and international fishery regulations of the Commission. subcommittee of the General Advisory agreements. The Secretary of Commerce The Chair of the Pacific Fishery Committee, referred to here as the shall provide to the General Advisory Management Council’s (Pacific ‘‘Scientific Advisory Subcommittee.’’ Committee such administrative and Council’s) Advisory Subpanel for The Scientific Advisory Subcommittee technical support services that are Highly Migratory Fisheries and the shall be composed of no fewer than 5 or necessary for its effective functioning in Chair of the Western Pacific Fishery no more than 15 qualified scientists a timely manner. Management Council’s (Western Pacific with balanced representation from the Council’s) Advisory Committee shall be public and private sectors, including Procedures for Submitting ex-officio members of the General non-governmental conservation Applications/Nominations Advisory Committee by virtue of their organizations. Applications/nominations for the positions advising those Councils. The The Scientific Advisory General Advisory Committee and the General Advisory Committee will be Subcommittee will be expected to Scientific Advisory Subcommittee/ eligible to participate as members of the determine its own organization and National Scientific Advisory Committee United States delegation to the prescribe its practices and procedures should be submitted to NMFS West Commission and its working groups to for carrying out its functions under the Coast Region (See ADDRESSES). This the extent the Commission rules and Tuna Conventions Act, the Magnuson- request for nominations is for both first space for delegations allow. Stevens Fishery Conservation and time nominees and previous members. Additionally, NMFS may appoint the Management Act (16 U.S.C. 1801 et Self-nominations are acceptable. Executive Directors of the Pacific and seq.), the 1949 Convention for the Nominations should include the Western Pacific Councils to serve on the Establishment of an Inter-American information listed below: General Advisory Committee. Tropical Tuna Commission, the Antigua (1) Full name, address (home and At its next meeting, the General Convention, and the AIDCP. business, if different), telephone, and Advisory Committee is expected to email address of applicant (i.e., for self- National Scientific Advisory Committee determine its organization and prescribe nomination) or nominee; its practices and procedures for carrying The Scientific Advisory (2) Specify whether applying or out its functions under the Tuna Subcommittee shall also function as the nominating for the General Advisory Conventions Act, the Magnuson-Stevens National Scientific Advisory Committee Committee or the Scientific Advisory Fishery Conservation and Management established pursuant to Article IX of the Committee/National Scientific Advisory Act (16 U.S.C. 1801 et seq.), the 1949 AIDCP. In this regard, the Scientific Committee (applicants may specify Convention for the Establishment of an Advisory Subcommittee shall perform both); Inter-American Tropical Tuna the functions of the National Scientific (3) Applicant’s or nominee’s Commission, and the Convention for the Advisory Committee as specified in organization(s) or professional Strengthening of the IATTC Established Annex VI of the AIDCP which include, affiliation(s) serving as the basis for the by the 1949 Convention between the but are not limited to: (1) Receiving and application/nomination; United States of America and the reviewing relevant data, including data (4) Background statement describing Republic of Costa Rica (Antigua provided to NMFS by IATTC staff; (2) the applicant’s or nominee’s Convention). Meetings of the General advising and recommending measures qualifications and experience, Advisory Committee, except when in and actions to the U.S. Government that especially as related to fisheries for tuna executive session, shall be open to the should be undertaken to conserve and and tuna-like species in the eastern public, and prior notice of meetings manage stocks of living marine Pacific Ocean or other factors relevant to shall be made public in timely fashion. resources in the eastern Pacific Ocean; the implementation of the Convention

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Establishing the IATTC or the AIDCP; Please note that comments submitted agencies, in determining that the and after the comment period will not be financial institutions they supervise (5) A written statement from the accepted. In general, all comments comply with applicable provisions of applicant or nominee of intent to received will become public records, HMDA. participate actively and in good faith in including any personal information In accordance with 5 CFR 1320.11(f) the meetings and activities of either the provided. Sensitive personal and 1320.11(h), this information General Advisory Committee or the information, such as account numbers collection request (ICR) is being Scientific Advisory Subcommittee/ or social security numbers, should not National Scientific Advisory Committee, be included. submitted to OMB in association with the final rule for Regulation C (RIN or both. FOR FURTHER INFORMATION CONTACT: 3170–AA10), 80 FR 66127 published Applicants or nominees who Documentation prepared in support of October 28, 2015. Further, since the submitted material in response to the this information collection request is information collection requirements as Federal Register Notice published by available at www.reginfo.gov (this link the Department of State on March 25, active on the day following publication contained in current Regulation C are 2013 (78 FR 17993), or prior, should of this notice). Select ‘‘Information currently scheduled to expire on resubmit their applications pursuant to Collection Review,’’ under ‘‘Currently January 31, 2016, and the information this notice. under review’’, use the dropdown menu collection requirements as contained in Authority: 16 U.S.C. 951 et seq. ‘‘Select Agency’’ and select ‘‘Consumer the final rule for Regulation C will Financial Protection Bureau’’ (recent generally not become effective until Dated: January 13, 2016. submissions to OMB will be at the top January 1, 2018, this ICR is also Emily H. Menashes, of the list). The same documentation is contemporaneously being submitted to Acting Director, Office of Sustainable also available at http:// OMB under 5 CFR 1320.12, Clearance of Fisheries, National Marine Fisheries Service. www.regulations.gov. Requests for collections of information in current [FR Doc. 2016–00906 Filed 1–19–16; 8:45 am] additional information should be rules. The Bureau is requesting OMB to BILLING CODE 3510–22–P directed to the Consumer Financial extend for an additional three years its Protection Bureau, (Attention: PRA approval of the information collection Office), 1700 G Street NW., Washington, requirements as contained in current BUREAU OF CONSUMER FINANCIAL DC 20552, (202) 435-9575, or email: Regulation C. PROTECTION [email protected]. Please do not submit Request For Comments: The Bureau comments to this email box. [Docket No: CFPB–2016–0002] issued a 60-day Federal Register notice SUPPLEMENTARY INFORMATION: on November 10, 2015, (80 FR 69646). Agency Information Collection Title of Collection: Home Mortgage Comments were solicited and continue Activities: Submission for OMB Disclosure Act (Regulation C) 12 CFR to be invited on: (a) Whether the Review; Comment Request 1003. collection of information is necessary OMB Control Number: 3170–0008. AGENCY: Bureau of Consumer Financial Type of Review: Extension with for the proper performance of the Protection. change of a currently approved functions of the Bureau, including ACTION: Notice and request for comment. collection. whether the information will have Affected Public: For-profit businesses. practical utility; (b) The accuracy of the SUMMARY: In accordance with the Estimated Number of Respondents: Bureau’s estimate of the burden of the Paperwork Reduction Act of 1995 145. collection of information, including the (PRA), the Consumer Financial Estimated Total Annual Burden validity of the methods and the Protection Bureau (Bureau) is proposing Hours: 690,000. assumptions used; (c) Ways to enhance to extend a collection currently Abstract: The Home Mortgage the quality, utility, and clarity of the approved by the Office of Management Disclosure Act (HMDA) requires certain information to be collected; and (d) and Budget (OMB) titled ‘‘Home depository institutions and for-profit Ways to minimize the burden of the Mortgage Disclosure Act (Regulation C) nondepository institutions to collect, collection of information on 12 CFR 1003.’’ report, and disclose data about respondents, including through the use DATES: Written comments are originations and purchases of mortgage of automated collection techniques or encouraged and must be received on or loans, as well as mortgage loan other forms of information technology. before February 19, 2016 to be assured applications that do not result in Comments submitted in response to this of consideration. originations (for example, applications notice will be summarized and/or ADDRESSES: You may submit comments, that are denied or withdrawn). The included in the request for OMB identified by the title of the information Bureau’s Regulation C, 12 CFR part approval. All comments will become a collection, OMB Control Number (see 1003, implements HMDA. The purpose matter of public record. below), and docket number (see above), of the information collection is: (i) To by any of the following methods: help determine whether financial Dated: January 13, 2016. • Electronic: http:// institutions are serving the housing Darrin A. King, www.regulations.gov. Follow the needs of their communities; (ii) to assist Paperwork Reduction Act Officer, Bureau of instructions for submitting comments. public officials in distributing public- Consumer Financial Protection. • OMB: Office of Management and sector investment so as to attract private [FR Doc. 2016–01006 Filed 1–19–16; 8:45 am] Budget, New Executive Office Building, investment to areas where it is needed; BILLING CODE 4810–AM–P Room 10235, Washington, DC 20503 or and (iii) to assist in identifying possible fax to (202) 395–5806. Mailed or faxed discriminatory lending patterns and comments to OMB should be to the enforcing antidiscrimination statutes. attention of the OMB Desk Officer for The information collection will also the Bureau of Consumer Financial assist the CFPB’s examiners, and Protection. examiners of other federal supervisory

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DEPARTMENT OF DEFENSE FOR FURTHER INFORMATION CONTACT: To Armed Forces, 450 E Street Northwest, request more information on this Washington, DC 20442–0001, telephone Department of the Army proposed information collection or to (202) 761–1448. obtain a copy of the proposal and [Docket ID: USA–2014–0044] SUPPLEMENTARY INFORMATION: The Code associated collection instruments, Committee was established by Article Proposed Collection; Comment please write to the Army and Air Force 146(a), Uniform Code of Military Justice, Request Exchange Service, Office of the General 10 U.S.C. 946(a), which requires the Counsel, Compliance Division, Attn: Committee to meet at least annually. AGENCY: Army & Air Force Exchange Teresa Schreurs, 3911 South Walton This year’s meeting will be held at the Service (Exchange), DoD. Walker Blvd., Dallas, TX 75236–1598 or Courthouse of the United States Court of ACTION: Notice. call the Exchange Compliance Division Appeals for the Armed Forces, 450 E at 800–967–6067. Street NW., Washington, DC 20442– SUMMARY: In compliance with the SUPPLEMENTARY INFORMATION: 0001, at 10:00 a.m. on Tuesday, March Paperwork Reduction Act of 1995, the Title; Associated Form; and OMB 1, 2016. The agenda for this meeting Army & Air Force Exchange Service Number: Exchange Accounts Receivable will include consideration of proposed announces a proposed public Files; Exchange Form 6450–002 changes to the Uniform Code of Military information collection and seeks public ‘‘Military Star Card Application, Justice and the Manual for Courts- comment on the provisions thereof. Exchange Form 6450–005 ‘‘Exchange Martial, United States, and other matters Comments are invited on: (a) Whether Credit Program’’; OMB Control Number relating to the operation of the Uniform the proposed collection of information 0702–XXXX. Code of Military Justice throughout the is necessary for the proper performance Needs and Uses: The information Armed Forces. of the functions of the agency, including collection requirement is necessary to Dated: January 14, 2016. whether the information shall have process, monitor, and post audit Aaron Siegel, practical utility; (b) the accuracy of the accounts receivables to the Army and agency’s estimate of the burden of the Air Force Exchange Service; to Alternate OSD Federal Register Liaison Officer, Department of Defense. proposed information collection; (c) administer the Federal Claims ways to enhance the quality, utility, and Collection act and to answer inquiries [FR Doc. 2016–00995 Filed 1–19–16; 8:45 am] clarity of the information to be pertaining thereto as well as collection BILLING CODE 5001–06–P collected; and (d) ways to minimize the of indebtedness and determination of burden of the information collection on customer’s eligibility to cash checks at DEPARTMENT OF DEFENSE respondents, including through the use Exchange facilities. of automated collection techniques or Affected Public: Individuals or Office of the Secretary other forms of information technology. Households DATES: Consideration will be given to all Annual Burden Hours: 23,920 [Docket ID: DoD–2015–OS–0005] comments received by March 21, 2016. Number of Respondents: 239,201 Responses per Respondent: 1 Submission for OMB Review; ADDRESSES: You may submit comments, Average Burden per Response: 6 Comment Request identified by docket number and title, minutes by any of the following methods: ACTION: Notice. • Frequency: On Occasion Federal eRulemaking Portal: http:// Respondents are Exchange patrons, SUMMARY: The Department of Defense www.regulations.gov. Follow the potential patrons or past patrons who instructions for submitting comments. has submitted to OMB for clearance, the • are indebted to the Exchange. This may following proposal for collection of Mail: Department of Defense, Office include dishonored checks, deferred of the Deputy Chief Management information under the provisions of the payment plans, home layaway, Paperwork Reduction Act. Officer, Directorate of Oversight and pecuniary liability claims and credit DATES: Compliance, Regulatory and Audit cards. Consideration will be given to all Matters Office, 9010 Defense Pentagon, comments received by February 19, Washington, DC 20301–9010. Dated: January 14, 2016. 2016. Aaron Siegel, Instructions: All submissions received FOR FURTHER INFORMATION CONTACT: Fred must include the agency name, docket Alternate OSD Federal Register Liaison Licari, 571–372–0493. number and title for this Federal Officer, Department of Defense. SUPPLEMENTARY INFORMATION: Register document. The general policy [FR Doc. 2016–01003 Filed 1–19–16; 8:45 am] Title, Associated Form And OMB for comments and other submissions BILLING CODE 5001–06–P Number: Department of Defense from members of the public is to make Education Activity (DoDEA) Non- these submissions available for public DEPARTMENT OF DEFENSE Sponsored Research Program—Research viewing on the Internet at http:// Study Request Form; DoDEA Form www.regulations.gov as they are Office of the Secretary 2071.3–F1; OMB Control Number 0704– received without change, including any 0457. personal identifiers or contact U.S. Court of Appeals for the Armed Type of Request: Extension. information. Forces Code Committee Meeting Number of Respondents: 50. Any associated form(s) for this Responses per Respondent: 1. collection may be located within this ACTION: Notice of public meeting. Annual Responses: 50. same electronic docket and downloaded Average Burden per Response: 1 hour. for review/testing. Follow the SUMMARY: This notice announces the Annual Burden Hours: 50. instructions at http:// forthcoming public meeting of the Code Needs And Uses: The DoDEA receives www.regulations.gov for submitting Committee. requests from researchers to conduct comments. Please submit comments on FOR FURTHER INFORMATION CONTACT: non-DoDEA sponsored research studies any given form identified by docket William A. DeCicco, Clerk of Court, in DoDEA schools, districts, and/or number, form number, and title. United States Court of Appeals for the areas. To review the proposed research

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requests, DoDEA is seeking renewal for DEPARTMENT OF ENERGY Code gives DOE the authority to grant the DoDEA Administrative Instruction exclusive or partially exclusive licenses 2071.3 (DoDEA AI 2071.3) that includes National Energy Technology in Department-owned inventions where Form 1, ‘‘Research Study Request.’’ The Laboratory; Notice of Intent to Grant a determination is made, among other DoDEA ‘‘Research Study Request’’ Exclusive Licenses things, that the desired practical collects information about the AGENCY: National Energy Technology application of the invention has not researcher, the research project, Laboratory, DOE. been achieved, or is not likely to be audience, timeline, and the statistical achieved expeditiously, under a analyses that will be conducted during ACTION: Notice of Intent to Grant Exclusive Licenses. nonexclusive license. The statute and the proposed research study. This implementing regulations (37 CFR 404) information is needed to ensure that the SUMMARY: This notice is issued in require that the necessary proposed non-DoDEA sponsored accordance with 35 U.S.C. 209(c)(1) and determinations be made after public research does not unduly interfere with 37 CFR 404.7(a)(1)(i). The National notice and opportunity for filing written the classroom instructional process or Energy Technology Laboratory (NETL) comments and objections. the regular operations of the school, hereby gives notice that the Department Liquid Ion Solutions, a small district, and/or areas. of Energy (DOE) intends to grant business, has applied for exclusive Affected Public: Individuals or exclusive licenses to practice the licenses to practice the inventions and households. inventions described and claimed in patents and has plans for Frequency: On occasion. U.S. Patent Number 8,907,105, ‘‘1,2,3- Triazolium ionic liquids’’; U.S. Patent commercialization of the inventions and Respondent’s Obligation: Required to patents. DOE intends to grant the obtain or retain benefits. Number 8,906,135, ‘‘Method of Purifying a Gas Stream Using 1,2,3- licenses, upon a final determination in OMB Desk Officer: Ms. Jasmeet Tirazolium ionic liquids’’; U.S. Patent accordance with 35 U.S.C. 209(c), Seehra. Application Number 14/951,210, unless within 15 days of publication of Comments and recommendations on ‘‘Synthesis and Polymerization of vinyl this notice, NETL’s Technology Transfer the proposed information collection triazolium ionic liquids’’, and Manager (contact information listed should be emailed to Ms. Jasmeet International Patent Application above), receives in writing any of the Seehra, DoD Desk Officer, at Oira_ Number PCT/US2015/057769, ‘‘Ionic, following, together with supporting [email protected]. Please 1,2,3-Triazolium-based, cross linked documents: identify the proposed information polymeric films for gas separation’’ to (i) A statement from any person collection by DoD Desk Officer and the Liquid Ion Solutions, a small business, setting forth reasons why it would not Docket ID number and title of the having its principal place of business in be in the best interest of the United information collection. Pittsburgh, PA. The inventions and States to grant the proposed license; or You may also submit comments and patents are owned by United States of recommendations, identified by Docket America, as represented by DOE. The (ii) An application for a nonexclusive ID number and title, by the following prospective exclusive licenses comply license to the invention, in which method: with the requirements of 35 U.S.C. 209 applicant states that it already has brought the invention to practical • Federal eRulemaking Portal: http:// and 37 CFR 404.7. application or is likely to bring the www.regulations.gov. Follow the DATES: Written comments, objections, or invention to practical application instructions for submitting comments. nonexclusive license applications must be received at the address listed below expeditiously. Instructions: All submissions received no later than fifteen (15) days after the must include the agency name, Docket The proposed licenses would be date of this published Notice. ID number and title for this Federal exclusive, subject to a license and other Objections submitted in response to this Register document. The general policy rights retained by the United States, and notice will not be made available to the for comments and other submissions subject to a negotiated royalty. DOE will public for inspection and, to the extent from members of the public is to make review all timely written responses to permitted by law, will not be released these submissions available for public this notice, and will grant the licenses under the Freedom of Information Act, viewing on the Internet at http:// if, after expiration of the 15-day notice 5 U.S.C. 552. www.regulations.gov as they are period, and after consideration of any received without change, including any ADDRESSES: Comments, applications for written responses to this notice, a personal identifiers or contact nonexclusive licenses, or objections determination is made in accordance information. relating to the prospective exclusive with 35 U.S.C. 209(c) that the licenses license should be submitted to Jessica DOD Clearance Officer: Mr. Frederick are in the public interest. Sosenko, Technology Transfer Program Licari. Manager, U.S. Department of Energy, Grace M. Bochenek, Written requests for copies of the National Energy Technology Laboratory, Director, National Energy Technology information collection proposal should P.O. Box 10940, Pittsburgh, PA 15236– Laboratory. be sent to Mr. Licari at WHS/ESD 0940 or via facsimile to (412) 386–4183. [FR Doc. 2016–00890 Filed 1–19–16; 8:45 am] Directives Division, 4800 Mark Center FOR FURTHER INFORMATION CONTACT: BILLING CODE P Drive, East Tower, Suite 02G09, Jessica Sosenko, Technology Transfer Alexandria, VA 22350–3100. Program Manager, U.S. Department of Dated: January 14, 2016. Energy, National Energy Technology Aaron Siegel, Laboratory, P.O. Box 10940, Pittsburgh, Alternate OSD Federal Register Liaison PA 15236; Telephone (412) 386–7417; Officer, Department of Defense. Email: [email protected]. [FR Doc. 2016–00999 Filed 1–19–16; 8:45 am] SUPPLEMENTARY INFORMATION: Section BILLING CODE 5001–06–P 209(c) of title 35 of the United States

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DEPARTMENT OF ENERGY Online service, please email comment date. Anyone filing a motion [email protected]. or call to intervene or protest must serve a copy Federal Energy Regulatory (866) 208–3676 (toll free). For TTY, call of that document on the Applicant and Commission (202) 502–8659. all the parties in this proceeding. [Docket No. ER16–722–000] Dated: January 13, 2016. The Commission encourages electronic submission of protests and Nathaniel J. Davis, Sr., Current Power & Gas Inc.; interventions in lieu of paper using the Deputy Secretary. Supplemental Notice That Initial ‘‘eFiling’’ link at http://www.ferc.gov. Market-Based Rate Filing Includes [FR Doc. 2016–00970 Filed 1–19–16; 8:45 am] Persons unable to file electronically Request for Blanket Section 204 BILLING CODE 6717–01–P should submit an original and 5 copies Authorization of the protest or intervention to the Federal Energy Regulatory Commission, This is a supplemental notice in the DEPARTMENT OF ENERGY 888 First Street NE., Washington, DC above-referenced proceeding Current 20426. Power & Gas Inc.’s application for Federal Energy Regulatory Commission This filing is accessible on-line at market-based rate authority, with an http://www.ferc.gov, using the accompanying rate tariff, noting that [Docket No. EL11–66–000] ‘‘eLibrary’’ link and is available for such application includes a request for electronic review in the Commission’s blanket authorization, under 18 CFR Notice of Filing Public Reference Room in Washington, part 34, of future issuances of securities Martha Coakley, Massachusetts Attorney DC. There is an ‘‘eSubscription’’ link on and assumptions of liability. the Web site that enables subscribers to Any person desiring to intervene or to General; Connecticut Public Utilities Regulatory Authority; Massachusetts receive email notification when a protest should file with the Federal Department of Public Utilities; New document is added to a subscribed Energy Regulatory Commission, 888 Hampshire Public Utilities Commission; docket(s). For assistance with any FERC First Street NE., Washington, DC 20426, Connecticut Office of Consumer Counsel; Online service, please email in accordance with Rules 211 and 214 Maine Office of the Public Advocate; George [email protected], or call of the Commission’s Rules of Practice Jepsen, Connecticut Attorney General; New (866) 208–3676 (toll free). For TTY, call Hampshire Office of Consumer Advocate; and Procedure (18 CFR 385.211 and (202) 502–8659. 385.214). Anyone filing a motion to Rhode Island Division of Public Utilities and Carriers; Vermont Department of Public Comment Date: 5:00 p.m. Eastern intervene or protest must serve a copy Time on February 1, 2016. of that document on the Applicant. Service; Massachusetts Municipal Wholesale Notice is hereby given that the Electric Company; Associated Industries of Dated: January 13, 2016. Massachusetts; The Energy Consortium; Nathaniel J. Davis, Sr., deadline for filing protests with regard Power Options, Inc.; and the Industrial to the applicant’s request for blanket Energy Consumer Group, v. Bangor Hydro- Deputy Secretary. authorization, under 18 CFR part 34, of Electric Company; Central Maine Power [FR Doc. 2016–00965 Filed 1–19–16; 8:45 am] future issuances of securities and Company; New England Power Company d/ BILLING CODE 6717–01–P assumptions of liability, is February 2, b/a National Grid; New Hampshire 2016. Transmission LLC d/b/a NextEra; NSTAR The Commission encourages Electric and Gas Corporation; Northeast DEPARTMENT OF ENERGY electronic submission of protests and Utilities Service Company; The United interventions in lieu of paper, using the Illuminating Company; Unitil Energy Federal Energy Regulatory Systems, Inc. and Fitchburg Gas and Electric Commission FERC Online links at http:// Light Company; Vermont Transco, LLC www.ferc.gov. To facilitate electronic service, persons with Internet access Take notice that on January 11, 2016, Sunshine Act Meeting Notice who will eFile a document and/or be The United Illuminating Company The following notice of meeting is listed as a contact for an intervenor submitted a Supplement to December published pursuant to section 3(a) of the must create and validate an 31, 2015 tariff filing per: Refund Report government in the Sunshine Act (Pub. eRegistration account using the to be effective N/A, pursuant to the L. 94–409), 5 U.S.C. 552b: Commission’s Opinion No. 531–A, eRegistration link. Select the eFiling AGENCY HOLDING MEETING: Federal issued on October 16, 2014.1 link to log on and submit the Energy Regulatory Commission. intervention or protests. Any person desiring to intervene or to DATE AND TIME: January 21, 2016, 10:00 Persons unable to file electronically protest this filing must file in a.m. should submit an original and 5 copies accordance with Rules 211 and 214 of of the intervention or protest to the the Commission’s Rules of Practice and PLACE: Room 2C, 888 First Street NE., Federal Energy Regulatory Commission, Procedure (18 CFR 385.211, 385.214). Washington, DC 20426. 888 First Street NE., Washington, DC Protests will be considered by the STATUS: OPEN. 20426. Commission in determining the MATTERS TO BE CONSIDERED: Agenda. The filings in the above-referenced appropriate action to be taken, but will * NOTE—Items listed on the agenda proceeding are accessible in the not serve to make protestants parties to may be deleted without further notice. Commission’s eLibrary system by the proceeding. Any person wishing to CONTACT PERSON FOR MORE INFORMATION: clicking on the appropriate link in the become a party must file a notice of Kimberly D. Bose, Secretary, Telephone above list. They are also available for intervention or motion to intervene, as (202) 502–8400. electronic review in the Commission’s appropriate. Such notices, motions, or For a recorded message listing items Public Reference Room in Washington, protests must be filed on or before the struck from or added to the meeting, call DC. There is an eSubscription link on (202) 502–8627. the Web site that enables subscribers to 1 Martha Coakley, Mass. Attorney Gen., et al. v. This is a list of matters to be Bangor Hydro-Elec. Co., et al., Opinion No. 531, 147 receive email notification when a FERC ¶ 61,234 (2014) (Opinion No. 531), order on considered by the Commission. It does document is added to a subscribed paper hearing, Opinion No. 531–A, 149 FERC not include a listing of all documents docket(s). For assistance with any FERC ¶ 61,032 (2014) (Opinion No. 531–A). relevant to the items on the agenda. All

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public documents, however, may be Web site at http://www.ferc.gov using in the Commission’s Public Reference viewed on line at the Commission’s the eLibrary link, or may be examined Room. 1023RD—MEETING, REGULAR MEETING [January 21, 2016 10:00 a.m.]

Item No Docket No. Company

ADMINISTRATIVE

A–1 ...... AD16–1–000 ...... Agency Administrative Matters

A–2 ...... AD16–7–000 ...... Customer Matters, Reliability, Security and Market Operations

ELECTRIC

E–1 ...... RM16–5–000 ...... Offer Caps in Markets Operated by Regional Transmission Organizations and Independent System Operators E–2 ...... RM15–14–000 ...... Revised Critical Infrastructure Protection Reliability Standards E–3 ...... ER14–1174–000 ...... Southwest Power Pool, Inc. EL11–34–002 ...... Midwest Independent Transmission System Operator, Inc. EL14–21–000 ...... Southwest Power Pool, Inc. v. Midcontinent Independent System Operator, Inc. EL14–30–000 ...... Midcontinent Independent System Operator, Inc. v. Southwest Power Pool, Inc. E–4 ...... ER14–1174–001 ...... Southwest Power Pool, Inc. EL11–34–003 ...... Midwest Independent Transmission System Operator, Inc. EL14–21–001 ...... Southwest Power Pool, Inc. v. Midcontinent Independent System Operator, Inc. EL14–30–001 ...... Midcontinent Independent System Operator, Inc. v. Southwest Power Pool, Inc. E–5 ...... ER16–56–000 ...... Midcontinent Independent System Operator, Inc. E–6 ...... QM14–3–000 ...... Entergy Services, Inc. Entergy Arkansas, Inc. Entergy Gulf States Louisiana, L.L.C. Entergy Louisiana, LLC Entergy Mississippi, Inc. Entergy New Orleans, Inc. Entergy Texas, Inc. E–7 ...... QM15–3–000 ...... Arkansas Electric Cooperative Corporation E–8 ...... ER15–2418–001 ...... Pacific Gas and Electric Company EL15–30–001 (Consolidated) ... San Francisco Bay Area Rapid Transit District v. Pacific Gas and Electric Company E–9 ...... OMITTED. E–10 ...... ER15–1783–001 ...... California Independent System Operator Corporation E–11 ...... EL15–96–000 ...... Backyard Farms Energy LLC Devonshire Energy LLC

MISCELLANEOUS

M–1 ...... RM15–26–000 ...... Instant Final Rule Transferring Certain Dispute Resolution Service Matters to the Commission’s Landowner Helpline

GAS

G–1 ...... RP16–302–000 ...... Columbia Gulf Transmission, LLC G–2 ...... RP16–301–000 ...... Iroquois Gas Transmission System, L.P. G–3 ...... RP16–300–000 ...... Empire Pipeline, Inc. G–4 ...... RP16–299–000 ...... Tuscarora Gas Transmission Company

HYDRO

H–1 ...... P–2114–276 ...... Public Utility District No. 2 of Grant County, Washington

CERTIFICATES

C–1 ...... OMITTED.

C–2 ...... CP15–105–000 ...... Texas Gas Transmission, Inc.

Dated: January 14, 2016. locating this event in the Calendar. The www.CapitolConnection.org or contact Nathaniel J. Davis, Sr., event will contain a link to its Web cast. Danelle Springer or David Reininger at Deputy Secretary. The Capitol Connection provides 703–993–3100. A free Web cast of this event is technical support for the free Web casts. Immediately following the conclusion available through www.ferc.gov. Anyone It also offers access to this event via of the Commission Meeting, a press with Internet access who desires to view television in the DC area and via phone briefing will be held in the Commission this event can do so by navigating to bridge for a fee. If you have any Meeting Room. Members of the public www.ferc.gov’s Calendar of Events and questions, visit may view this briefing in the designated

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overflow room. This statement is can be found at: http://www.ferc.gov/ Accession Number: 20160113–5196. intended to notify the public that the docs-filing/efiling/filing-req.pdf. For Comments Due: 5 p.m. ET 2/3/16. press briefings that follow Commission other information, call (866) 208–3676 Docket Numbers: ER16–729–000. meetings may now be viewed remotely (toll free). For TTY, call (202) 502–8659. Applicants: AEP Texas Central at Commission headquarters, but will Dated: January 12, 2016. Company. not be telecast through the Capitol Nathaniel J. Davis, Sr., Description: § 205(d) Rate Filing: TCC- Connection service. San Roman Wind I Interconnection Deputy Secretary. [FR Doc. 2016–01113 Filed 1–15–16; 4:15 pm] Agreement-2nd Amendment to be [FR Doc. 2016–00932 Filed 1–19–16; 8:45 am] BILLING CODE 6717–01–P effective 12/17/2015. BILLING CODE 6717–01–P Filed Date: 1/13/16. Accession Number: 20160113–5208. Comments Due: 5 p.m. ET 2/3/16. DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY The filings are accessible in the Federal Energy Regulatory Federal Energy Regulatory Commission’s eLibrary system by Commission Commission clicking on the links or querying the docket number. Combined Notice of Filings Combined Notice of Filings #2 Any person desiring to intervene or Take notice that the Commission has protest in any of the above proceedings Take notice that the Commission must file in accordance with Rules 211 received the following Natural Gas received the following electric rate Pipeline Rate and Refund Report filings: and 214 of the Commission’s filings: Regulations (18 CFR 385.211 and Filings Instituting Proceedings Docket Numbers: ER16–724–000. 385.214) on or before 5:00 p.m. Eastern Applicants: Midcontinent Docket Numbers: RP16–375–000. time on the specified comment date. Independent System Operator, Inc., ITC Applicants: Gas Transmission Protests may be considered, but Midwest LLC. Northwest LLC. intervention is necessary to become a Description: § 205(d) Rate Filing: Description: Interruptible party to the proceeding. 2016–01–13_SA 2883 ITC Midwest- Transportation Revenue Refund Report eFiling is encouraged. More detailed MidAmerican FSA (H009) to be for the Coyote Springs Lateral of Gas information relating to filing effective 3/13/2016. Transmission Northwest LLC under requirements, interventions, protests, Filed Date: 1/13/16. RP16–375. service, and qualifying facilities filings Accession Number: 20160113–5132. Filed Date: 1/11/16. can be found at: http://www.ferc.gov/ Comments Due: 5 p.m. ET 2/3/16. Accession Number: 20160111–5190. docs-filing/efiling/filing-req.pdf. For Comments Due: 5 p.m. ET 1/25/16. Docket Numbers: ER16–725–000. other information, call (866) 208–3676 Docket Numbers: RP16–376–000. Applicants: PJM Interconnection, (toll free). For TTY, call (202) 502–8659. Applicants: Equitrans, L.P. L.L.C. Description: § 205(d) Rate Filing: Dated: January 13, 2016. Description: Section 4(d) Rate Filing: Nathaniel J. Davis, Sr., Assignment Update to be effective 2/11/ Service Agreement No. 4332; Queue Deputy Secretary. 2016. AA1–139; SA No. 4216 Cancellation to Filed Date: 1/11/16. be effective 12/14/2015. [FR Doc. 2016–00964 Filed 1–19–16; 8:45 am] Accession Number: 20160111–5295. Filed Date: 1/13/16. BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 1/25/16. Accession Number: 20160113–5133. Comments Due: 5 p.m. ET 2/3/16. Docket Numbers: RP16–377–000. DEPARTMENT OF ENERGY Applicants: Equitrans, L.P. Docket Numbers: ER16–726–000. Description: Section 4(d) Rate Filing: Applicants: Midcontinent Federal Energy Regulatory Negotiated Capacity Release Independent System Operator, Inc., Commission Agreements—01/11/2016 to be effective Duke Energy Indiana, LLC. 1/11/2016. Description: § 205(d) Rate Filing: [Docket No. ER16–39–001] Filed Date: 1/11/16. 2016–01–13_SA 1893 Duke Energy- Kingbird Solar B, LLC; Supplemental Accession Number: 20160111–5320. Hoosier Energy 1st Rev. IA to be Comments Due: 5 p.m. ET 1/25/16. effective 3/13/2016. Notice That Initial Market-Based Rate Filed Date: 1/13/16. Filing Includes Request for Blanket The filings are accessible in the Section 204 Authorization Commission’s eLibrary system by Accession Number: 20160113–5134. clicking on the links or querying the Comments Due: 5 p.m. ET 2/3/16. This is a supplemental notice in the docket number. Docket Numbers: ER16–727–000. above-referenced proceeding of Any person desiring to intervene or Applicants: PacifiCorp. Kingbird Solar B, LLC’s application for protest in any of the above proceedings Description: § 205(d) Rate Filing: market-based rate authority, with an must file in accordance with Rules 211 Exelon Generation NITSA Rev 1 to be accompanying rate tariff, noting that and 214 of the Commission’s effective 1/1/2016. such application includes a request for Regulations (18 CFR 385.211 and Filed Date: 1/13/16. blanket authorization, under 18 CFR 385.214) on or before 5:00 p.m. Eastern Accession Number: 20160113–5149. part 34, of future issuances of securities time on the specified comment date. Comments Due: 5 p.m. ET 2/3/16. and assumptions of liability. Protests may be considered, but Docket Numbers: ER16–728–000. Any person desiring to intervene or to intervention is necessary to become a Applicants: Midcontinent protest should file with the Federal party to the proceeding. Independent System Operator, Inc. Energy Regulatory Commission, 888 eFiling is encouraged. More detailed Description: § 205(d) Rate Filing: First Street NE., Washington, DC 20426, information relating to filing 2016–01–13_Cancellation of RS 44 in accordance with Rules 211 and 214 requirements, interventions, protests, ORCA to be effective 2/1/2016. of the Commission’s Rules of Practice service, and qualifying facilities filings Filed Date: 1/13/16. and Procedure (18 CFR 385.211 and

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385.214). Anyone filing a motion to Rhode Island Division of Public Utilities and Comment Date: 5:00 p.m. Eastern intervene or protest must serve a copy Carriers; Vermont Department of Public Time on February 3, 2016. Service; Massachusetts Municipal Wholesale of that document on the Applicant. Dated: January 13, 2016. Notice is hereby given that the Electric Company; Associated Industries of Nathaniel J. Davis, Sr., deadline for filing protests with regard Massachusetts; The Energy Consortium; Power Options, Inc.; and the Industrial to the applicant’s request for blanket Deputy Secretary. Energy Consumer Group, v. Bangor Hydro- [FR Doc. 2016–00966 Filed 1–19–16; 8:45 am] authorization, under 18 CFR part 34, of Electric Company; Central Maine Power future issuances of securities and Company; New England Power Company d/ BILLING CODE 6717–01–P assumptions of liability, is February 2, b/a National Grid; New Hampshire 2016. Transmission LLC d/b/a NextEra; NSTAR The Commission encourages Electric and Gas Corporation; Northeast DEPARTMENT OF ENERGY electronic submission of protests and Utilities Service Company; The United Federal Energy Regulatory interventions in lieu of paper, using the Illuminating Company; Unitil Energy Commission FERC Online links at http:// Systems, Inc. and Fitchburg Gas and Electric www.ferc.gov. To facilitate electronic Light Company; Vermont Transco, LLC service, persons with Internet access Take notice that on January 13, 2016, [Docket Nos. EL16–6–001, ER16–121–000] who will eFile a document and/or be Vermont Transco LLC submitted tariff listed as a contact for an intervenor filing per: Refund Report to be effective PJM Interconnection, L.L.C.; Notice of must create and validate an N/A, pursuant to the Commission’s Technical Conference eRegistration account using the Opinion No. 531–A, issued on October By order dated December 28, 2015,1 eRegistration link. Select the eFiling 16, 2014.1 the Commission directed its staff to link to log on and submit the Any person desiring to intervene or to convene a technical conference in this intervention or protests. protest this filing must file in Persons unable to file electronically accordance with Rules 211 and 214 of proceeding, based on its finding that the should submit an original and 5 copies the Commission’s Rules of Practice and issues raised by PJM Interconnection, of the intervention or protest to the Procedure (18 CFR 385.211, 385.214). L.L.C. (PJM) in its filing, regarding the Federal Energy Regulatory Commission, Protests will be considered by the allocation of Auction Revenue Rights 888 First Street NE., Washington, DC Commission in determining the (ARR) and Financial Transmission 20426. appropriate action to be taken, but will Rights (FTR), required the development The filings in the above-referenced not serve to make protestants parties to of a more complete record. As directed proceeding are accessible in the the proceeding. Any person wishing to by the December 28 Order, the technical Commission’s eLibrary system by become a party must file a notice of conference will focus on whether PJM’s clicking on the appropriate link in the intervention or motion to intervene, as existing ARR/FTR tariff provisions are above list. They are also available for appropriate. Such notices, motions, or unjust and unreasonable and whether electronic review in the Commission’s protests must be filed on or before the PJM’s proposed revisions to its tariff Public Reference Room in Washington, comment date. Anyone filing a motion addressing these matters are just and DC. There is an eSubscription link on to intervene or protest must serve a copy reasonable. As further specified by the the Web site that enables subscribers to of that document on the Applicant and Commission, issues to be addressed at receive email notification when a all the parties in this proceeding. the technical conference will include, but are not limited to: (i) PJM’s ARR document is added to a subscribed The Commission encourages modeling and allocation processes; (ii) docket(s). For assistance with any FERC electronic submission of protests and treatment of portfolio positions in Online service, please email interventions in lieu of paper using the allocating underfunding or surplus [email protected]. or call ‘‘eFiling’’ link at http://www.ferc.gov. among FTR holders and the potential for (866) 208–3676 (toll free). For TTY, call Persons unable to file electronically market manipulation; and (iii) balancing (202) 502–8659. should submit an original and 5 copies congestion in ARR/FTR product design. Dated: January 13, 2016. of the protest or intervention to the Nathaniel J. Davis, Sr., Federal Energy Regulatory Commission, Take notice that the technical conference will be held on February 4, Deputy Secretary. 888 First Street NE., Washington, DC 20426. 2016, in the Commission Meeting Room, [FR Doc. 2016–00969 Filed 1–19–16; 8:45 am] at 888 First Street NE., Washington, DC BILLING CODE 6717–01–P This filing is accessible on-line at http://www.ferc.gov, using the 20426, between 9:30 a.m. and 5:00 p.m. ‘‘eLibrary’’ link and is available for (Eastern Standard Time).2 The DEPARTMENT OF ENERGY electronic review in the Commission’s Chairman and Commissioners may Public Reference Room in Washington, attend and participate in the technical Federal Energy Regulatory DC. There is an ‘‘eSubscription’’ link on conference. Commission the Web site that enables subscribers to The technical conference will be led [Docket No. EL11–66–000] receive email notification when a by Commission staff. All interested document is added to a subscribed participants are invited to attend, and Notice of Filing docket(s). For assistance with any FERC participants who wish to contribute are Online service, please email invited to nominate themselves to speak Martha Coakley, Massachusetts Attorney [email protected], or call at the conference by contacting a General; Connecticut Public Utilities (866) 208–3676 (toll free). For TTY, call member of the staff listed below and Regulatory Authority; Massachusetts (202) 502–8659. Department of Public Utilities; New 1 PJM Interconnection, L.L.C., 153 FERC ¶ 61,344 Hampshire Public Utilities Commission; 1 Martha Coakley, Mass. Attorney Gen., et al. v. (2015) (December 28 Order). Connecticut Office of Consumer Counsel; Bangor Hydro-Elec. Co., et al., Opinion No. 531, 147 2 If the technical conference cannot be held on Maine Office of the Public Advocate; George FERC ¶ 61,234 (2014) (Opinion No. 531), order on February 4, 2016 due to unavoidable circumstances, Jepsen, Connecticut Attorney General; New paper hearing, Opinion No. 531–A, 149 FERC including inclement weather, February 9, 2016 is Hampshire Office of Consumer Advocate; ¶ 61,032 (2014) (Opinion No. 531–A). reserved as the back-up date.

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submitting a speaker nomination form.3 Commission, 888 First Street NE., Description: § 4(d) Rate Filing: 01/12/ Due to time constraints, we may not be Washington, DC 20426, (202) 502– 16 Negotiated Rates—Mercuria Energy able to accommodate all those interested 6179, [email protected] Gas Trading LLC (HUB) 7540–89 to be in speaking. Further details and a formal Kent Carter (Legal Information), Office effective 1/11/2016. agenda will be issued prior to the of General Counsel, Federal Energy Filed Date: 1/12/16. technical conference. The technical Regulatory Commission, 888 First Accession Number: 20160112–5230. conference will be open for the public Street NE., Washington, DC 20426, Comments Due: 5 p.m. ET 1/25/16. to attend. Advanced registration is not (202) 502–8604, [email protected] The filings are accessible in the required, but we encourage those Daniel Kheloussi (Technical Commission’s eLibrary system by planning to attend the conference to Information), Office of Energy Policy clicking on the links or querying the register through the Commission’s Web and Innovation, Federal Energy docket number. site.4 We will provide nametags for Regulatory Commission, 888 First Any person desiring to intervene or those who register on or before January Street NE., Washington, DC 20426, protest in any of the above proceedings 28, 2016. Attendees should allow time (202) 502–6391, Daniel.Kheloussi@ must file in accordance with Rules 211 to pass through building security ferc.gov and 214 of the Commission’s procedures before the 9:30 a.m. (EST) Dated: January 13, 2016. Regulations (18 CFR 385.211 and start time of the technical conference. § 385.214) on or before 5:00 p.m. Eastern Information regarding the technical Nathaniel J. Davis, Sr., Deputy Secretary. time on the specified dates. Protests conference will be posted on the may be considered, but intervention is Calendar of Events on the Commission’s [FR Doc. 2016–00968 Filed 1–19–16; 8:45 am] 5 necessary to become a party to the Web site, prior to the event. The BILLING CODE 6717–01–P proceeding. technical conference will also be eFiling is encouraged. More detailed webcast, via the Calendar of Events, and DEPARTMENT OF ENERGY information relating to filing transcribed. Transcripts will be requirements, interventions, protests, available for a fee from Ace-Federal service, and qualifying facilities filings Reports, Inc.6 The webcast will remain Federal Energy Regulatory can be found at: http://www.ferc.gov/ available on the Commission’s Web site Commission docs-filing/efiling/filing-req.pdf. For for three months following the technical Combined Notice of Filings other information, call (866) 208–3676 conference. The Capitol Connection (toll free). For TTY, call (202) 502–8659. provides technical support for the Take notice that the Commission has webcast and offers the option of received the following Natural Gas Dated January 13, 2016. listening to the technical conference via Pipeline Rate and Refund Report filings: Nathaniel J. Davis, Sr., phone-bridge for a fee.7 The webcast Deputy Secretary. Filings Instituting Proceedings will allow persons to listen to the [FR Doc. 2016–00967 Filed 1–19–16; 8:45 am] technical conference, but not Docket Number: PR16–11–000. BILLING CODE 6717–01–P participate. Applicants: ONEOK WesTex Commission conferences are Transmission, L.L.C. accessible under section 508 of the Description: Tariff filing per DEPARTMENT OF ENERGY Rehabilitation Act of 1973. For 284.123(b)(1) + (g): Petition for Firm 311 accessibility accommodations please Service to be effective 1/1/2016; Filing Federal Energy Regulatory send an email to [email protected] Type: 1300. Commission or call toll free 1–866–208–3372 (voice) Filed Date: 1/11/2016. or 202–502–8659 (TTY); or send a fax to Accession Number: 201601115266. Combined Notice of Filings #1 202–208–2106 with the required Comments Due: 5 p.m. ET 2/1/16. Take notice that the Commission accommodations. 284.123(g) Protests Due: 5 p.m. ET 3/ received the following electric rate For more information about this 11/16. filings: technical conference, please contact: Docket Numbers: RP16–378–000. Docket Numbers: ER15–1250–000. Sarah McKinley (Logistical Applicants: Gulf Crossing Pipeline Applicants: ITC Midwest LLC. Information), Office of External Company LLC. Description: Formal Challenge of Affairs, Federal Energy Regulatory Description: § 4(d) Rate Filing: Interstate Power and Light Company to Commission, 888 First Street NE., Amendment to Neg Rate Agmt (Devon Inputs into Formula Rate of ITC Washington, DC 20426, (202) 502– 10–15) to be effective 1/12/2016. Midwest, LLC. 8004, [email protected] Filed Date: 1/12/16. Filed Date: 12/18/15. Pamela Quinlan (Technical Accession Number: 20160112–5084. Accession Number: 20151218–5279. Information), Office of Energy Market Comments Due: 5 p.m. ET 1/25/16. Comments Due: 5 p.m. ET 2/3/16. Regulation, Federal Energy Regulatory Docket Numbers: RP16–379–000. Docket Numbers: ER16–193–001. 3 The speaker nomination form is located at Applicants: Transcontinental Gas Applicants: PacifiCorp. https://www.ferc.gov/whats-new/registration/02-04- Pipe Line Company. Description: Tariff Amendment: 16-speaker-form.asp. Description: § 4(d) Rate Filing: Update WECC Unscheduled Flow Mitigation 4 The registration form is located at https://www. List of Non-Confroming Service Plan Rev 2b Deficiency Filing to be ferc.gov/whats-new/registration/02-04-16-form.asp. Agreements (Leidy Southeast) to be effective 1/1/2016. 5 The FERC Calendar of Events site may be accessed at: www.ferc.gov/EventCalendar/ effective 2/12/2016. Filed Date: 1/12/16. EventsList.aspx?View=monthview. Filed Date: 1/12/16. Accession Number: 20160112–5229. 6 The Web site for ACE-Federal Reports, Inc. is Accession Number: 20160112–5228. Comments Due: 5 p.m. ET 2/2/16. www.acefederal.com and the phone number is 202– Comments Due: 5 p.m. ET 1/25/16. Docket Numbers: ER16–206–002. 347–3700. 7 If you have any questions, visit Capitol Docket Numbers: RP16–380–000. Applicants: Midcontinent Connection’s Web site at Applicants: Iroquois Gas Independent System Operator, Inc., ITC www.CapitolConnection.org, or call 703–993–3100. Transmission System, L.P. Midwest LLC.

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Description: Tariff Amendment: clicking on the links or querying the pesticide’s registration is based on 2016–01–12_SA 2862 Deficiency docket number. current scientific and other knowledge, Response ITCM–WPL FSA (G870) to be Any person desiring to intervene or including its effects on human health effective 11/1/2015. protest in any of the above proceedings and the environment. Filed Date: 1/12/16. must file in accordance with Rules 211 DATES: Comments must be received on Accession Number: 20160112–5083. and 214 of the Commission’s or before March 21, 2016. Comments Due: 5 p.m. ET 2/2/16. Regulations (18 CFR 385.211 and ADDRESSES: Submit your comments, 385.214) on or before 5:00 p.m. Eastern Docket Numbers: ER16–487–001. identified by docket identification (ID) time on the specified comment date. Applicants: Pacific Gas and Electric number EPA–HQ–OPP–2008–0316, by Protests may be considered, but Company. one of the following methods: intervention is necessary to become a Description: Tariff Amendment: Errata • Federal eRulemaking Portal: http:// party to the proceeding. Filing for the Transmission Access www.regulations.gov. Follow the online Charge Balancing Account Adjustment eFiling is encouraged. More detailed information relating to filing instructions for submitting comments. to be effective 3/1/2016. Do not submit electronically any Filed Date: 1/12/16. requirements, interventions, protests, service, and qualifying facilities filings information you consider to be Accession Number: 20160112–5247. Confidential Business Information (CBI) Comments Due: 5 p.m. ET 2/2/16. can be found at: http://www.ferc.gov/ docs-filing/efiling/filing-req.pdf. For or other information whose disclosure is Docket Numbers: ER16–696–001. restricted by statute. Applicants: Midcontinent other information, call (866) 208–3676 • (toll free). For TTY, call (202) 502–8659. Mail: OPP Docket, Environmental Independent System Operator, Inc. Protection Agency Docket Center (EPA/ Description: Compliance filing: 2016– Dated: January 13, 2016. DC), (28221T), 1200 Pennsylvania Ave. 01–12_Amendment to Attachment X Nathaniel J. Davis, Sr., NW., Washington, DC 20460–0001. Funding Options Filing to be effective Deputy Secretary. • Hand Delivery: To make special 8/1/2015. [FR Doc. 2016–00963 Filed 1–19–16; 8:45 am] arrangements for hand delivery or Filed Date: 1/12/16. BILLING CODE 6717–01–P delivery of boxed information, please Accession Number: 20160112–5176. follow the instructions at http://www. Comments Due: 5 p.m. ET 2/2/16. epa.gov/dockets/contacts.html. Docket Numbers: ER16–721–000. ENVIRONMENTAL PROTECTION Additional instructions on Applicants: Deseret Generation & AGENCY commenting or visiting the docket, Transmission Co-operative, Inc. along with more information about Description: § 205(d) Rate Filing: [EPA–HQ–OPP–2008–0316; FRL–9940–81] dockets generally, is available at Attachment K eTariff Record Cleanup Tetrachlorvinphos Registration http://www.epa.gov/dockets. Filing to be effective 1/1/2016. Review; Draft Human Health and FOR FURTHER INFORMATION CONTACT: For Filed Date: 1/12/16. Ecological Risk Assessment; Notice of pesticide specific information contact: Accession Number: 20160112–5220. Availability James Parker, Chemical Review Comments Due: 5 p.m. ET 2/2/16. Manager, Pesticide Re-Evaluation Docket Numbers: ER16–722–000. AGENCY: Environmental Protection Division (7508P), Office of Pesticide Applicants: Current Power & Gas Inc. Agency (EPA). Programs, Environmental Protection Description: Baseline eTariff Filing: ACTION: Notice. Agency, 1200 Pennsylvania Ave. NW., Current Power & Gas Inc. FERC Tariff Washington, DC 20460–0001; telephone Filing to be effective 1/13/2016. SUMMARY: This notice announces the number: (703) 306–0469; email address: Filed Date: 1/13/16. availability of EPA’s draft human health [email protected]. Accession Number: 20160113–5006. and ecological risk assessment for the For general questions on the Comments Due: 5 p.m. ET 2/3/16. registration review of tetrachlorvinphos registration review program, contact: and opens a public comment period on Richard Dumas, Pesticide Re-Evaluation Docket Numbers: ER16–723–000. this document. Registration review is Applicants: PJM Interconnection, Division (7508P), Office of Pesticide EPA’s periodic review of pesticide Programs, Environmental Protection L.L.C. registrations to ensure that each Description: § 205(d) Rate Filing: Agency, 1200 Pennsylvania Ave. NW., pesticide continues to satisfy the Washington, DC 20460–0001; telephone Original Service Agreement No. 4331; statutory standard for registration, that Queue AA1–015 (ISA) to be effective number: (703) 308–8005; email address: is, the pesticide can perform its [email protected]. 12/14/2015. intended function without unreasonable Filed Date: 1/13/16. adverse effects on human health or the SUPPLEMENTARY INFORMATION: Accession Number: 20160113–5090. environment. As part of the registration I. General Information Comments Due: 5 p.m. ET 2/3/16. review process, the Agency has Take notice that the Commission completed a comprehensive draft A. Does this action apply to me? received the following public utility human health and ecological risk This action is directed to the public holding company filings: assessment for all tetrachlorvinphos in general, and may be of interest to a Docket Numbers: PH16–3–000. uses. After reviewing comments wide range of stakeholders including Applicants: Consolidated Edison, Inc. received during the public comment environmental, human health, farm Description: Consolidated Edison, Inc. period, EPA will issue a revised risk worker, and agricultural advocates; the submits FERC 65–B Material Change in assessment, explain any changes to the chemical industry; pesticide users; and Facts of Waiver Notification. draft risk assessment, and respond to members of the public interested in the Filed Date: 1/13/16. comments and may request public input sale, distribution, or use of pesticides. Accession Number: 20160113–5088. on risk mitigation before completing a Since others also may be interested, the Comments Due: 5 p.m. ET 2/3/16. proposed registration review decision Agency has not attempted to describe all The filings are accessible in the for tetrachlorvinphos. Through this the specific entities that may be affected Commission’s eLibrary system by program, EPA is ensuring that each by this action. If you have any questions

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regarding the applicability of this action recognized practice, the pesticide freshwater invertebrates. The draft to a particular entity, consult James product must perform its intended human health risk assessment identifies Parker listed under FOR FURTHER function without unreasonable adverse potential non-cancer risks for residential INFORMATION CONTACT. effects on the environment; that is, and occupational handlers and for without any unreasonable risk to man or certain post-application exposure B. What should I consider as I prepare the environment, or a human dietary my comments for EPA? scenarios. In addition, there is a risk from residues that result from the potential cancer risk for residential post- 1. Submitting CBI. Do not submit this use of a pesticide in or on food. application exposure scenarios and for information to EPA through III. Registration Reviews occupational handlers. regulations.gov or email. Clearly mark Tetrachlorvinphos was also previously the part or all of the information that As directed by FIFRA section 3(g), evaluated for its potential to affect you claim to be CBI. For CBI EPA is reviewing the pesticide endocrine systems in mammals and information in a disk or CD–ROM that registration for tetrachlorvinphos to wildlife and the results of the agency’s you mail to EPA, mark the outside of the ensure that it continues to satisfy the review are found in the Weight of disk or CD–ROM as CBI and then FIFRA standard for registration—that is, Evidence review in this registration identify electronically within the disk or that tetrachlorvinphos can still be used review docket. CD–ROM the specific information that without unreasonable adverse effects on 1. Other related information. is claimed as CBI. In addition to one human health or the environment. Additional information on complete version of the comment that Tetrachlorvinphos is an tetrachlorvinphos is available on the includes information claimed as CBI, a organophosphate (OP) insecticide used Pesticide Registration Review Status copy of the comment that does not to control nuisance pests (e.g. fleas and Web page for this pesticide, http:// contain the information claimed as CBI ticks) on domestic cats and dogs, in iaspub.epa.gov/apex/pesticides/f?p= must be submitted for inclusion in the addition to livestock, their premises, CHEMICALSEARCH:1. Information on public docket. Information so marked kennels, poultry houses, barns, and the Agency’s registration review will not be disclosed except in outdoor perimeter treatments. EPA has program and its implementing accordance with procedures set forth in completed a comprehensive draft regulation is available at http://www. human health and ecological risk 40 CFR part 2. epa.gov/oppsrrd1/registration_review. 2. Tips for preparing your comments. assessment, including an endangered 2. Information submission When preparing and submitting your species assessment, for all requirements. Anyone may submit data comments, see the commenting tips at tetrachlorvinphos uses. http://www.epa.gov/dockets/ Pursuant to 40 CFR 155.53(c), EPA is or information in response to this comments.html. providing an opportunity, through this document. To be considered during a 3. Environmental justice. EPA seeks to notice of availability, for interested pesticide’s registration review, the achieve environmental justice, the fair parties to provide comments and input submitted data or information must treatment and meaningful involvement meet the following requirements: concerning the Agency’s draft human • of any group, including minority and/or health and ecological risk assessment To ensure that EPA will consider low income populations, in the for tetrachlorvinphos. Such comments data or information submitted, development, implementation, and and input could address, among other interested persons must submit the data enforcement of environmental laws, things, the Agency’s risk assessment or information during the comment regulations, and policies. To help methodologies and assumptions, as period. The Agency may, at its address potential environmental justice applied to this draft risk assessment. discretion, consider data or information issues, the Agency seeks information on The Agency will consider all comments submitted at a later date. • any groups or segments of the received during the public comment The data or information submitted population who, as a result of their period and make changes, as must be presented in a legible and location, cultural practices, or other appropriate, to the draft human health useable form. For example, an English factors, may have atypical or and ecological risk assessment. EPA will translation must accompany any disproportionately high and adverse then issue a revised risk assessment, material that is not in English and a human health impacts or environmental explain any changes to the draft risk written transcript must accompany any effects from exposure to the pesticide assessment, and respond to comments. information submitted as an discussed in this document, compared In the Federal Register notice audiographic or videographic record. to the general population. announcing the availability of the Written material may be submitted in revised risk assessment, if the revised paper or electronic form. II. Authority risk assessment indicates risks of • Submitters must clearly identify the EPA is conducting its registration concern, the Agency may provide a source of any submitted data or review of tetrachlorvinphos pursuant to comment period for the public to submit information. section 3(g) of the Federal Insecticide, suggestions for mitigating the risk • Submitters may request the Agency Fungicide, and Rodenticide Act (FIFRA) identified in the revised risk assessment to reconsider data or information that and the Procedural Regulations for before developing a proposed the Agency rejected in a previous Registration Review at 40 CFR part 155, registration review decision on review. However, submitters must subpart C. Section 3(g) of FIFRA tetrachlorvinphos. explain why they believe the Agency provides, among other things, that the The Agency issued a Final Work Plan should reconsider the data or registrations of pesticides are to be (FWP) for tetrachlorvinphos in information in the pesticide’s reviewed every 15 years. Under FIFRA, December 2008, and data were called in. registration review. a pesticide product may be registered or The reviews of those data are As provided in 40 CFR 155.58, the remain registered only if it meets the incorporated into the draft risk registration review docket for each statutory standard for registration given assessments. The draft ecological risk pesticide case will remain publicly in FIFRA section 3(c)(5) (7 U.S.C. assessment identifies potential risks of accessible through the duration of the 136a(c)(5)). When used in accordance concern for mammals, birds/reptiles/ registration review process; that is, until with widespread and commonly terrestrial-phase amphibians, and all actions required in the final decision

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on the registration review case have at http://www2.epa.gov/faca/gneb. If displays a currently valid control been completed. you wish to make oral comments or number. No person shall be subject to Authority: 7 U.S.C. 136 et seq. submit written comments to the Board, any penalty for failing to comply with please contact Ann-Marie Gantner at a collection of information subject to the Dated: January 8, 2016. least five days prior to the meeting. PRA that does not display a valid Office Michael Goodis, Written comments should be submitted of Management and Budget (OMB) Acting Director, Pesticide Re-Evaluation Ann-Marie Gantner at gantner.ann- control number. Division, Office of Pesticide Programs. [email protected]. DATES: Written PRA comments should [FR Doc. 2016–00849 Filed 1–19–16; 8:45 am] Meeting Access: For information on be submitted on or before March 21, BILLING CODE 6560–50–P access or services for individuals with 2016. If you anticipate that you will be disabilities, please contact Ann-Marie submitting comments, but find it Gantner at (202) 564–4330 or email at difficult to do so within the period of ENVIRONMENTAL PROTECTION [email protected]. To request time allowed by this notice, you should AGENCY accommodation of a disability, please advise the contact listed below as soon [FRL–9941–45–OARM] contact Ann-Marie Gantner at least 10 as possible. days prior to the meeting to give EPA as ADDRESSES: Direct all PRA comments to Good Neighbor Environmental Board; much time as possible to process your Cathy Williams, FCC, via email PRA@ Notification of Public Advisory request. fcc.gov and to [email protected]. Committee Meeting Dated: January 11, 2016. FOR FURTHER INFORMATION CONTACT: For AGENCY: Environmental Protection Ann-Marie Gantner, additional information about the Agency (EPA). Acting Designated Federal Officer. information collection, contact Cathy ACTION: Notice of Public Advisory [FR Doc. 2016–01018 Filed 1–19–16; 8:45 am] Williams at (202) 418–2918. Committee Meeting. BILLING CODE 6560–50–P SUPPLEMENTARY INFORMATION: OMB Control Number: 3060–1185. SUMMARY: Pursuant to the Federal Title: Annual Report for Mobility Advisory Committee Act, Public Law FEDERAL COMMUNICATIONS Fund Phase I Support, FCC Form 690 92–463, notice is hereby given that the COMMISSION and Record Retention Requirements. Good Neighbor Environmental Board Form Number: FCC Form 690. [OMB 3060–1185] will hold a public meeting on Respondents: Business or other for- Wednesday, February 10 and Thursday, Information Collection Being Reviewed profit entities, not-for-profit institutions, February 11, 2016 in Brownsville, TX. by the Federal Communications and state, local or tribal government. The meeting is open to the public. Commission Number of Respondents and DATES: The Good Neighbor Responses: 34 respondents; 880 Environmental Board will hold an open AGENCY: Federal Communications responses. meeting on Wednesday, February 10 Commission. Estimated Time per Response: 1–18 from 9:00 a.m. (registration at 8:30 a.m.) ACTION: Notice and request for hours. to 5:30 p.m. The following day, comments. Frequency of Response: Annual Thursday, February 11, the Board will reporting requirement and SUMMARY: As part of its continuing effort recordkeeping requirement. meet from 8:30 a.m. (registration at 8:00 to reduce paperwork burdens, and as a.m.) until 2:00 p.m. Obligation to Respond: Required to required by the Paperwork Reduction obtain or retain benefits. The statutory SUPPLEMENTARY INFORMATION: Act (PRA) of 1995 (44 U.S.C. 3501– authority for this information collection Background: The Good Neighbor 3520), the Federal Communications is contained in 47 U.S.C. 154, 254 and Environmental Board (Board) is a Commission (FCC or the Commission) 303(r) of the Communications Act of federal advisory committee chartered invites the general public and other 1934, as amended. under the Federal Advisory Committee Federal agencies to take this Total Annual Burden: 15,874 hours. Act, PL 92463. By statute, the Board is opportunity to comment on the Total Annual Cost: No cost. required to submit an annual report to following information collection. Privacy Impact Assessment: No the President and Congress on Comments are requested concerning: impact(s). environmental and infrastructure issues Whether the proposed collection of Nature and Extent of Confidentiality: along the U.S. border with Mexico. information is necessary for the proper There is no need for confidentiality. The Purpose of Meeting: The purpose of performance of the functions of the information collected on FCC Form 690 this meeting is to begin discussion on Commission, including whether the will be made available for public the Good Neighbor Environmental information shall have practical utility; inspection. Applicants may request Board’s Seventeenth Report. The report the accuracy of the Commission’s materials or information submitted to will focus on climate change resiliency burden estimate; ways to enhance the the Commission be given confidential in the U.S.-Mexico border region. quality, utility, and clarity of the treatment under 47 CFR 0.459 of the ADDRESSES: The meeting will be held at information collected; ways to minimize Commission’s rules. the Ringgold Civic Pavilion, 501 E the burden of the collection of Needs and Uses: The Commission Ringgold St., Brownsville, TX 78520. information on the respondents, uses the information contained in this The number is (956) 547–6850. The including the use of automated collection to ensure that each winning meeting is open to the public, with collection techniques or other forms of bidder is meeting its obligations for limited seating on a first-come, first- information technology; and ways to receiving Mobility Fund Phase I serve basis. further reduce the information support. On November 18, 2011, the General Information: The agenda will collection burden on small business Federal Communications Commission be available at http://www2.epa.gov/ concerns with fewer than 25 employees. released a Report and Order in the faca/gneb. General information about The FCC may not conduct or sponsor a Universal Service Fund & Intercarrier the Board can be found on its Web site collection of information unless it Compensation Transformation Order

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(USF/ICC) proceeding, WC Docket Nos. any penalty for failing to comply with authority to state commissions adopted 10–90, 07–135, 05–337, 03–109; GN a collection of information subject to the in the previous order. Prior to the Docket No. 09–51; CC Docket Nos. 01– PRA that does not display a valid Office issuance of the Order, the Commission 92, 96–45; WT Docket No. 10–208; FCC of Management and Budget (OMB) sought comment on issues relating to 11–161. On May 14, 2012, the control number. combinations of UNEs, called Commission released the Third Order DATES: Written PRA comments should ‘‘enhanced extended links’’ (EELs), in on Reconsideration of the USF/ICC be submitted on or before March 21, order to effectively tailor access to EELs Report and Order which revised certain 2016. If you anticipate that you will be to those carriers seeking to provide Mobility Fund Phase 1 rules. In submitting comments, but find it significant local usage to end users. In adopting the rules, the Commission difficult to do so within the period of the Order, the Commission adopted provided for one-time support to time allowed by this notice, you should three specific service eligibility criteria immediately accelerate deployment of advise the contact listed below as soon for access to EELs in accordance with networks for mobile broadband services as possible. Commission rules. in unserved areas. Thus, the information ADDRESSES: Direct all PRA comments to Federal Communications Commission. is being collected to meet the objectives Cathy Williams, FCC, via email PRA@ Marlene H. Dortch, of the Universal Service Fund program. fcc.gov and to [email protected]. Secretary, The Office of the Secretary. Federal Communications Commission. FOR FURTHER INFORMATION CONTACT: For [FR Doc. 2016–00928 Filed 1–19–16; 8:45 am] Marlene H. Dortch, additional information about the BILLING CODE 6712–01–P Secretary. The Office of the Secretary. information collection, contact Cathy [FR Doc. 2016–00926 Filed 1–19–16; 8:45 am] Williams at (202) 418–2918. BILLING CODE 6712–01–P SUPPLEMENTARY INFORMATION: FEDERAL COMMUNICATIONS OMB Control Number: 3060–1044. COMMISSION Title: Review of the Section 251 [OMB 3060-xxxx, 3060–0386, 3060–0837, FEDERAL COMMUNICATIONS Unbundling Obligations of Incumbent 3060–0928, 306–0932] COMMISSION Local Exchange Carriers, CC Docket No. [OMB 3060–1044] 01–338 and WC Docket No. 04–313, Information Collections Being Order on Remand. Submitted for Review and Approval to Information Collection Being Reviewed Form Number: N/A. the Office of Management and Budget by the Federal Communications Type of Review: Extension of a AGENCY: Federal Communications Commission currently approved collection. Respondents: Business or other for- Commission. AGENCY: Federal Communications profit entities, not-for-profit institutions ACTION: Notice and request for Commission. and state, local or tribal government. comments. ACTION: Notice and request for Number of Respondents: 645 comments. respondents; 645 responses. SUMMARY: As part of its continuing effort Estimated Time per Response: 8 to reduce paperwork burdens, and as SUMMARY: As part of its continuing effort hours. required by the Paperwork Reduction to reduce paperwork burdens, and as Frequency of Response: Act (PRA) of 1995 (44 U.S.C. 3501– required by the Paperwork Reduction Recordkeeping requirement, third party 3520), the Federal Communications Act (PRA) of 1995 (44 U.S.C. 3501– disclosure requirement and on occasion Commission (FCC or Commission) 3520), the Federal Communications reporting requirement. invites the general public and other Commission (FCC or the Commission) Obligation to Respond: Required to Federal agencies to take this invites the general public and other obtain or retain benefits. Statutory opportunity to comment on the Federal agencies to take this authority for this information collection following information collections. opportunity to comment on the is contained in 47 U.S.C. 251 of the Comments are requested concerning: following information collection. Telecommunications Act of 1996. whether the proposed collection of Comments are requested concerning: Total Annual Burden: 5,160 hours. information is necessary for the proper Whether the proposed collection of Total Annual Cost: No Cost. performance of the functions of the information is necessary for the proper Privacy Impact Assessment: No Commission, including whether the performance of the functions of the impact(s). information shall have practical utility; Commission, including whether the Nature and Extent of Confidentiality: the accuracy of the Commission’s information shall have practical utility; The Commission is not requesting burden estimate; ways to enhance the the accuracy of the Commission’s respondents to submit or disclose quality, utility, and clarity of the burden estimate; ways to enhance the confidential information. However, in information collected; ways to minimize quality, utility, and clarity of the certain circumstances, respondents may the burden of the collection of information collected; ways to minimize voluntarily choose to submit information on the respondents, the burden of the collection of confidential information pursuant to including the use of automated information on the respondents, applicable confidentiality rules. collection techniques or other forms of including the use of automated Needs and Uses: In the Order on information technology; and ways to collection techniques or other forms of Remand, the Commission imposed further reduce the information information technology; and ways to unbundling obligations in a more collection burden on small business further reduce the information targeted manner where requesting concerns with fewer than 25 employees. collection burden on small business carriers have undertaken their own The FCC may not conduct or sponsor concerns with fewer than 25 employees. facilities-based investments and will be a collection of information unless it The FCC may not conduct or sponsor a using UNEs (unbundled network displays a currently valid OMB control collection of information unless it elements) in conjunction with self- number. No person shall be subject to displays a currently valid control provisioned facilities. The Commission any penalty for failing to comply with number. No person shall be subject to also eliminated the subdelegation of a collection of information subject to the

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PRA that does not display a valid OMB 303, 307, 308, 309, 310, 316, 319, Type of Review: Revision of a control number. 325(b), 332, 336(f), 338, 339, 340, 399b, currently information collection. DATES: Written comments should be 403, 534, 535, 1404, 1452, and 1454. Respondents: Business or other for- submitted on or before February 19, Total Annual Burden: 24,932 hours. profit entities; Not for profit institutions; 2016. If you anticipate that you will be Annual Cost Burden: $1,214,400. State, local or Tribal government. submitting comments, but find it Privacy Act Impact Assessment: No Number of Respondents and difficult to do so within the period of impact(s). Responses: 6,609 respondents and 6,609 time allowed by this notice, you should Nature and Extent of Confidentiality: responses. advise the contacts below as soon as There is no need for confidentiality with Estimated Time per Response: .50–4.0 possible. this collection. hours. Needs and Uses: The collection is Frequency of Response: One-time ADDRESSES: Direct all PRA comments to being made to the Office of Management reporting requirement and on occasion Nicholas A. Fraser, OMB, via email reporting requirement. _ _ (OMB) for the approval of information Nicholas A. [email protected]; and collection requirements contained in the Obligation to Respond: Required to to Cathy Williams, FCC, via email PRA@ Commission’s Incentive Auction Order, obtain or retain benefits. The statutory fcc.gov and to [email protected]. FCC 14–50, which adopted rules for authority for this collection is contained Include in the comments the OMB holding an Incentive Auction, as in 47 U.S.C. 151, 154(i), 157 and 309(j) control number as shown in the required by the Middle Class Tax Relief as amended; Middle Class Tax Relief SUPPLEMENTARY INFORMATION section and Job Creation Act of 2012 (Spectrum and Job Creation Act of 2012, Public below. Act). The information gathered in this Law 112–96, §§ 6402 (codified at 47 FOR FURTHER INFORMATION CONTACT: For collection will be used to require U.S.C. 309(j)(8)(G)), 6403 (codified at 47 additional information or copies of the broadcasters transitioning to a new U.S.C. 1452), 126 Stat. 156 (2012) information collection, contact Cathy station following the Incentive Auction, (Spectrum Act); and Sections 1, 4(i) and Williams at (202) 418–2918. To view a or going off the air as a result of a (j), 7, 301, 302, 303, 307, 308, 309, 312, copy of this information collection winning bid in the Incentive Auction, to 316, 318, 319, 324, 325, 336, and 337 of request (ICR) submitted to OMB: (1) Go notify their viewers of the date the the Communications Act of 1934, as to the Web page http://www.reginfo.gov/ station will terminate operations on its amended. public/do/PRAMain, (2) look for the pre-Auction channel by running public Total Annual Burden: 5,475 hours. section of the Web page called service announcements, and allow these Annual Cost Burden: $2,156,510. ‘‘Currently Under Review,’’ (3) click on broadcasters to inform MVPDs of their Privacy Act Impact Assessment: No the downward-pointing arrow in the relinquishment or change in channel. It impact(s). ‘‘Select Agency’’ box below the requires channel sharing agreements Nature and Extent of Confidentiality: ‘‘Currently Under Review’’ heading, (4) enter into by television broadcast There is no need for confidentiality with select ‘‘Federal Communications licensees to contain certain provisions this collection of information. Commission’’ from the list of agencies regarding access to facilities, financial Needs and Uses: The collection is presented in the ‘‘Select Agency’’ box, obligations and to define each party’s being made to the Office of Management (5) click the ‘‘Submit’’ button to the rights and responsibilities; the (OMB) for the approval of information right of the ‘‘Select Agency’’ box, (6) Commission will review each channel collection requirements contained in the when the list of FCC ICRs currently sharing agreement to ensure it comports Commission’s Incentive Auction Order, under review appears, look for the OMB with general rules and policies FCC 14–50, which adopted rules for control number of this ICR and then regarding license agreements. The holding an Incentive Auction, as click on the ICR Reference Number. A provisions contained in this collection required by the Middle Class Tax Relief copy of the FCC submission to OMB also require wireless licensees to notify and Job Creation Act of 2012 (Spectrum will be displayed. low-power television and TV translator Act). The information gathered in this SUPPLEMENTARY INFORMATION: OMB stations commence wireless operations collection will be used to allow Control No.: 3060–xxxx. and the likelihood of receiving harmful television broadcast stations to request Title: Media Bureau Incentive Auction interference from the low power TV or special temporary authority (STA) to Implementation, Sections TV translator station to such operations operate, seek an extension of time to 73.3700(b)(4)(i)–(ii), (c), (d), (h)(5)–(6) within the wireless licensee’s licensed complete construction, request a waiver and (g)(4). geographic service area. Finally, it of the Commission’s service rules Form No.: N/A. requires license relinquishment stations following the Incentive Auction, and Type of Review: New information and channel sharing stations to comply make other informal requests and collection. with notification and cancellation submissions. Respondents: Business or other for- procedures as they terminate operations OMB Control No.: 3060–0837. profit entities; Not for profit institutions. on their pre-Auction channel. Title: FCC Form 2100, Application for Number of Respondents and OMB Control No.: 3060–0386. Media Bureau Audio and Video Service Responses: 1,950 respondents and Title: Special Temporary Authorization, Schedule B (Former FCC 174,219 responses. Authorization (STA) Requests; Form 302–DTV). Estimated Time per Response: .004– Notifications; and Informal Filings; Form No.: FCC Form 2100, Schedule 15 hours. Sections 1.5, 73.1615, 73.1635, 73.1740 B. Frequency of Response: One-time and 73.3598; CDBS Informal Forms; Type of Review: Revision of a reporting requirement; on occasion Section 74.788; Low Power Television, currently approved information reporting requirement; recordkeeping TV Translator and Class A Television collection. requirement. Digital Transition Notifications; Section Respondents: Business or other for- Obligation to Respond: Required to 73.3700(b)(5), Post Auction Licensing; profit entities; Not for profit institutions. obtain or retain benefits. Statutory Section 73.3700(f), Service Rule Waiver; Number of Respondents and authority for these collections are FCC Form 337. Responses: 955 respondents and 955 contained in 47 U.S.C. 151, 154, 301, Form No.: FCC Form 337. responses.

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Estimated Time per Response: 2 Number of Respondents and Total Annual Burden: 5,981 hours. hours. Responses: 955 respondents and 955 Annual Cost Burden: $3,949,550. Frequency of Response: One-time responses. Privacy Act Impact Assessment: No reporting requirement and on occasion Estimated Time per Response: 2 impact(s). reporting requirement. hours. Nature and Extent of Confidentiality: Obligation to Respond: Required to Frequency of Response: One-time There is no need for confidentiality with obtain or retain benefits. The statutory reporting requirement and on occasion this collection of information. authority for this collection is contained reporting requirement. Needs and Uses: The collection is in Sections 154(i), 307, 308, 309, and Total Annual Burden: 1,910 hours. being made to the Office of Management 319 of the Communications Act of 1934, Annual Cost Burden: $300,825. (OMB) for the approval of information as amended; the Community Privacy Act Impact Assessment: No collection requirements contained in the Broadcasters Protection Act of 1999, impact(s). Commission’s Incentive Auction Order, Public Law 106–113, 113 Stat. Nature and Extent of Confidentiality: FCC 14–50, which adopted rules for Appendix I at pp. 1501A–594–1501A– There is no need for confidentiality with holding an Incentive Auction, as 598 (1999) (codified at 47 U.S.C. 336(f)); this collection of information. required by the Middle Class Tax Relief and the Middle Class Tax Relief and Job Needs and Uses: The collection is and Job Creation Act of 2012 (Spectrum Act). The information gathered in this Creation Act of 2012, Public Law 112– being made to the Office of Management collection will be used allow Class A 96, §§ 6402 (codified at 47 U.S.C. (OMB) for the approval of information television stations to make changes in 309(j)(8)(G)), 6403 (codified at 47 U.S.C. collection requirements contained in the their authorized facilities. Specifically, 1452), 126 Stat. 156 (2012) (Spectrum Commission’s Incentive Auction Order, Class A stations assigned to a new Act). FCC 14–50, which adopted rules for channel following the Incentive Auction Total Annual Burden: 1,910 hours. holding an Incentive Auction, as must file a minor change application on Annual Cost Burden: $460,070.00. required by the Middle Class Tax Relief FCC Form 2100, Schedule E following Privacy Act Impact Assessment: No and Job Creation Act of 2012 (Spectrum release of the Channel Reassignment impact(s). Act). The information gathered in this Public Notice. Under certain collection will be used by Class A Nature and Extent of Confidentiality: circumstances, licensees of stations There is no need for confidentiality with stations seeking a license to cover their reassigned to a new channel within this collection of information. authorized construction permit facilities their existing band to propose Needs and Uses: The collection is and Class A stations entering into a transmission facilities in their being made to the Office of Management channel sharing agreement. construction permit applications that (OMB) for the approval of information OMB Control No.: 3060–0932. will extend their coverage contours. In collection requirements contained in the Title: FCC Form 2100, Application for addition, there will be a priority Commission’s Incentive Auction Order, Media Bureau Audio and Video Service processing window for licensees of FCC 14–50, which adopted rules for Authorization, Schedule E (Former FCC reassigned stations, UHF-to-VHF holding an Incentive Auction, as Form 301–CA); 47 CFR Sections stations, or High-VHF-to-Low-VHF required by the Middle Class Tax Relief 73.3700(b)(1)(i)–(v) and (vii), (b)(2)(i) stations that, for reasons beyond their and Job Creation Act of 2012 (Spectrum and (ii); 47 CFR Section 74.793(d). control, are unable to construct facilities Act). The information gathered in this Form No.: FCC Form 2100, Schedule that meet the technical parameters collection will be used to allow full- E (Application for Media Bureau Audio specified in the Channel Reassignment power television broadcast stations to and Video Service Authorization) Public Notice, or the permissible file a license to cover an authorized (Former FCC Form 301–CA). contour coverage variance from those construction permit once facilities have Type of Review: Revision of a technical parameters specified in been constructed. In addition, full- currently approved information section 73.3700(b)(1)(ii) or (iii). Channel power television broadcast stations that collection. sharee stations file a minor change enter into channel sharing agreements Respondents: Business or other for- application for a construction permit for following the Commission’s Incentive profit entities; Not for profit institutions; the channel on which the channel Auction will use FCC Form 2100, State, Local or Tribal Government. sharer operates at least sixty (60) days Schedule B to file an application for a Number of Respondents and prior to the date by which it must license for the shared channel sharing, Responses: 725 respondents and 725 terminate operations on its pre-auction and will allow a full-power station, responses. channel and must include a copy of the upon termination of its channel sharing Estimated Time per Response: 2.25 channel sharing agreement. In addition, agreement, to file an application to hours–6 hours (for a total of 8.25 hours). subject to limitations set out in the change its license to non-shared status Frequency of Response: One-time rules, a Class A licensee of a reassigned using FCC Form 2100, Schedule B. reporting requirement; On occasion station, a UHF-to-VHF station, or a OMB Control No.: 3060–0928. reporting requirement; Third party High-VHF-to-Low-VHF station may file Title: FCC Form 2100, Application for disclosure requirement; Recordkeeping a minor change application for a Media Bureau Audio and Video Service requirement. construction permit on FCC Form 2100 Authorization, Schedule F (Formerly Obligation to Respond: Required to Schedule E during a filing window to be FCC 302–CA); 47 CFR 73.3572(h) and 47 obtain or retain benefits. The statutory announced by the Media Bureau by CFR 73.3700(b)). authority for this collection is contained public notice, in order to request a Form No.: FCC Form 2100, Schedule in 47 U.S.C. 151, 154(i), 157 and 309(j) change in the technical parameters F. as amended; Middle Class Tax Relief specified in the Channel Reassignment Type of Review: Revision of a and Job Creation Act of 2012, Public Public Notice with respect to height currently approved information Law 112–96, §§ 6402 (codified at 47 above average terrain (HAAT), effective collection. U.S.C. 309(j)(8)(G)), 6403 (codified at 47 radiated power (ERP), or transmitter Respondents: Business or other for- U.S.C. 1452), 126 Stat. 156 (2012) location that would be considered a profit entities; Not for profit institutions; (Spectrum Act) and the Community minor change under sections State, local or Tribal Government. Broadcasters Protection Act of 1999. 73.3572(a)(1), (2) or 74.787(b). FCC

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Form 2100, Schedule E is also being 1. Notice by Janice A. Hendrix, DEPARTMENT OF DEFENSE modified to accommodate new channel Horatio, Arkansas, as trustee of the sharing provisions. Janice A. Hendrix Revocable Trust, and GENERAL SERVICES ADMINISTRATION The Federal Communications Commission. as a member of the Hendrix family Marlene H. Dortch, control group; to retain voting shares of Pioneer Bancshares, Inc. of Horatio, NATIONAL AERONAUTICS AND Secretary, Office of the Secretary. Arkansas, and thereby retain shares of SPACE ADMINISTRATION [FR Doc. 2016–00927 Filed 1–19–16; 8:45 am] Horatio State Bank, both of Horatio, [OMB Control No. 9000–0027; Docket 2015– BILLING CODE 6712–01–P Arkansas. 0055; Sequence 22] Board of Governors of the Federal Reserve System, January 14, 2016. Submission for OMB Review; Value FEDERAL RESERVE SYSTEM Michael J. Lewandowski, Engineering Requirements Change in Bank Control Notices; Associate Secretary of the Board. AGENCY: Department of Defense (DOD), Acquisitions of Shares of a Bank or [FR Doc. 2016–00973 Filed 1–19–16; 8:45 am] General Services Administration (GSA), Bank Holding Company BILLING CODE 6210–01–P and National Aeronautics and Space Administration (NASA). The notificants listed below have ACTION: Notice of request for comments applied under the Change in Bank regarding an extension of a previously Control Act (12 U.S.C. 1817(j)) and FEDERAL RETIREMENT THRIFT existing OMB clearance. § 225.41 of the Board’s Regulation Y (12 INVESTMENT BOARD CFR 225.41) to acquire shares of a bank SUMMARY: Under the provisions of the or bank holding company. The factors Sunshine Act; Notice of Meeting Paperwork Reduction Act, the that are considered in acting on the Regulatory Secretariat Division will be notices are set forth in paragraph 7 of TIME AND DATE: 8:30 a.m. (Eastern Time) submitting to the Office of Management the Act (12 U.S.C. 1817(j)(7)). January 25, 2016. and Budget (OMB) a request to review The notices are available for and approve an extension of a immediate inspection at the Federal PLACE: 10th Floor Board Meeting Room, previously approved information Reserve Bank indicated. The notices 77 K Street NE., Washington, DC 20002. collection requirement concerning also will be available for inspection at STATUS: Parts will be open to the public Value Engineering Requirements. A the offices of the Board of Governors. and parts closed to the public. notice was published in the Federal Interested persons may express their Register at 80 FR 60684 on October 7, views in writing to the Reserve Bank MATTERS TO BE CONSIDERED: 2015. No comments were received. indicated for that notice or to the offices Parts Open to the Public DATES: Submit comments on or before of the Board of Governors. Comments February 19, 2016. 1. Approval of the Minutes of the must be received not later than February ADDRESSES: Submit comments regarding 3, 2016. December 14, 2015 Board Member this burden estimate or any other aspect A. Federal Reserve Bank of Atlanta Meeting of this collection of information, (Chapelle Davis, Assistant Vice 2. Monthly Reports including suggestions for reducing this President) 1000 Peachtree Street NE., (a) Participant Activity Report burden to: Office of Information and Atlanta, Georgia 30309: (b) Legislative Report Regulatory Affairs of OMB, Attention: 1. Gerald O’Neill Norman, Lois Ann Desk Officer for GSA, Room 10236, Garrard Norman, Deborah Norman 3. Quarterly Reports NEOB, Washington, DC 20503. Lewis, Gerald O’Neill Norman Jr., Caleb (a) Investment Policy Report Additionally submit a copy to GSA by Michael Free, Derek Norman Free, all of (b) Vendor Financials any of the following methods: Washington, Georgia; and Joyce M. • Regulations.gov: http:// Norman, Dacula, Georgia; to retain (c) Budget Review www.regulations.gov. Submit comments shares of Washington Wilkes Holding (d) Project Activity via the Federal eRulemaking portal by Company, and thereby retain shares of (e) Audit Status searching the OMB control number. F & M Bank, both of Washington, Select the link ‘‘Submit a Comment’’ 4. Audit Report Georgia. that corresponds with ‘‘Information B. Federal Reserve Bank of Chicago 5. Annual Expense Ratio Review Collection 9000–0027, Value (Colette A. Fried, Assistant Vice 6. 2016 Calendar Review Engineering Requirements’’. Follow the President) 230 South LaSalle Street, instructions provided at the ‘‘Submit a Parts Closed to the Public Chicago, Illinois 60690–1414: Comment’’ screen. Please include your 1. Mr. James J. Dolan, Naples, Florida 7. Semi-Annual OGC Litigation Review name, company name (if any), and as an individual and as trustee of ‘‘Information Collection 9000–0027, 8. Security Royston Road Trust and JJD 2012 Value Engineering Requirements’’ on Family Trust; and SAMAC, LLC, as a 9. Personnel your attached document. • group acting in concert; to acquire CONTACT PERSON FOR MORE INFORMATION: Mail: General Services shares of Northwest Bancorporation of Kimberly Weaver, Director, Office of Administration, Regulatory Secretariat Illinois, and thereby indirectly acquire External Affairs, (202) 942–1640. Division (MVCB), 1800 F Street NW., control of First Bank and Trust Washington, DC 20405. ATTN: Ms. Company of Illinois, both in Palatine, Dated: January 14, 2016. Flowers/IC 9000–0027, Value Illinois. Megan Grumbine, Engineering Requirements. C. Federal Reserve Bank of St. Louis Deputy General Counsel, Federal Retirement Instructions: Please submit comments (Yvonne Sparks, Community Thrift Investment Board. only and cite Information Collection Development Officer) P.O. Box 442, St. [FR Doc. 2016–01105 Filed 1–15–16; 11:15 am] 9000–0027, Value Engineering Louis, Missouri 63166–2034: BILLING CODE 6760–01–P Requirements, in all correspondence

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related to this collection. Comments Engineering Requirements, in all Flowers/IC 9000–0132, Contractors’ received generally will be posted correspondence. Purchasing Systems Reviews. without change to http:// Dated: January 13, 2016. Instructions: Please submit comments only and cite Information Collection www.regulations.gov, including any Lorin S. Curit, personal and/or business confidential 9000–0132, Contractors’ Purchasing Director, Federal Acquisition Policy Division, Systems Reviews, in all correspondence information provided. To confirm Office of Governmentwide Acquisition Policy, receipt of your comment(s), please Office of Governmentwide Policy. related to this collection. Comments check www.regulations.gov, received generally will be posted [FR Doc. 2016–00988 Filed 1–19–16; 8:45 am] approximately two to three days after without change to http:// BILLING CODE 6820–EP–P submission to verify posting (except www.regulations.gov, including any allow 30 days for posting of comments personal and/or business confidential submitted by mail). DEPARTMENT OF DEFENSE information provided. To confirm FOR FURTHER INFORMATION CONTACT: Mr. receipt of your comment(s), please Curtis E. Glover, Sr., Procurement GENERAL SERVICES check www.regulations.gov, Analyst, Contract Policy Division, GSA, ADMINISTRATION approximately two to three days after 202–501–1448 or email at curtis.glover@ submission to verify posting (except gsa.gov. NATIONAL AERONAUTICS AND allow 30 days for posting of comments SPACE ADMINISTRATION submitted by mail). A. Purpose FOR FURTHER INFORMATION CONTACT: Ms. Per Federal Acquisition Regulation [OMB Control No. 9000–0132; Docket 2016– 0053; Sequence 1] Mahruba Uddowla, Procurement Part 48, value engineering is the Analyst, Office of Governmentwide technique by which contractors (1) Information Collection; Contractors’ Acquisition Policy, GSA, 703–605–2868 voluntarily suggest methods for Purchasing Systems Reviews or email at mahruba.uddowla@gov. performing more economically and SUPPLEMENTARY INFORMATION: share in any resulting savings or (2) are AGENCY: Department of Defense (DOD), required to establish a program to General Services Administration (GSA), A. Purpose identify and submit to the Government and National Aeronautics and Space The objective of a contractor methods for performing more Administration (NASA). purchasing system review (CPSR), as economically. These recommendations ACTION: Notice of request for public discussed in Part 44 of the FAR, is to are submitted to the Government as comments regarding an extension to an evaluate the efficiency and effectiveness value engineering change proposals existing OMB clearance. with which the contractor spends (VECP’s) and they must include specific Government funds and complies with information. This information is needed SUMMARY: Under the provisions of the Government policy when to enable the Government to evaluate Paperwork Reduction Act, the subcontracting. The review provides the the VECP and, if accepted, to arrange for Regulatory Secretariat Division will be administrative contracting officer (ACO) an equitable sharing plan. submitting to the Office of Management a basis for granting, withholding, or and Budget (OMB) a request to review withdrawing approval of the B. Annual Reporting Burden and approve an extension of a contractor’s purchasing system. Respondents: 3,200. previously approved information Responses per Respondent: 2. collection requirement concerning B. Annual Reporting Burden Annual Responses: 3,200. contractors’ purchasing systems Number of Respondents: 1,580. Hours per Response: 15. reviews. Responses per Respondent: 1. Total Burden Hours: 48,000. Total Responses: 1,580. DATES: Submit comments on or before C. Public Comments Average Burden per Response: 25. March 21, 2016. Total Burden Hours: 39,500. Public comments are particularly ADDRESSES: Submit comments invited on: Whether this collection of identified by Information Collection C. Public Comments information is necessary; whether it will 9000–0132, Contractors’ Purchasing Public comments are particularly have practical utility; whether our Systems Reviews, by any of the invited on: Whether this collection of estimate of the public burden of this following methods: information is necessary for the proper collection of information is accurate, • Regulations.gov: http:// performance of functions of the Federal and based on valid assumptions and www.regulations.gov. Acquisition Regulation (FAR), and methodology; ways to enhance the Submit comments via the Federal whether it will have practical utility; quality, utility, and clarity of the eRulemaking portal by searching the whether our estimate of the public information to be collected; and ways in OMB control number. Select the link burden of this collection of information which we can minimize the burden of ‘‘Submit a Comment’’ that corresponds is accurate, and based on valid the collection of information on those with ‘‘Information Collection 9000– assumptions and methodology; ways to who are to respond, through the use of 0132, Contractors’ Purchasing Systems enhance the quality, utility, and clarity appropriate technological collection Reviews’’. Follow the instructions of the information to be collected; and techniques or other forms of information provided at the ‘‘Submit a Comment’’ ways in which we can minimize the technology. screen. Please include your name, burden of the collection of information Obtaining Copies of Proposals: company name (if any), and on those who are to respond, through Requesters may obtain a copy of the ‘‘Information Collection 9000–0132, the use of appropriate technological information collection documents from Contractors’ Purchasing Systems collection techniques or other forms of the General Services Administration, Reviews’’ on your attached document. information technology. Regulatory Secretariat Division (MVCB), • Mail: General Services Obtaining Copies of Proposals: 1800 F Street NW., Washington, DC Administration, Regulatory Secretariat Requesters may obtain a copy of the 20405, telephone 202–501–4755. Please Division (MVCB), 1800 F Street NW., information collection documents from cite OMB Control No. 9000–0027, Value Washington, DC 20405. ATTN: Ms. the General Services Administration,

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Regulatory Secretariat Division (MVCB), personal information provided. For maintaining information, and disclosing 1800 F Street NW., Washington, DC access to the docket to read background and providing information; to train 20405, telephone 202–501–4755. Please documents or comments received, go to personnel and to be able to respond to cite OMB Control No. 9000–0132, Regulations.gov. a collection of information, to search Contractors’ Purchasing Systems Please note: All public comment data sources, to complete and review Reviews, in all correspondence. should be submitted through the the collection of information; and to Dated: January 13, 2016. Federal eRulemaking portal transmit or otherwise disclose the (Regulations.gov) or by U.S. mail to the information. Lorin S. Curit, address listed above. Director, Federal Acquisition Policy Division, Proposed Project Office of Governmentwide Acquisition Policy, FOR FURTHER INFORMATION CONTACT: To request more information on the Division of Community Health (DCH) Office of Acquisition Policy, Office of Training and Technical Assistance: Governmentwide Policy. proposed project or to obtain a copy of the information collection plan and Needs Assessment and Satisfaction [FR Doc. 2016–00989 Filed 1–19–16; 8:45 am] Surveys (OMB No. 0920–1076, exp. 7/ BILLING CODE 6820–EP–P instruments, contact the Information Collection Review Office, Centers for 31/2017)—Revision—National Center Disease Control and Prevention, 1600 for Chronic Disease Prevention and Health Promotion (NCCDPHP), Centers DEPARTMENT OF HEALTH AND Clifton Road NE., MS–D74, Atlanta, Georgia 30329; phone: 404–639–7570; for Disease Control and Prevention HUMAN SERVICES (CDC). Email: [email protected]. Centers for Disease Control and SUPPLEMENTARY INFORMATION: Under the Background and Brief Description Prevention Paperwork Reduction Act of 1995 (PRA) The Centers for Disease Control and (44 U.S.C. 3501–3520), Federal agencies [60Day–16–1076; Docket No. CDC–2016– Prevention (CDC), Division of 0009] must obtain approval from the Office of Community Health (DCH), requests Management and Budget (OMB) for each OMB approval to revise an ongoing Proposed Data Collection Submitted collection of information they conduct information collection. The original for Public Comment and or sponsor. In addition, the PRA also information collection plan was based Recommendations requires Federal agencies to provide a on two needs assessments conducted 60-day notice in the Federal Register with DCH awardees at two different AGENCY: Centers for Disease Control and concerning each proposed collection of time points. In the proposed Revision, Prevention (CDC), Department of Health information, including each new CDC describes plans to assess awardee and Human Services (HHS). proposed collection, each proposed satisfaction with the training and ACTION: Notice with comment period. extension of existing collection of technical assistance (TA) being information, and each reinstatement of provided to them, in lieu of conducting SUMMARY: The Centers for Disease previously approved information the second needs assessment. The Control and Prevention (CDC), as part of collection before submitting the project title is being revised to reflect its continuing efforts to reduce public collection to OMB for approval. To changes in the information collection burden and maximize the utility of comply with this requirement, we are plan. The original project title was government information, invites the publishing this notice of a proposed ‘‘DCH Awardee Training Needs general public and other Federal data collection as described below. Assessment.’’ agencies to take this opportunity to Comments are invited on: (a) Whether In 2014, DCH announced the comment on proposed and/or the proposed collection of information availability of funding for two continuing information collections, as is necessary for the proper performance cooperative agreement programs required by the Paperwork Reduction of the functions of the agency, including authorized by the Public Health Service Act of 1995. This notice invites whether the information shall have Act: Partnerships for Community Health comment on the proposed revision of practical utility; (b) the accuracy of the (PICH) and Racial and Ethnic the information collection entitled agency’s estimate of the burden of the Approaches to Community Health ‘‘Division of Community Health (DCH) proposed collection of information; (c) (REACH). The REACH cooperative Training and Technical Assistance: ways to enhance the quality, utility, and agreement is financed in part by the Needs Assessment and Satisfaction clarity of the information to be Prevention and Public Health Fund of Surveys’’. collected; (d) ways to minimize the the Affordable Care Act. The DATES: Written comments must be burden of the collection of information cooperative agreements are designed to received on or before March 21, 2016. on respondents, including through the address chronic diseases and risk factors ADDRESSES: You may submit comments, use of automated collection techniques for chronic diseases, including physical identified by Docket No. CDC–2016– or other forms of information inactivity, poor diet, obesity, and 0009 by any of the following methods: technology; and (e) estimates of capital tobacco use. These risk factors Federal eRulemaking Portal: or start-up costs and costs of operation, contribute to chronic conditions such as Regulation.gov. Follow the instructions maintenance, and purchase of services heart disease, cancer, diabetes, and for submitting comments. to provide information. Burden means obesity. Over three-year funding Mail: Leroy A. Richardson, the total time, effort, or financial periods, PICH and REACH awardees are Information Collection Review Office, resources expended by persons to providing support for implementation of Centers for Disease Control and generate, maintain, retain, disclose or broad, evidence- and practice-based Prevention, 1600 Clifton Road NE., MS– provide information to or for a Federal policy and environmental D74, Atlanta, Georgia 30329. agency. This includes the time needed improvements in large and small cities, Instructions: All submissions received to review instructions; to develop, urban and rural areas, tribes, multi- must include the agency name and acquire, install and utilize technology sector community coalitions, and racial Docket Number. All relevant comments and systems for the purpose of and ethnic communities experiencing received will be posted without change collecting, validating and verifying chronic disease disparities. PICH and to Regulations.gov, including any information, processing and REACH awardees include a mix of state,

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local, and tribal government entities as The two questions guiding this Three web-based survey instruments well as organizations based in the assessment of training and TA are: (1) have been developed to support revised private sector. How satisfied are DCH awardees with goals. The questions on each instrument DCH engaged contractors to provide the TA services they receive?; and (2) are tailored to the type of training or TA training and TA services to PICH and Do the customers of DCH, who receive service provided to DCH awardees (in- REACH awardees on a variety of topics. TA services, consider these services to person technical assistance, phone- ICF International provides training and be beneficial to them as they develop based technical assistance, or in-person TA on program implementation and capacity to move forward in or online training). Information sustainability (ICF–P), and also on implementing their community health collection will be open for evaluation (ICF–E); and FHI 360 interventions? Survey instruments approximately three months in spring/ provides training and TA related to include questions to assess the summer 2016. Respondents will be a communications (e.g., public education following dimensions of training and convenience sample of REACH and campaigns, social marketing, and using TA: PICH awardees who receive training and • Accessibility—awardees’ digital and social media). Services are TA within the data collection period. experience with acquiring training and provided in a variety of formats Based on DCH records of the training TA in the various formats (e.g., in- including in-person TA, phone-based and TA services provided to date, CDC TA, and in-person and online training. person, phone-based, Web-based); • Usefulness—perceptions about the estimates up to 40 respondents per The original information collection relevance of provided training and TA, survey. plan involved two needs assessments and whether it provides helpful Completion of the training and TA designed to inform the delivery of guidance for implementing and/or surveys will provide a rich set of training and TA services. The first needs evaluating community health information that can be used for assessment was conducted in 2015 and interventions and fits with the unique planning purposes and to ensure that the second was scheduled for fall 2016. contexts in which awardees work; DCH is responsive to the training needs CDC has since determined that program • Utilization—whether and how of awardees, is proactive in improving management will be better informed by awardees have actually used available support, and provides support in the an assessment of awardee satisfaction training and TA services, or whether format(s) most useful to awardees. with the training and TA services being awardees plan to apply the training and Findings will help DCH ensure that it provided than an additional needs TA received to their community health provides support that awardees perceive assessment. As a result, the needs work. to be accessible, useful, and of high assessment scheduled for fall 2016 will • Quality—opinions about the clarity, quality. The information will be used by be replaced with new surveys designed organization, visible appeal, credibility, DCH in aggregate. to assess the extent to which training and user-friendliness of training and TA and TA provided through the ICF–P, services; and OMB approval is requested until the ICF–E and FHI 360 contracts are being • Areas for Improvement— current expiration date of July 31, 2017. delivered as intended; to assess DCH recommendations for enhancing the The revised information collection plan awardees’ satisfaction with the services content, delivery and format of training will result in reductions in the number they receive and the usefulness of and TA, suggestions for increasing of responses and burden hours. provided services; and to inform awareness about available services, and Participation is voluntary and there are improvement to training and TA recommendations for addressing no costs to respondents other than their services. training and TA gaps. time.

ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of burden per Total Type of respondent Form name respondents responses per response burden respondent (in hr) (in hr)

Private Sector Respondents Associated with In-Person Technical Assist- 20 1 20/60 7 PICH or REACH Awards. ance Survey. Phone Technical Assistance 20 1 20/60 7 Survey. In-Person/Online Training Sur- 20 1 20/60 7 vey. State/Local/Tribal Government Sector Re- In-Person Technical Assist- 20 1 20/60 7 spondents Associated with PICH or REACH ance Survey. Awards. Phone Technical Assistance 20 1 20/60 7 Survey. In-Person/Online Training Sur- 20 1 20/60 7 vey. Total ...... 42

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Leroy A. Richardson, by fax to (202) 395–5806. Written response to an event that may involve Chief, Information Collection Review Office, comments should be received within 30 multiple agencies and to manage limited Office of Scientific Integrity, Office of the days of this notice. resources. LRN Laboratories must also Associate Director for Science, Office of the participate in and report results for Proposed Project Director, Centers for Disease Control and Proficiency Testing Challenges or Prevention. Background and Brief Description Validation Studies. LRN Laboratories [FR Doc. 2016–00940 Filed 1–19–16; 8:45 am] Laboratory Response Network, (OMB participate in multiple Proficiency BILLING CODE 4163–18–P Control Number 0920–0850, expires Testing Challenges, Exercises and/or April 30, 2016)—Extension—National Validation Studies every year consisting Center for Emerging and Zoonotic of five to 500 simulated samples DEPARTMENT OF HEALTH AND provided by the LRN Program Office. It HUMAN SERVICES Infectious Diseases (NCEZID), Centers for Disease Control and Prevention is necessary to conduct such challenges Centers for Disease Control and (CDC). in order to verify the testing capability Prevention of the LRN Laboratories. The rarity of Background and Brief Description biological or chemical agents perceived [30Day–16–0850] The Laboratory Response Network to be of bioterrorism concern prevents (LRN) was established by the some LRN Laboratories from Agency Forms Undergoing Paperwork maintaining proficiency as a result of Reduction Act Review Department of Health and Human Services (HHS), Centers for Disease day-to-day testing. Simulated samples The Centers for Disease Control and Control and Prevention (CDC) in are therefore distributed to ensure Prevention (CDC) has submitted the accordance with Presidential Decision proficiency across the LRN. The results following information collection request Directive 39, which outlined national obtained from testing these simulated to the Office of Management and Budget anti-terrorism policies and assigned samples must also be entered into (OMB) for review and approval in specific missions to Federal Results Messenger for evaluation by the accordance with the Paperwork departments and agencies. The LRN’s LRN Program Office. Reduction Act of 1995. The notice for mission is to maintain an integrated During a surge event resulting from a the proposed information collection is national and international network of bioterrorism or chemical terrorism published to obtain comments from the laboratories that can respond to attack, LRN Laboratories are also public and affected agencies. suspected acts of biological, chemical, required to submit all testing results Written comments and suggestions or radiological threats and other public using LRN Results Messenger. The LRN from the public and affected agencies health emergencies. Program Office requires these results in concerning the proposed collection of When Federal, State and local public order to track the progression of a information are encouraged. Your health laboratories voluntarily join the bioterrorism event and respond in the comments should address any of the LRN, they assume specific most efficient and effective way possible following: (a) Evaluate whether the responsibilities and are required to and for data sharing with other Federal proposed collection of information is provide information to the LRN Program partners involved in the response. The necessary for the proper performance of Office at CDC. Each laboratory must number of samples tested during a the functions of the agency, including submit and maintain complete response to a possible event could range whether the information will have information regarding the testing from 10,000 to more than 500,000 practical utility; (b) Evaluate the capabilities of the laboratory. samples depending on the length and accuracy of the agencies estimate of the Biennially, laboratories are required to breadth of the event. Since there is burden of the proposed collection of review, verify and update their testing potentially a large range in the number information, including the validity of capability information. Complete testing of samples for a surge event, CDC the methodology and assumptions used; capability information is required in estimates the annualized burden for this (c) Enhance the quality, utility, and order for the LRN Program Office to event will be 2,250,000 hours or 625 clarity of the information to be determine the ability of the Network to responses per respondent. collected; (d) Minimize the burden of respond to a biological or chemical The requalification occurred between the collection of information on those threat event. The sensitivity of all October 24, 2014 and November 7, 2014. who are to respond, including through information associated with the LRN We had 122 domestic LRN labs tasked the use of appropriate automated, requires the LRN Program Office to with completing the requalification. We electronic, mechanical, or other obtain personal information about all had a 90% response rate. technological collection techniques or individuals accessing the LRN Web site. We conducted LRN proficiency other forms of information technology, In addition, the LRN Program Office testing (PT). The purpose of PT is to e.g., permitting electronic submission of must be able to contact all laboratory simulate real samples for labs that responses; and (e) Assess information personnel during an event so each would not have regularly performed collection costs. laboratory staff member that obtains some of the LRN procedures. Having the To request additional information on access to the restricted LRN Web site ability to conduct LRN PTs under OMB the proposed project or to obtain a copy must provide his or her contact approval has led to improved laboratory of the information collection plan and information to the LRN Program Office. performance and better preparedness. In instruments, call (404) 639–7570 or As a requirement of membership, LRN FY13, the PT passing rate was 89%, send an email to [email protected]. Written Laboratories must report all biological which improved to 96% in FY14 and comments and/or suggestions regarding and chemical testing results to the LRN 97% in FY15. the items contained in this notice Program at CDC using a CDC developed There is no cost to the respondents should be directed to the Attention: software tool called the LRN Results other than their time. The total CDC Desk Officer, Office of Management Messenger. This information is essential estimated annualized burden is and Budget, Washington, DC 20503 or for surveillance of anomalies, to support 2,382,300 hours.

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ESTIMATED ANNUALIZED BURDEN HOURS

Average number Average burden Type of respondents Form name Number of of responses per per response respondents respondent (hours)

Public Health Laboratories ...... Biennial Requalification ...... 150 1 2 Public Health Laboratories ...... General Surveillance Testing Results ... 150 25 24 Public Health Laboratories ...... Proficiency Testing/Validation Testing 150 5 56 Results. Public Health Laboratories ...... Surge Event Testing Results ...... 150 625 24

Leroy A. Richardson, Prevention, 1600 Clifton Road NE., MS– burden of the collection of information Chief, Information Collection Review Office, D74, Atlanta, Georgia 30329. on respondents, including through the Office of Scientific Integrity, Office of the Instructions: All submissions received use of automated collection techniques Associate Director for Science, Office of the must include the agency name and or other forms of information Director, Centers for Disease Control and Docket Number. All relevant comments technology; and (e) estimates of capital Prevention. received will be posted without change or start-up costs and costs of operation, [FR Doc. 2016–00955 Filed 1–19–16; 8:45 am] to Regulations.gov, including any maintenance, and purchase of services BILLING CODE 4163–18–P personal information provided. For to provide information. Burden means access to the docket to read background the total time, effort, or financial documents or comments received, go to resources expended by persons to DEPARTMENT OF HEALTH AND Regulations.gov. generate, maintain, retain, disclose or HUMAN SERVICES Please note: All public comment should be provide information to or for a Federal Centers for Disease Control and submitted through the Federal eRulemaking agency. This includes the time needed Prevention portal (Regulations.gov) or by U.S. mail to the to review instructions; to develop, address listed above. acquire, install and utilize technology [60Day–16–1074; Docket No. CDC–2016– and systems for the purpose of 0006] FOR FURTHER INFORMATION CONTACT: To request more information on the collecting, validating and verifying Proposed Data Collection Submitted proposed project or to obtain a copy of information, processing and for Public Comment and the information collection plan and maintaining information, and disclosing Recommendations instruments, contact the Information and providing information; to train Collection Review Office, Centers for personnel and to be able to respond to AGENCY: Centers for Disease Control and Disease Control and Prevention, 1600 a collection of information, to search Prevention (CDC), Department of Health Clifton Road NE., MS–D74, Atlanta, data sources, to complete and review and Human Services (HHS). Georgia 30329; phone: 404–639–7570; the collection of information; and to ACTION: Notice with comment period. Email: [email protected]. transmit or otherwise disclose the SUPPLEMENTARY INFORMATION: information. SUMMARY: The Centers for Disease Under the Control and Prevention (CDC), as part of Paperwork Reduction Act of 1995 (PRA) Proposed Project (44 U.S.C. 3501–3520), Federal agencies its continuing efforts to reduce public Colorectal Cancer Control Program burden and maximize the utility of must obtain approval from the Office of Management and Budget (OMB) for each (CRCCP) Monitoring Activities—(OMB government information, invites the No. 0920–1074, exp. 12/31/2015)— general public and other Federal collection of information they conduct or sponsor. In addition, the PRA also Reinstatement with Change—National agencies to take this opportunity to requires Federal agencies to provide a Center for Chronic Disease Prevention comment on proposed and/or 60-day notice in the Federal Register and Health Promotion (NCCDPHP), continuing information collections, as concerning each proposed collection of Centers for Disease Control and required by the Paperwork Reduction information, including each new Prevention (CDC). Act of 1995. This notice invites proposed collection, each proposed comment on the information collection Background and Brief Description extension of existing collection of project entitled ‘‘Colorectal Cancer information, and each reinstatement of CDC is requesting a reinstatement Control Program CRCCP) Monitoring previously approved information with change of the information Activities’’. CDC is requesting a collection before submitting the collection with the OMB Control reinstatement with change of OMB No. collection to OMB for approval. To number 0920–1074, formerly entitled 0920–1074 to include a redesigned comply with this requirement, we are ‘‘Annual Survey of Colorectal Cancer survey and a new clinic-level data publishing this notice of a proposed Control Activities Conducted by States collection. data collection as described below. and Tribal Organizations.’’ In the DATES: Written comments must be Comments are invited on: (a) Whether previous OMB approval period, received on or before March 21, 2016. the proposed collection of information information collection consisted of an ADDRESSES: You may submit comments, is necessary for the proper performance annual grantee survey. In the next OMB identified by Docket No. CDC–2016– of the functions of the agency, including approval period, information collection 0006 by any of the following methods: whether the information shall have will consist of a redesigned survey and Federal eRulemaking Portal: practical utility; (b) the accuracy of the a new clinic-level data collection. The Regulation.gov. Follow the instructions agency’s estimate of the burden of the number of respondents will increase for submitting comments. proposed collection of information; (c) and the total estimated annualized Mail: Leroy A. Richardson, ways to enhance the quality, utility, and burden will increase. Information Collection Review Office, clarity of the information to be Among cancers that affect both men Centers for Disease Control and collected; (d) ways to minimize the and women, colorectal cancer (CRC) is

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the second leading cause of death from increase CRC screening rates among an RFA–DP15–1502) requires that CDC cancer in the United States. CRC applicant defined target population of monitor and evaluate the CRCCP and screening has been shown to reduce persons 50–75 years of age within a individual grantee performance using incidence of and death from the disease. partner health system serving a defined both process and outcome evaluation. Screening for CRC can detect disease geographical area or disparate Two forms of data collection are early when treatment is more effective population. proposed. First, the CRCCP grantee and prevent cancer by finding and The CRCCP was significantly survey was redesigned to align with removing precancerous polyps. Of redesigned in 2015 and has two new CRCCP goals. The grantee survey individuals diagnosed with early stage components. Under Component 1, all 31 will be submitted to CDC annually. CRC, more than 90% live five or more CRCCP grantees receive funding to Second, CDC proposes to collect clinic- years. Despite strong evidence support partnerships with health level data to assess changes in CDC’s supporting screening, only 65% of systems to implement up to four priority primary outcome of interest, i.e., CRC adults currently report being up-to-date evidence-based interventions (EBIs) screening rates within partner health with CRC screening as recommended by described in the Guide to Community systems. Each grantee will complete a the U.S. Preventive Services Task Force, Preventive Services, as well as other clinic-level data template once per with more than 22 million age-eligible supporting strategies. Grantees must month. All information will be reported adults estimated to be untested. To implement at least two EBIs in each to CDC electronically. reduce CRC morbidity, mortality, and partnering health system. Under associated costs, use of CRC screening Component 2, 6 of the 31 CRCCP The information collection will tests must be increased among age- grantees will provide direct screening enable CDC to gauge progress in meeting eligible adults with the lowest CRC and follow-up clinical services for a CRCCP program goals and to monitor screening rates. limited number of individuals aged 50– implementation activities, evaluate CDC’s Colorectal Cancer Control 64 in the program’s priority population outcomes, and identify grantee technical Program (CRCCP) currently provides who are asymptomatic, at average risk assistance needs. In addition, findings funding to 31 grantees under for CRC, have inadequate or no health will inform program improvement and ‘‘Organized Approaches to Increase insurance for CRC screening, and are help identify successful activities that Colorectal Cancer Screening’’ (CDC– low income need to be maintained, replicated, or RFA–DP15–1502). CRCCP grantees Based on the redesigned CRCCP, the expanded. include state governments or bona-fide information collection plan has also OMB approval is requested for three agents, universities, and tribal been redesigned to address the two years. Participation is required for organizations. The purpose of the new program components. The new CRCCP awardees. There are no costs to cooperative agreement program is to cooperative agreement program (CDC– respondents other than their time.

ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of burden per Total burden Type of respondent Form name respondents responses per response (in hr) respondent (in hr)

CRCCP Grantees ...... CRCCP Annual Grantee Sur- 31 1 45/60 23 vey. CRCCP Clinic-level Data 31 12 30/60 186 Collection Template.

Total ...... 209

Leroy A. Richardson, DEPARTMENT OF HEALTH AND general public and other Federal Chief, Information Collection Review Office, HUMAN SERVICES agencies to take this opportunity to Office of Scientific Integrity, Office of the comment on proposed and/or Associate Director for Science, Office of the Centers for Disease Control and continuing information collections, as Director, Centers for Disease Control and Prevention required by the Paperwork Reduction Prevention. Act of 1995. This notice invites [FR Doc. 2016–00939 Filed 1–19–16; 8:45 am] [60 Day–16–1061; Docket No. CDC–2016– 0008] comment on the Behavioral Risk Factor BILLING CODE 4163–18–P Surveillance System (BRFSS), a state- Proposed Data Collection Submitted level survey of health risk behaviors and for Public Comment and chronic health conditions. Survey Recommendations questions are updated each year. The information collection is being revised AGENCY: Centers for Disease Control and to incorporate an annual field test of Prevention (CDC), Department of Health proposed changes prior to their and Human Services (HHS). implementation on a broad scale. ACTION: Notice with comment period. DATES: Written comments must be SUMMARY: The Centers for Disease received on or before March 21, 2016. Control and Prevention (CDC), as part of its continuing efforts to reduce public ADDRESSES: You may submit comments, burden and maximize the utility of identified by Docket No. CDC–2016– government information, invites the 0008 by any of the following methods:

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Federal eRulemaking Portal: maintenance, and purchase of services encouraged to adopt. These standards Regulation.gov. Follow the instructions to provide information. Burden means allow for state-to-state data comparisons for submitting comments. the total time, effort, or financial as well as comparisons over time. Mail: Leroy A. Richardson, resources expended by persons to The BRFSS questionnaire is based on Information Collection Review Office, generate, maintain, retain, disclose or modular design principles to Centers for Disease Control and provide information to or for a Federal accommodate a variety of state-specific Prevention, 1600 Clifton Road NE., MS– agency. This includes the time needed needs within a common framework. All D74, Atlanta, Georgia 30329. to review instructions; to develop, participating states are required to Instructions: All submissions received acquire, install and utilize technology administer a standardized core must include the agency name and and systems for the purpose of questionnaire which provides a set of Docket Number. All relevant comments collecting, validating and verifying shared health indicators for all BRFSS received will be posted without change information, processing and partners. The BRFSS core questionnaire to Regulations.gov, including any maintaining information, and disclosing consists of fixed core, rotating core, and personal information provided. For and providing information; to train emerging core questions. Fixed core access to the docket to read background personnel and to be able to respond to questions are asked every year. Rotating documents or comments received, go to a collection of information, to search core questions cycle on and off the core Regulations.gov. data sources, to complete and review questionnaire during even or odd years, Please note: All public comment should be the collection of information; and to depending on the question. Emerging submitted through the Federal eRulemaking transmit or otherwise disclose the core questions are included in the core portal (Regulations.gov) or by U.S. mail to the information. questionnaire as needed to collect data address listed above. on urgent or emerging health topics Proposed Project such as influenza. FOR FURTHER INFORMATION CONTACT: To Behavioral Risk Factor Surveillance In addition, the BRFSS includes a request more information on the System (BRFSS) (OMB No. 0920–1061, series of optional modules on a variety proposed project or to obtain a copy of exp. 3/31/2018)—Revision—National of topics. In off-years when the rotating the information collection plan and Center for Chronic Disease Prevention questions are not included in the core instruments, contact the Information and Health Promotion (NCCDPHP), questionnaire, they are offered to states Collection Review Office, Centers for Centers for Disease Control and as an optional module. This framework Disease Control and Prevention, 1600 Prevention (CDC). allows each state to produce a Clifton Road NE., MS–D74, Atlanta, customized BRFSS survey by appending Georgia 30329; phone: 404–639–7570; Background and Brief Description selected optional modules to the core Email: [email protected]. The Behavioral Risk Factor survey. States may select which, if any, SUPPLEMENTARY INFORMATION: Under the Surveillance System (BRFSS) is a CDC- optional modules to administer. As Paperwork Reduction Act of 1995 (PRA) sponsored system of cross-sectional needed, CDC provides technical and (44 U.S.C. 3501–3520), Federal agencies telephone health surveys concerning methodological assistance to state must obtain approval from the Office of individual health risk behaviors, health BRFSS coordinators in the construction Management and Budget (OMB) for each conditions, and preventive health of their state-specific surveys. collection of information they conduct practices that are associated with The CDC and BRFSS partners produce or sponsor. In addition, the PRA also chronic diseases, infectious diseases, a new set of state-specific BRFSS requires Federal agencies to provide a and injury. The BRFSS is administered questionnaires each calendar year (i.e., 60-day notice in the Federal Register annually by health departments in 2016 BRFSS questionnaires, 2017 concerning each proposed collection of states, territories, and the District of BRFSS questionnaires, etc.). CDC information, including each new Columbia (collectively referred to as submits an annual Change Request to proposed collection, each proposed states). An independent sample of OMB outlining updates to the BRFSS extension of existing collection of respondents is drawn for each state. The core survey and optional modules that information, and each reinstatement of system is designed to produce have occurred since the previous year. previously approved information information that is specific to the public Each state administers its BRFSS collection before submitting the health needs of each participating questionnaire throughout the calendar collection to OMB for approval. To jurisdiction, and for many is the only year. The BRFSS partnership thus comply with this requirement, we are source of health risk data amenable to results in a flexible, coordinated publishing this notice of a proposed their uses. Although national estimates information collection system that is data collection as described below. of some health risk behaviors are adaptive to national and state-specific Comments are invited on: (a) Whether available, the methods used to produce needs. the proposed collection of information national estimates do not typically The current estimated average burden is necessary for the proper performance produce the type of detailed information for the core BRFSS interview is 15 of the functions of the agency, including needed to plan and implement public minutes. For the optional modules, the whether the information shall have health programs; moreover, national estimated average burden per response practical utility; (b) the accuracy of the estimates provide only limited insight varies by state and year, but is currently agency’s estimate of the burden of the into regional or state-specific variability estimated at an additional 15 minutes. proposed collection of information; (c) in health status and risk factors. Over Finally, the BRFSS allows states to ways to enhance the quality, utility, and time the BRFSS has developed into an customize some portions of the clarity of the information to be important data collection system that questionnaire through the addition of collected; (d) ways to minimize the federal agencies rely on for state and state-added questions, which are neither burden of the collection of information local health information and to track reviewed nor approved by the CDC. on respondents, including through the national health objectives such as State-added questions are not included use of automated collection techniques Healthy People. Through the BRFSS in CDC’s burden estimates. or other forms of information partnership, CDC has established CDC periodically updates the BRFSS technology; and (e) estimates of capital standard protocols for BRFSS data core survey and optional modules as or start-up costs and costs of operation, collection which all states are new modules or emerging core

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questions are adopted. The purpose of redundant or overlapping. Extant interview, approximately 400 this Revision request is to incorporate sections of the questionnaire unrelated respondents per year will be determined field testing into the approved to new items do not require testing. The ineligible or will decline to participate. information collection plan. demographic questions on the core The estimated burden per response for Field testing is the final check of BRFSS survey are included on each these respondents is one minute. An changes in the questionnaire which field test. additional 500 respondents will have occurred in the preceding year. Since the field test instrument participate in both the screening Field testing is conducted in a manner changes annually, it will be submitted interview and the actual field test. The that mimics the full-scale project to OMB for approval as an additional estimated burden for these respondents protocol, to the degree that is feasible. Change Request prior to is 45 minutes. In years when fewer new Field testing is the final means by which implementation. Field tests are typically questions and/or changes are proposed changes are made in data collection conducted in a single state with to the BRFSS questionnaire, field testing methods and data collection software is appropriate computer-assisted will impose a lesser burden. The revised tested. Field tests are used to identify telephone interview (CATI) capability. total annualized estimates are 1,644,127 problems with instrument Individuals who participate in field responses and 265,125 burden hours. documentation or instructions, testing are drawn from a different Information collection is conducted problems with conditional logic (e.g., sample than individuals who participate primarily to support state and local skip patterns), software errors or other in the BRFSS surveys. health departments, which plan and implementation and usability issues. The BRFSS was initially approved evaluate public health programs at the Field testing is conducted with all new with annualized estimates of 1,643,227 state or sub-state level. Information modules, emerging core questions, responses and 255,915 burden hours collected through the BRFSS is also sections which precede and/or follow inclusive of the core survey and used by the federal government and any new or changed items and extant optional modules. CDC is requesting an other entities. Participation in the sections which are topically related. additional allocation of 900 responses BRFSS and its field test is voluntary and This testing is conducted to ensure that and 9,210 burden hours to conduct the there are no costs to respondents other questions are not perceived as annual field test. After a brief screening than their time.

ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of burden per Total burden Type of respondents Form name respondents responses per response (in hr) respondent (in hr)

U.S. General Population ...... Landline Screener ...... 440,486 1 1/60 7,341 Cell Phone Screener ...... 223,334 1 1/60 3,722 Field Test Screener ...... 400 1 1/60 7 Annual Survey Respondents(Adults >18 BRFSS Core Survey ...... 494,650 1 15/60 123,662 Years). BRFSS Optional Modules .... 484,757 1 15/60 121,189 Field Test Respondents(Adults >18 Years) Field Test Survey ...... 500 1 45/60 375 Total ...... 256,296

Leroy A. Richardson, SUMMARY: The Centers for Disease Prevention, 1600 Clifton Road, NE., Chief, Information Collection Review Office, Control and Prevention (CDC), as part of MS–D74, Atlanta, Georgia 30329. Office of Scientific Integrity, Office of the its continuing efforts to reduce public Instructions: All submissions received Associate Director for Science, Office of the burden and maximize the utility of must include the agency name and Director, Centers for Disease Control and government information, invites the Docket Number. All relevant comments Prevention. general public and other Federal received will be posted without change [FR Doc. 2016–00938 Filed 1–19–16; 8:45 am] agencies to take this opportunity to to Regulations.gov, including any BILLING CODE 4163–18–P comment on proposed and/or personal information provided. For continuing information collections, as access to the docket to read background required by the Paperwork Reduction documents or comments received, go to DEPARTMENT OF HEALTH AND Act of 1995. This notice invites Regulations.gov. HUMAN SERVICES comment on the proposed information Please note: All public comment should be submitted through the Centers for Disease Control and collect project entitled ‘‘The Pregnancy Risk Assessment Surveillance System’’. Federal eRulemaking portal Prevention (Regulations.gov) or by U.S. mail to the DATES: Written comments must be address listed above. [60Day–16–16JO; Docket No. CDC–2016– received on or before March 21, 2016. 0005] FOR FURTHER INFORMATION CONTACT: To ADDRESSES: You may submit comments, request more information on the Proposed Data Collection Submitted identified by Docket No. CDC–2016– proposed project or to obtain a copy of for Public Comment and 0005 by any of the following methods: the information collection plan and Recommendations Federal eRulemaking Portal: instruments, contact the Information Regulation.gov. Follow the instructions AGENCY: Centers for Disease Control and Collection Review Office, Centers for Prevention (CDC), Department of Health for submitting comments. Disease Control and Prevention, 1600 and Human Services (HHS). Mail: Leroy A. Richardson, Clifton Road, NE., MS–D74, Atlanta, Information Collection Review Office, Georgia 30329; phone: 404–639–7570; ACTION: Notice with comment period. Centers for Disease Control and Email: [email protected].

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SUPPLEMENTARY INFORMATION: Under the Proposed Project or address special topics such history of Paperwork Reduction Act of 1995 (PRA) The Pregnancy Risk Assessment breast and ovarian cancer. States not (44 U.S.C. 3501–3520), Federal agencies Monitoring System (PRAMS)—Existing intending to implement the survey on must obtain approval from the Office of Collection in Use without an OMB an ongoing basis, can instead employ a Management and Budget (OMB) for each Control Number—National Center for point-in-time survey consisting of core collection of information they conduct Chronic Disease Prevention and Health and standard questions. Increasingly, or sponsor. In addition, the PRA also Promotion (NCCDPHP), Centers for PRAMS infrastructure is used to support requires Federal agencies to provide a Disease Control and Prevention (CDC). emerging needs and special-purpose 60-day notice in the Federal Register information collection relevant to the concerning each proposed collection of Background and Brief Description core mission of improving maternal and information, including each new The Centers for Disease Control and child health. For example, pregnant or proposed collection, each proposed Prevention (CDC) seeks OMB approval postpartum women may have unique extension of existing collection of to collect information through the needs in some circumstances, such as information, and each reinstatement of Pregnancy Risk Assessment Monitoring disease outbreaks or natural disasters. previously approved information System (PRAMS) for three years. The Because PRAMS infrastructure was collection before submitting the PRAMS is a customized mail and developed to access a specific and collection to OMB for approval. To telephone survey currently conducted vulnerable subpopulation, the PRAMS comply with this requirement, we are by 41 sites (40 states and New York infrastructure can be rapidly adapted for publishing this notice of a proposed City) collectively called ‘‘states’’ or targeted information collection that data collection as described below. ‘‘jurisdictions’’ in this document. In would not be feasible with other Comments are invited on: (a) Whether 2016 PRAMS intends to expand to all 50 surveillance methods. the proposed collection of information states. States submit their PRAMS data sets is necessary for the proper performance PRAMS supplements vital records to CDC for cleaning and weighting, and of the functions of the agency, including data by providing state-specific CDC returns the data sets to the whether the information shall have information on maternal behaviors and respective state of origin for its use. CDC practical utility; (b) the accuracy of the experiences. Respondents are pregnant has implemented a Web-based data agency’s estimate of the burden of the or postpartum women. Every month, in collection and management system that proposed collection of information; (c) each participating state, a sample of 100 enhances authorized users’ ability to ways to enhance the quality, utility, and to 300 women who have recently given monitor and improve survey operations clarity of the information to be birth to a live infant is selected from in real time and survey participants to collected; (d) ways to minimize the birth certificates. The sample is complete a survey online via mobile burden of the collection of information stratified based on the state’s population devices. The system also enhances the on respondents, including through the of interest to ensure high-risk ability of CDC and states to conduct use of automated collection techniques populations are represented in the data. additional information collection or other forms of information Information is collected by self- related to surveillance of a vulnerable technology; and (e) estimates of capital administered mail survey with population, emerging needs for maternal or start-up costs and costs of operation, telephone follow-up for non-responders. and child health program planning, or maintenance, and purchase of services Because PRAMS uses standardized data special purpose studies designed to to provide information. Burden means collection methods, it allows data to be elucidate factors that influence material the total time, effort, or financial compared among states. and child health. resources expended by persons to The PRAMS survey instrument is PRAMS data are used by state generate, maintain, retain, disclose or based on a core set of questions governments to plan and review provide information to or for a Federal common across all states. Core preconception and perinatal health agency. This includes the time needed questions request information that is not programs and policies aimed at to review instructions; to develop, available from vital records; information reducing health problems among acquire, install and utilize technology about health conditions, prenatal care, mothers and babies, and by researchers and systems for the purpose of postpartum care, access to care, or to investigate emerging issues in the collecting, validating and verifying health insurance status; information field of reproductive health. information, processing and about contraception, health habits or The burden estimate for PRAMS maintaining information, and disclosing risk behaviors; and information about includes two types of information and providing information; to train other topics such as breastfeeding. In collection: (1) Information collection personnel and to be able to respond to addition, CDC provides participating associated with the standard PRAMS a collection of information, to search states with standard but optional core questions, and (2) information data sources, to complete and review questions that states may use to collection associated with supplemental the collection of information; and to customize survey content for their activities. Participation is voluntary and transmit or otherwise disclose the specific needs. These questions can be there are no costs to respondents other information. used to address state-specific priorities, than their time.

ESTIMATED ANNUALIZED BURDEN HOURS

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

Women of child-bearing age who recently PRAMS Core and Standard 50,150 1 25/60 20,896 delivered a live born infant. Phase 8 Questions (English).

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ESTIMATED ANNUALIZED BURDEN HOURS—Continued

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

PRAMS Core and Standard 6,054 1 34/60 3,431 Phase 8 Questions (Span- ish). PRAMS Point in Time Core 5,200 1 24/60 2,080 and Standard Phase 8 Questions. PRAMS Supplemental Ques- 8,000 1 15/60 2,000 tions on Family History of Breast and Ovarian Can- cer.

Total ...... 28,407

Leroy A. Richardson, ADDRESSES: You may submit comments, collection before submitting the Chief, Information Collection Review Office, identified by Docket No. CDC–2016– collection to OMB for approval. To Office of Scientific Integrity, Office of the 0007 by any of the following methods: comply with this requirement, we are Associate Director for Science, Office of the • Federal eRulemaking Portal: publishing this notice of a proposed Director, Centers for Disease Control and Regulation.gov. Follow the instructions data collection as described below. Prevention. for submitting comments. Comments are invited on: (a) Whether [FR Doc. 2016–00936 Filed 1–19–16; 8:45 am] • Mail: Leroy A. Richardson, the proposed collection of information BILLING CODE 4163–18–P Information Collection Review Office, is necessary for the proper performance Centers for Disease Control and of the functions of the agency, including Prevention, 1600 Clifton Road NE., MS– whether the information shall have DEPARTMENT OF HEALTH AND D74, Atlanta, Georgia 30329. practical utility; (b) the accuracy of the HUMAN SERVICES Instructions: All submissions received agency’s estimate of the burden of the must include the agency name and proposed collection of information; (c) Centers for Disease Control and Docket Number. All relevant comments Prevention ways to enhance the quality, utility, and received will be posted without change clarity of the information to be [60 Day–16–0853; Docket No. CDC–2016– to Regulations.gov, including any collected; (d) ways to minimize the 0007] personal information provided. For burden of the collection of information access to the docket to read background Proposed Data Collection Submitted on respondents, including through the documents or comments received, go to use of automated collection techniques for Public Comment and Regulations.gov. Recommendations or other forms of information Please note: All public comment should be technology; and (e) estimates of capital AGENCY: Centers for Disease Control and submitted through the Federal eRulemaking or start-up costs and costs of operation, Prevention (CDC), Department of Health portal (Regulations.gov) or by U.S. mail to the maintenance, and purchase of services address listed above. and Human Services (HHS). to provide information. Burden means ACTION: Notice with comment period. FOR FURTHER INFORMATION CONTACT: To the total time, effort, or financial request more information on the resources expended by persons to SUMMARY: The Centers for Disease proposed project or to obtain a copy of generate, maintain, retain, disclose or Control and Prevention (CDC), as part of the information collection plan and provide information to or for a Federal its continuing efforts to reduce public instruments, contact the Information agency. This includes the time needed burden and maximize the utility of Collection Review Office, Centers for to review instructions; to develop, government information, invites the Disease Control and Prevention, 1600 acquire, install and utilize technology general public and other Federal Clifton Road NE., MS–D74, Atlanta, and systems for the purpose of agencies to take this opportunity to Georgia 30329; phone: 404–639–7570; collecting, validating and verifying comment on proposed and/or Email: [email protected]. information, processing and continuing information collections, as SUPPLEMENTARY INFORMATION: Under the maintaining information, and disclosing required by the Paperwork Reduction Paperwork Reduction Act of 1995 (PRA) and providing information; to train Act of 1995. This notice invites (44 U.S.C. 3501–3520), Federal agencies personnel and to be able to respond to comment on the revision of the must obtain approval from the Office of a collection of information, to search ‘‘Asthma Information Reporting System Management and Budget (OMB) for each data sources, to complete and review (AIRS)’’ information collection plan. collection of information they conduct the collection of information; and to The purpose of AIRS is to collect or sponsor. In addition, the PRA also transmit or otherwise disclose the performance measure and surveillance requires Federal agencies to provide a information. data spreadsheets designed to increase 60-day notice in the Federal Register Proposed Project the efficiency and effectiveness of state concerning each proposed collection of asthma programs and to monitor the information, including each new Asthma Information and Reporting impact of the state and national proposed collection, each proposed System (AIRS)—(OMB Control No. programs. extension of existing collection of 0920–0853; exp. 05/31/2016)— DATES: Written comments must be information, and each reinstatement of Revision—National Center for received on or before March 21, 2016. previously approved information Environmental Health (NCEH), Centers

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for Disease Control and Prevention programmatic data allows CDC to longer supported by CDC; (2) in (CDC). provide timely and accurate responses collaboration with state asthma to the public and Congress regarding the programs, reporting requirements have Background and Brief Description NACP (e.g., trends in rates of hospital been prioritized to provide specific In 1999, the CDC began its National discharges and emergency department information on the two main strategies Asthma Control Program (NACP), a visits, how many states have asthma in the FOA: Services (home visits and population-based public health interventions targeting schools or day school-based self-management approach to address the burden of care facilities, etc.). In the past three- education) and services strategies asthma. The program supports the goals years, AIRS data were used to: (improving quality of medical and objectives of ‘‘Healthy People 2010’’ D Serve as a resource to the branch, management, improving referrals to and for asthma and is based on the public division, and center when addressing communication with school and home- health principles of surveillance, congressional, departmental and based providers and increasing partnerships, interventions, and institutional inquiries; provision or reimbursement for non- evaluation. The CDC requests to revise D Help the branch align its current clinical asthma services by health the ‘‘Asthma Information and Reporting interventions with CDC goals and plans); and (3) CDC now endorses System (AIRS)’’ (OMB Control No. allowed the monitoring of progress limiting state program reporting to once 0920–0853; expiration date 5/31/2016). toward these goals; a year. AIRS also includes forms to The goal of this data collection is to D Allow the NACP and the state collect aggregate emergency department provide NCEH with routine information asthma programs to make more (ED) visit and hospital discharge (HD) about the activities and performance of informed decisions about activities to data from awardees. As in the previous the state and territorial awardees funded achieve objectives; version of AIRS, NACP requires under the NACP through an annual D Facilitate communication about awardees to report hospital discharge reporting system. As regular reporting of interventions across states, and enable and emergency department visit counts this information is a requirement of the inquiries regarding interventions by by 19 age groups to permit age adjusted cooperative agreement mechanism populations with a disproportionate rates and thus monitor the state utilized to fund state asthma control burden, age groups, geographic areas programs’ performance in reducing the programs, a three-year extension for and other variables of interest. burden of asthma. Specifically, CDC PRA clearance is requested. Aggregated data from AIRS was seeks to make the following changes: This data collection was first presented at the 2015 State Asthma • Rather than using the web-based approved by OMB in 2010 to collect Grantee in Atlanta for the purposes of system, state awardees will use AIRS data in a Web-based system to monitor providing feedback to the state Excel spreadsheets to report CDC- and guide participating state health programs, clarifying CDC’s expectations developed outcome performance departments. Since implementation in of the awardees and obtaining feedback measures. 2010, AIRS and the technical assistance from the awardees to CDC on the • The performance measures will be provided by CDC staff have provided measures and the process of submitting collected annually, rather than states with uniform data reporting information. Also, a presentation about biannually as previously approved. methods and linkages to other states’ the performance measurement There will be no cost for respondents asthma programs and data. Thus, AIRS development and implementation other than the time taken to complete has saved state resources and staff time process was given in Chicago at the the 3 three AIRS spreadsheets. With this when asthma programs embark on 2015 American Evaluation Association revision, the number of awardees has asthma activities similar to those done (AEA) annual meeting. been reduced from 34 to 23 states, and elsewhere. Furthermore, access to A revision is necessary because: (1) the total estimated annual burden hours standardized surveillance and The Web-based reporting platform is no are reduced from 288 to 82 hours.

ESTIMATED ANNUALIZED BURDEN HOURS

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

State Asthma Program Awardees ...... AIRS Reporting Spread- 23 1 2.5 58 sheets. Emergency Department Vis- 23 1 30/60 12 its Reporting Forms. Hospital Discharge Reporting 23 1 30/60 12 Forms.

Total ...... 82

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Leroy A. Richardson, Number: (202) 395–5806 OR, Email: of problems and questions consumers Chief, Information Collection Review Office, [email protected]. may experience with health coverage, Office of Scientific Integrity, Office of the To obtain copies of a supporting and how these problems and questions Associate Director for Science, Office of the statement and any related forms for the are resolved. In order to strengthen Director, Centers for Disease Control and proposed collection(s) summarized in oversight, the law requires programs to Prevention. this notice, you may make your request report data to the Secretary of the [FR Doc. 2016–00937 Filed 1–19–16; 8:45 am] using one of following: Department of Health and Human BILLING CODE 4163–18–P 1. Access CMS’ Web site address at Services (HHS) ‘‘As a condition of http://www.cms.hhs.gov/Paperwork receiving a grant under subsection (a), ReductionActof1995. an office of health insurance consumer DEPARTMENT OF HEALTH AND 2. Email your request, including your assistance or ombudsman program shall HUMAN SERVICES address, phone number, OMB number, be required to collect and report data to and CMS document identifier, to the Secretary on the types of problems Centers for Medicare & Medicaid [email protected]. Services and inquiries encountered by 3. Call the Reports Clearance Office at consumers’’ (Sec. 2793 (d)). Analysis of (410) 786–1326. this data reporting will help identify [Document Identifiers: CMS–10333 and FOR FURTHER INFORMATION CONTACT: patterns of practice in the insurance CMS–10526] Reports Clearance Office at (410) 786– marketplaces and uncover suspected Agency Information Collection 1326. patterns of noncompliance. HHS must Activities: Submission for OMB SUPPLEMENTARY INFORMATION: Under the share program data reports with the Review; Comment Request Paperwork Reduction Act of 1995 (PRA) Departments of Labor and Treasury, and (44 U.S.C. 3501–3520), federal agencies State regulators. Program data also can AGENCY: Centers for Medicare and must obtain approval from the Office of offer CCIIO one indication of the Medicaid Services, HHS. Management and Budget (OMB) for each effectiveness of State enforcement, ACTION: Notice. collection of information they conduct affording opportunities to provide or sponsor. The term ‘‘collection of technical assistance and support to State SUMMARY: The Centers for Medicare & information’’ is defined in 44 U.S.C. insurance regulators and, in extreme Medicaid Services (CMS) is announcing 3502(3) and 5 CFR 1320.3(c) and cases, inform the need to trigger federal an opportunity for the public to includes agency requests or enforcement. Form Number: CMS– comment on CMS’ intention to collect requirements that members of the public 10333 (OMB Control Number: 0938– information from the public. Under the submit reports, keep records, or provide 1097); Frequency: Annually, Quarterly; Paperwork Reduction Act of 1995 information to a third party. Section Affected Public: Private Sector: State, (PRA), federal agencies are required to 3506(c)(2)(A) of the PRA (44 U.S.C. Local, or Tribal Governments; Number publish notice in the Federal Register 3506(c)(2)(A)) requires federal agencies of Respondents: 51; Total Annual concerning each proposed collection of to publish a 30-day notice in the Responses: 459; Total Annual Hours: information, including each proposed Federal Register concerning each 9,588. (For policy questions regarding extension or reinstatement of an existing proposed collection of information, this collection contact Lateefa Dawkins collection of information, and to allow including each proposed extension or at 301–492–4262.) a second opportunity for public reinstatement of an existing collection 2. Type of Information Collection comment on the notice. Interested of information, before submitting the Request: Revision of a previously persons are invited to send comments collection to OMB for approval. To approved collection of information; regarding the burden estimate or any comply with this requirement, CMS is Title of Information Collection: Cost other aspect of this collection of publishing this notice that summarizes Sharing Reduction Reconciliation; Use: information, including any of the the following proposed collection(s) of Under established Department of Health following subjects: (1) The necessity and information for public comment: and Human Services (HHS) regulations, utility of the proposed information 1. Type of Information Collection qualified health plan (QHP) issuers will collection for the proper performance of Request: Extension of a currently receive estimated advance payments of the agency’s functions; (2) the accuracy approved collection; Title of cost-sharing reductions throughout the of the estimated burden; (3) ways to Information Collection: Consumer year. Each issuer will then be subject to enhance the quality, utility, and clarity Assistance Program Grants; Use: Section a reconciliation process at the end of the of the information to be collected; and 1002 of the Affordable Care Act benefit year to ensure that each issuer is (4) the use of automated collection provides for the establishment of reimbursed only for cost sharing techniques or other forms of information consumer assistance (or ombudsman) reductions provided. This revised technology to minimize the information programs, starting in FY 2010. Federal collection establishes the data elements collection burden. grants will support these programs. that a QHP issuer would be required to DATES: Comments on the collection(s) of These programs will assist consumers report to HHS in order to establish the information must be received by the with filing complaints and appeals, cost-sharing reductions provided on OMB desk officer by February 19, 2016. assist consumers with enrollment into behalf of enrollees for the benefit year. ADDRESSES: When commenting on the health coverage, collect data on Comments submitted during the 60-day proposed information collections, consumer inquiries and complaints to comment period were addressed in a please reference the document identifier identify problems in the marketplace, Response to Comments document. Form or OMB control number. To be assured educate consumers on their rights and Number: CMS–10526 (OMB Control consideration, comments and responsibilities, and with the Number: 0938–1266); Frequency: recommendations must be received by establishment of the new Exchange Annually; Affected Public: Private the OMB desk officer via one of the marketplaces, resolve problems with Sector (business or other for-profits); following transmissions: OMB, Office of premium credits for Exchange coverage. Number of Respondents: 295; Total Information and Regulatory Affairs, Importantly, these programs must Annual Responses: 4,000,000; Total Attention: CMS Desk Officer, Fax provide detailed reporting on the types Annual Hours: 2,470. (For policy

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questions regarding this collection DEPARTMENT OF HEALTH AND order. The Department of Health and contact Patricia Meisol at 410–786– HUMAN SERVICES Human Services (DHHS) developed and 1917.) maintains Part A of the NMSN, which Administration for Children and is sent to an obligor’s employer for Dated: January 14, 2016. Families completion; the Department of Labor William N. Parham, III, (DOL) developed and maintains Part B Director, Paperwork Reduction Staff, Office Proposed Information Collection of the NMSN, which is provided to of Strategic Operations and Regulatory Activity; Comment Request health care administrators following Affairs. Proposed Projects completion of Part A. [FR Doc. 2016–00994 Filed 1–19–16; 8:45 am] The Administration for Children and BILLING CODE 4120–01–P Title: National Medical Support Families is resubmitting an unchanged Notice. information collection package and OMB No.: 0970–0222. requesting an extension to the current Description: The National Medical OMB approval of NMSN Part A. The Support Notice (NMSN) is a two-part NMSN Part A expiration dates will be document completed by state child synchronize with the expiration date of support enforcement agencies, NMSN Part B. employers, and health plan Respondents: State child support administrators to enforce health care enforcement agencies, employers, and coverage provisions in a child support health plan administrators.

ANNUAL BURDEN ESTIMATES

Number of Average Instrument Number of responses per burden hours Total burden respondents respondent per response hours

National Medical Support Notice—Part A—Notice to Withhold for Health Care Coverage ...... 54 97,775 0.17 897,574.50 Estimated Total Annual Burden Hours: ...... 897,574.50

In compliance with the requirements comments and suggestions submitted The expansion supplement grant will of Section 506(c)(2)(A) of the Paperwork within 60 days of this publication. support the need to increase shelter capacity to accommodate the increasing Reduction Act of 1995, the Robert Sargis, Administration for Children and numbers of UCs being referred by DHS. Reports Clearance Officer. Families is soliciting public comment BCFS has a network of trained, qualified [FR Doc. 2016–00889 Filed 1–19–16; 8:45 am] on the specific aspects of the emergency staff able to bring on board information collection described above. BILLING CODE 4184–01–P and operate emergency beds in short Copies of the proposed collection of timeframe. BCFS provides residential information can be obtained and services to UC in the care and custody DEPARTMENT OF HEALTH AND of ORR, as well as services to include comments may be forwarded by writing HUMAN SERVICES to the Administration for Children and counseling, case management, and Families, Office of Planning, Research Administration for Children and additional support services to the family or to the UC and their sponsor when a and Evaluation, 330 C Street SW., Families UC is released from ORR’s care and Washington DC 20201. Attn: ACF [CFDA Number: 93.676] custody. Reports Clearance Officer. Email address: [email protected]. All Announcement of the Award a Single- DATES: Supplemental award funds will requests should be identified by the title Source Program Expansion support activities from October 1, 2015 of the information collection. Supplement Grant to BCFS Health and through September 30, 2016. The Department specifically requests Human Services in San Antonio, TX FOR FURTHER INFORMATION CONTACT: Jallyn Sualog, Director, Division of comments on: (a) Whether the proposed AGENCY: Office of Refugee Resettlement, collection of information is necessary ACF, HHS. Children’s Services, Office of Refugee Resettlement, 901 D Street SW., for the proper performance of the ACTION: Notice of award of a single- functions of the agency, including Washington, DC 20447. Email: source program expansion supplement [email protected]. whether the information shall have grant to BCFS Health and Human practical utility; (b) the accuracy of the Services (BCFS) in San Antonio, TX. SUPPLEMENTARY INFORMATION: While the agency’s estimate of the burden of the number of referrals, to the proposed collection of information; (c) SUMMARY: The Administration for Unaccompanied Children Program in the quality, utility, and clarity of the Children and Families (ACF), Office of FY 2015, was below the total referrals information to be collected; and (d) Refugee Resettlement (ORR), announces from FY 2014, ORR has seen a change ways to minimize the burden of the the award of a single-source program to recent referral trends. The UC collection of information on expansion supplement grant for program has seen an increase in the $12,860,855 to BCFS Health and Human numbers of UC referred for placement respondents, including through the use Services (BCFS) in San Antonio, TX, since January 2015. FY15 was the first of automated collection techniques or under the Unaccompanied Children’s fiscal year, in the history of the UC other forms of information technology. (UC) Program to support a program program, in which there were eight (8) Consideration will be given to expansion supplement. consecutive months of steadily

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increasing referrals. ORR has confidential trade secrets or commercial Guard using the Federal eRulemaking experienced a steadily increasing census property such as patentable material, Portal at http://www.regulations.gov. of UC in care, with longer average and personal information concerning See the ‘‘Public participation and length of stay. This increase, in UC individuals associated with the grant request for comments’’ portion of the referred for placement, has increased applications, the disclosure of which SUPPLEMENTARY INFORMATION section for the need for additional shelter beds. would constitute a clearly unwarranted further instructions on submitting ORR has specific requirements for the invasion of personal privacy. comments. provision of services. Award recipients Name of Committee: National Institute of A copy of the ICR is available through must have the infrastructure, licensing, Dental and Craniofacial Research Special the docket on the Internet at http:// experience, and appropriate level of Emphasis Panel; DSR Member Conflict. www.regulations.gov. Additionally, trained staff to meet the service Date: February 12, 2016. copies are available from: Commandant requirements and the urgent need for Time: 1:00 p.m. to 4:00 p.m. (CG–612), Attn: Paperwork Reduction expansion of services. The program’s Agenda: To review and evaluate grant Act Manager, U.S. Coast Guard, 2703 ability to avoid a buildup of children applications. Martin Luther King Jr Ave SE., Stop Place: National Institutes of Health, One waiting, in Border Patrol stations, for 7710, Washington, DC 20593–7710. placement in shelters, can only be Democracy Plaza, 6701 Democracy Boulevard, Bethesda, MD 20892. FOR FURTHER INFORMATION: accommodated through the expansion Contact Mr. Contact Person: Latarsha J. Carithers, Anthony Smith, Office of Information of the existing program and its services Ph.D., Program Director, Division of through the supplemental award. Management, telephone 202–475–3532, Extramural Activities, NIDCR, 6701 or fax 202–372–8405, for questions on Statutory Authority: This program is Democracy Boulevard, Suite 672, Bethesda, authorized by— MD 20892, 301–594–4859, these documents. (A) Section 462 of the Homeland [email protected]. SUPPLEMENTARY INFORMATION: Security Act of 2002, which in March (Catalogue of Federal Domestic Assistance Public Participation and Request for 2003, transferred responsibility for the Program Nos. 93.121, Oral Diseases and care and custody of Unaccompanied Disorders Research, National Institutes of Comments Alien Children from the Commissioner Health, HHS) This Notice relies on the authority of of the former Immigration and Dated: January 13, 2016. the Paperwork Reduction Act of 1995; Naturalization Service (INS) to the Natasha M. Copeland, 44 U.S.C. Chapter 35, as amended. An Director of ORR of the Department of Program Analyst, Office of Federal Advisory ICR is an application to OIRA seeking Health and Human Services (HHS). Committee Policy. the approval, extension, or renewal of a (B) The Flores Settlement Agreement, [FR Doc. 2016–00908 Filed 1–19–16; 8:45 am] Coast Guard collection of information Case No. CV85–4544RJK (C.D. Cal. BILLING CODE 4140–01–P (Collection). The ICR contains 1996), as well as the William information describing the Collection’s Wilberforce Trafficking Victims purpose, the Collection’s likely burden Protection Reauthorization Act of 2008 on the affected public, an explanation of (Pub. L. 110–457), which authorizes DEPARTMENT OF HOMELAND SECURITY the necessity of the Collection, and post release services under certain other important information describing conditions to eligible children. All Coast Guard the Collection. There is one ICR for each programs must comply with the Flores Collection. [Docket No. USCG–2015–1033] Settlement Agreement, Case No. CV85– The Coast Guard invites comments on 4544–RJK (C.D. Cal. 1996), pertinent Information Collection Request to whether this ICR should be granted regulations and ORR policies and based on the Collection being necessary procedures. Office of Management and Budget; OMB Control Number: 1625–0023 for the proper performance of Christopher Beach, Departmental functions. In particular, Senior Grants Policy Specialist, Division of AGENCY: Coast Guard, DHS. the Coast Guard would appreciate Grants Policy, Office of Administration. ACTION: Sixty-day notice requesting comments addressing: (1) The practical [FR Doc. 2016–00886 Filed 1–19–16; 8:45 am] comments. utility of the Collection; (2) the accuracy BILLING CODE 4184–45–P of the estimated burden of the SUMMARY: In compliance with the Collection; (3) ways to enhance the Paperwork Reduction Act of 1995, the quality, utility, and clarity of DEPARTMENT OF HEALTH AND U.S. Coast Guard intends to submit an information subject to the Collection; HUMAN SERVICES Information Collection Request (ICR) to and (4) ways to minimize the burden of the Office of Management and Budget the Collection on respondents, National Institutes of Health (OMB), Office of Information and including the use of automated Regulatory Affairs (OIRA), requesting collection techniques or other forms of National Institute of Dental & approval of revisions to the following information technology. In response to Craniofacial Research; Notice of collection of information: 1625–0023, your comments, we may revise this ICR Closed Meeting Barge Fleeting Facility Records. Our ICR or decide not to seek approval of describes the information we seek to Pursuant to section 10(d) of the revisions of the Collection. We will collect from the public. Before Federal Advisory Committee Act, as consider all comments and material submitting this ICR to OIRA, the Coast amended (5 U.S.C. App.), notice is received during the comment period. Guard is inviting comments as hereby given of the following meeting. We encourage you to respond to this The meeting will be closed to the described below. request by submitting comments and public in accordance with the DATES: Comments must reach the Coast related materials. Comments must provisions set forth in sections Guard on or before March 21, 2016. contain the OMB Control Number of the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., ADDRESSES: You may submit comments ICR and the docket number of this as amended. The grant applications and identified by Coast Guard docket request, [USCG–2015–1033], and must the discussions could disclose number [USCG–2015–1033] to the Coast be received by March 21, 2016.

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Submitting Comments DEPARTMENT OF HOMELAND on the affected public, an explanation of SECURITY the necessity of the Collection, and We encourage you to submit other important information describing comments through the Federal Coast Guard the Collection. There is one ICR for each eRulemaking Portal at http:// [Docket No. USCG–2015–1034] Collection. www.regulations.gov. If your material The Coast Guard invites comments on cannot be submitted using http:// Information Collection Request to whether this ICR should be granted www.regulations.gov, contact the person Office of Management and Budget; based on the Collection being necessary in the FOR FURTHER INFORMATION OMB Control Number: 1625–0052 for the proper performance of CONTACT section of this document for Departmental functions. In particular, alternate instructions. Documents AGENCY: Coast Guard, DHS. the Coast Guard would appreciate mentioned in this notice, and all public ACTION: Sixty-day notice requesting comments addressing: (1) the practical comments, are in our online docket at comments. utility of the Collection; (2) the accuracy http://www.regulations.gov and can be of the estimated burden of the viewed by following that Web site’s SUMMARY: In compliance with the Collection; (3) ways to enhance the instructions. Additionally, if you go to Paperwork Reduction Act of 1995, the quality, utility, and clarity of the online docket and sign up for email U.S. Coast Guard intends to submit an information subject to the Collection; alerts, you will be notified when Information Collection Request (ICR) to and (4) ways to minimize the burden of comments are posted. the Office of Management and Budget the Collection on respondents, We accept anonymous comments. All (OMB), Office of Information and including the use of automated comments received will be posted Regulatory Affairs (OIRA), requesting an collection techniques or other forms of without change to http:// extension of its approval for the information technology. In response to www.regulations.gov and will include following collection of information: your comments, we may revise this ICR any personal information you have 1625–0052, Nondestructive Testing of or decide not to seek an extension of provided. For more about privacy and Certain Cargo Tanks on Unmanned approval for the Collection. We will the docket, you may review a Privacy Barges. Our ICR describes the consider all comments and material Act notice regarding the Federal Docket information we seek to collect from the received during the comment period. Management System in the March 24, public. Before submitting this ICR to We encourage you to respond to this 2005, issue of the Federal Register (70 OIRA, the Coast Guard is inviting request by submitting comments and FR 15086). comments as described below. related materials. Comments must DATES: Comments must reach the Coast contain the OMB Control Number of the Information Collection Request Guard on or before March 21, 2016. ICR and the docket number of this request, [USCG–2015–1034], and must Title: Barge Fleeting Facility Records. ADDRESSES: You may submit comments identified by Coast Guard docket be received by March 21, 2016. OMB Control Number: 1625–0023. number [USCG–2015–1034] to the Coast Submitting Comments Summary: The regulations require the Guard using the Federal eRulemaking We encourage you to submit person-in-charge of certain barge Portal at http://www.regulations.gov. comments through the Federal fleeting facilities to keep records of See the ‘‘Public participation and eRulemaking Portal at http:// twice daily inspections of barge request for comments’’ portion of the www.regulations.gov. If your material moorings and movements of barges and SUPPLEMENTARY INFORMATION section for cannot be submitted using http:// hazardous cargo in and out of a facility. further instructions on submitting www.regulations.gov, contact the person comments. Need: Title 33 CFR 165.803 in the FOR FURTHER INFORMATION A copy of the ICR is available through requirements are intended to prevent CONTACT section of this document for the docket on the Internet at http:// barges from breaking away from a alternate instructions. Documents www.regulations.gov. Additionally, fleeting facility and drifting downstream mentioned in this notice, and all public copies are available from: Commandant out of control in the congested Lower comments, are in our online docket at (CG–612), Attn: Paperwork Reduction Mississippi River waterway system. http://www.regulations.gov and can be Act Manager, U.S. Coast Guard, 2703 Forms: None. viewed by following that Web site’s Martin Luther King Jr. Ave. SE., Stop instructions. Additionally, if you go to Respondents: Operators of barge 7710, Washington, DC 20593–7710. fleeting facilities. It is estimated that the online docket and sign up for email FOR FURTHER INFORMATION CONTACT: Mr. alerts, you will be notified when there are 47 respondents annually for Anthony Smith, Office of Information this information collection. comments are posted. Management, telephone 202–475–3532, We accept anonymous comments. All Frequency: Daily. or fax 202–372–8405, for questions on comments received will be posted Hour Burden Estimate: The estimated these documents. without change to http:// burden has decreased from 50,453 hours SUPPLEMENTARY INFORMATION: www.regulations.gov and will include to 11,076 hours a year due to a decrease Public Participation and Request for any personal information you have in the estimated annual number of Comments provided. For more about privacy and respondents and number of responses. the docket, you may review a Privacy This Notice relies on the authority of Authority: The Paperwork Reduction Act Act notice regarding the Federal Docket of 1995; 44 U.S.C. Chapter 35, as amended. the Paperwork Reduction Act of 1995; Management System in the March 24, 44 U.S.C. Chapter 35, as amended. An 2005, issue of the Federal Register (70 Dated: January 12, 2016. ICR is an application to OIRA seeking FR 15086). Thomas P. Michelli, the approval, extension, or renewal of a Deputy Chief Information Officer, U.S. Coast Coast Guard collection of information Information Collection Request Guard. (Collection). The ICR contains Title: Nondestructive Testing of [FR Doc. 2016–01008 Filed 1–19–16; 8:45 am] information describing the Collection’s Certain Cargo Tanks on Unmanned BILLING CODE 9110–04–P purpose, the Collection’s likely burden Barges.

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OMB Control Number: 1625–0052. DATES: Comments must reach the Coast whether to approve the ICR referred to Summary: The Coast Guard uses the Guard and OIRA on or before February in this Notice. results of nondestructive testing to 19, 2016. We encourage you to respond to this evaluate the suitability of older ADDRESSES: You may submit comments request by submitting comments and pressure-vessel-type cargo tanks of identified by Coast Guard docket related materials. Comments to Coast unmanned barges to remain in service. number [USCG–2015–0631] to the Coast Guard or OIRA must contain the OMB Such a tank, on an unmanned barge, 30 Guard using the Federal eRulemaking Control Number of the ICR. They must years old or older is subjected to Portal at http://www.regulations.gov. also contain the docket number of this nondestructive testing once every ten Alternatively, you may submit request, [USCG–2015–0631], and must years. comments to OIRA using one of the be received by February 19, 2016. Need: Under Title 46 U.S.C. 3703, the following means: Submitting Comments Coast Guard is responsible for ensuring (1) Email: OIRA-submission@ safe shipment of liquid dangerous omb.eop.gov. We encourage you to submit cargoes and has promulgated (2) Mail: OIRA, 725 17th Street NW., comments through the Federal regulations for certain barges to ensure Washington, DC 20503, attention Desk eRulemaking Portal at http:// the meeting of safety standards. Officer for the Coast Guard. www.regulations.gov. If your material Forms: None. (3) Fax: 202–395–6566. To ensure cannot be submitted using http:// Respondents: Owners of tank barges. your comments are received in a timely www.regulations.gov, contact the person It is estimated there are 10 respondents manner, mark the fax, attention Desk in the FOR FURTHER INFORMATION annually for this information collection. Officer for the Coast Guard. CONTACT section of this document for Frequency: Every 10 years. There are A copy of the ICR is available through alternate instructions. Documents no recordkeeping requirements for this the docket on the Internet at http:// mentioned in this notice, and all public information collection. www.regulations.gov. Additionally, comments, are in our online docket at Hour Burden Estimate: The estimated copies are available from: Commandant http://www.regulations.gov and can be burden remains 130 hours a year. (CG–612), Attn: Paperwork Reduction viewed by following that Web site’s Act Manager, U.S. Coast Guard, 2703 instructions. Additionally, if you go to Authority: The Paperwork Reduction Act the online docket and sign up for email of 1995; 44 U.S.C. Chapter 35, as amended. Martin Luther King Jr Ave SE., Stop 7710, Washington, DC 20593–7710. alerts, you will be notified when Dated: January 12, 2016. FOR FURTHER INFORMATION: Contact Mr. comments are posted. We accept anonymous comments. All Thomas P. Michelli, Anthony Smith, Office of Information comments received will be posted Deputy Chief Information Officer, U.S. Coast Management, telephone 202–475–3532, without change to http:// Guard. or fax 202–372–8405, for questions on www.regulations.gov and will include [FR Doc. 2016–01016 Filed 1–19–16; 8:45 am] these documents. BILLING CODE 9110–04–P any personal information you have SUPPLEMENTARY INFORMATION: provided. For more about privacy and Public Participation and Request for the docket, you may review a Privacy DEPARTMENT OF HOMELAND Comments Act notice regarding the Federal Docket SECURITY Management System in the March 24, This Notice relies on the authority of 2005, issue of the Federal Register (70 the Paperwork Reduction Act of 1995; Coast Guard FR 15086). 44 U.S.C. Chapter 35, as amended. An OIRA posts its decisions on ICRs ICR is an application to OIRA seeking [Docket No. USCG–2015–0631] online at http://www.reginfo.gov/public/ the approval, extension, or renewal of a do/PRAMain after the comment period Collection of Information Under Coast Guard collection of information for each ICR. An OMB Notice of Action Review by Office of Management and (Collection). The ICR contains on each ICR will become available via Budget; OMB Control Number: 1625– information describing the Collection’s a hyperlink in the OMB Control 0048 purpose, the Collection’s likely burden Number: 1625–0048. on the affected public, an explanation of AGENCY: Coast Guard, DHS. the necessity of the Collection, and Previous Request for Comments ACTION: Thirty-day notice requesting other important information describing This request provides a 30-day comments. the Collection. There is one ICR for each comment period required by OIRA. The Collection. The Coast Guard invites Coast Guard published the 60-day SUMMARY: In compliance with the comments on whether this ICR should notice (80 FR 48553, August 13, 2015) Paperwork Reduction Act of 1995 the be granted based on the Collection being required by 44 U.S.C. 3506(c)(2). That U.S. Coast Guard is forwarding an necessary for the proper performance of Notice elicited no comments. Information Collection Request (ICR), Departmental functions. In particular, Accordingly, no changes have been abstracted below, to the Office of the Coast Guard would appreciate made to the Collection. Management and Budget (OMB), Office comments addressing: (1) the practical of Information and Regulatory Affairs utility of the Collection; (2) the accuracy Information Collection Request: (OIRA), requesting approval of a of the estimated burden of the 1. Title: Vessel Reporting revision to the following collection of Collection; (3) ways to enhance the Requirements. information: 1625–0048, Vessel quality, utility, and clarity of OMB Control Number: 1625–0048. Reporting Requirements. Our ICR information subject to the Collection; Summary: Owners, Charterers, describes the information we seek to and (4) ways to minimize the burden of Managing Operators, or Agents of U.S. collect from the public. Review and the Collection on respondents, vessels must immediately notify the comments by OIRA ensure we only including the use of automated Coast Guard if they believe the vessel impose paperwork burdens collection techniques or other forms of may be lost or in danger. The Coast commensurate with our performance of information technology. These Guard uses this information to duties. comments will help OIRA determine investigate the situation and, when

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necessary, plan appropriate search and ensure we only impose paperwork including the use of automated rescue operations. burdens commensurate with our collection techniques or other forms of Need: Section 2306(a) of 46 U.S.C. performance of duties. information technology. These requires the owner, charterer, managing DATES: Comments must reach the Coast comments will help OIRA determine operator, or an agent of vessel of the Guard and OIRA on or February 19, whether to approve the ICR referred to United States to immediately notify the 2016. in this Notice. Coast Guard if: (1) There is reason to We encourage you to respond to this ADDRESSES: You may submit comments believe that the vessel may have been request by submitting comments and identified by Coast Guard docket lost or imperiled, or (2) more than 48 related materials. Comments to Coast number [USCG–2015–0748] to the Coast hours have passed since last receiving Guard or OIRA must contain the OMB Guard using the Federal eRulemaking communication from the vessel. These Control Number of the ICR. They must Portal at http://www.regulations.gov. reports must be followed by written also contain the docket number of this Alternatively, you may submit confirmation submitted to the Coast request, [USCG–2015–0748], and must comments to OIRA using one of the Guard within 24 hours. The be received by February 19, 2016. following means: implementing regulations are contained (1) Email: OIRA-submission@ Submitting Comments in 46 CFR part 4. omb.eop.gov. Forms: None. We encourage you to submit (2) Mail: OIRA, 725 17th Street NW., comments through the Federal Respondents: Businesses or other for Washington, DC 20503, attention Desk profit organizations. The number of eRulemaking Portal at http:// Officer for the Coast Guard. www.regulations.gov. If your material respondents is estimated at 550 (3) Fax: 202–395–6566. To ensure cannot be submitted using http:// annually. your comments are received in a timely www.regulations.gov, contact the person Frequency: There are no manner, mark the fax, attention Desk in the FOR FURTHER INFORMATION recordkeeping requirements for this Officer for the Coast Guard. information collection. The frequency of A copy of the ICR is available through CONTACT section of this document for reporting is, on occasion. the docket on the Internet at http:// alternate instructions. Documents Hour Burden Estimate: The estimated www.regulations.gov. Additionally, mentioned in this notice, and all public burden has increased from 137 hours to copies are available from: Commandant comments, are in our online docket at 138 hours a year due to an adjustment (CG–612), Attn: Paperwork Reduction http://www.regulations.gov and can be in the agency’s estimate. Act Manager, U.S. Coast Guard, 2703 viewed by following that Web site’s Martin Luther King Jr Ave. SE., Stop instructions. Additionally, if you go to Authority: The Paperwork Reduction Act the online docket and sign up for email of 1995; 44 U.S.C. Chapter 35, as amended. 7710, Washington, DC 20593–7710. alerts, you will be notified when FOR FURTHER INFORMATION CONTACT: Dated: January 12, 2016. Mr. comments are posted. Thomas P. Michelli, Anthony Smith, Office of Information We accept anonymous comments. All Deputy Chief Information Officer, U.S. Coast Management, telephone 202–475–3532, comments received will be posted Guard. or fax 202–372–8405, for questions on without change to http:// these documents. [FR Doc. 2016–01011 Filed 1–19–16; 8:45 am] www.regulations.gov and will include SUPPLEMENTARY INFORMATION BILLING CODE 9110–04–P : any personal information you have Public Participation and Request for provided. For more about privacy and Comments the docket, you may review a Privacy DEPARTMENT OF HOMELAND Act notice regarding the Federal Docket SECURITY This Notice relies on the authority of Management System in the March 24, the Paperwork Reduction Act of 1995; 2005, issue of the Federal Register (70 Coast Guard 44 U.S.C. chapter 35, as amended. An FR 15086). ICR is an application to OIRA seeking [Docket No. USCG–2015–0748] OIRA posts its decisions on ICRs the approval, extension, or renewal of a online at http://www.reginfo.gov/public/ Collection of Information Under Coast Guard collection of information do/PRAMain after the comment period Review by Office of Management and (Collection). The ICR contains for each ICR. An OMB Notice of Action Budget; OMB Control Number: 1625– information describing the Collection’s on each ICR will become available via 0047 purpose, the Collection’s likely burden a hyperlink in the OMB Control on the affected public, an explanation of Number: 1625–0047. AGENCY: Coast Guard, DHS. the necessity of the Collection, and ACTION: Thirty-day notice requesting other important information describing Previous Request for Comments comments. the Collection. There is one ICR for each This request provides a 30-day Collection. comment period required by OIRA. The SUMMARY: In compliance with the The Coast Guard invites comments on Coast Guard published the 60-day Paperwork Reduction Act of 1995 the whether this ICR should be granted notice (80 FR 59802, October 2, 2015) U.S. Coast Guard is forwarding an based on the Collection being necessary required by 44 U.S.C. 3506(c)(2). That Information Collection Request (ICR), for the proper performance of Notice elicited no comments. abstracted below, to the Office of Departmental functions. In particular, Accordingly, no changes have been Management and Budget (OMB), Office the Coast Guard would appreciate made to the Collection. of Information and Regulatory Affairs comments addressing: (1) The practical (OIRA), requesting approval of a utility of the Collection; (2) the accuracy Information Collection Request revision to the following collection of of the estimated burden of the Title: Plan Approval and Records for information: 1625–0047, Plan Approval Collection; (3) ways to enhance the Vital System Automation. and Records for Vital System quality, utility, and clarity of OMB Control Number: 1625–0047. Automation. Our ICR describes the information subject to the Collection; Summary: This collection pertains to information we seek to collect from the and (4) ways to minimize the burden of the vital system automation on public. Review and comments by OIRA the Collection on respondents, commercial vessels that is necessary to

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protect personnel and property on board further instructions on submitting cannot be submitted using http:// U.S.-Flag vessels. comments. www.regulations.gov, contact the person Need: 46 U.S.C. 3306 authorizes the A copy of the ICR is available through in the FOR FURTHER INFORMATION Coast Guard to promulgate regulations the docket on the Internet at http:// CONTACT section of this document for for the safety of personnel and property www.regulations.gov. Additionally, alternate instructions. Documents on board vessels. Various sections copies are available from: Commandant mentioned in this notice, and all public within parts 61 and 62 of Title 46 of the (CG–612), Attn: Paperwork Reduction comments, are in our online docket at Code of Federal Regulations contain Act Manager, U.S. Coast Guard, 2703 http://www.regulations.gov and can be these rules. Martin Luther King Jr Ave SE., Stop viewed by following that Web site’s Forms: None. 7710, Washington, DC 20593–7710. instructions. Additionally, if you go to Respondents: Owners, operations, FOR FURTHER INFORMATION CONTACT: Mr. the online docket and sign up for email shipyards, designers, and manufacturers Anthony Smith, Office of Information alerts, you will be notified when of certain vessels. Management, telephone 202–475–3532, comments are posted. Frequency: On occasion. or fax 202–372–8405, for questions on We accept anonymous comments. All Hour Burden Estimate: The estimated these documents. comments received will be posted burden has increased from 39,900 hours without change to http:// to 46,500 hours a year due to an SUPPLEMENTARY INFORMATION: www.regulations.gov and will include increase in the estimated annual Public Participation and Request for any personal information you have number of responses. Comments provided. For more about privacy and the docket, you may review a Privacy Authority: The Paperwork Reduction Act This Notice relies on the authority of of 1995; 44 U.S.C. chapter 35, as amended. Act notice regarding the Federal Docket the Paperwork Reduction Act of 1995; Management System in the March 24, Dated: January 12, 2016. 44 U.S.C. Chapter 35, as amended. An 2005, issue of the Federal Register (70 Thomas P. Michelli, ICR is an application to OIRA seeking FR 15086). U.S. Coast Guard, Deputy Chief Information the approval, extension, or renewal of a Officer. Coast Guard collection of information Information Collection Request [FR Doc. 2016–01010 Filed 1–19–16; 8:45 am] (Collection). The ICR contains Title: Vessel Documentation. BILLING CODE 9110–04–P information describing the Collection’s OMB Control Number: 1625–0027. purpose, the Collection’s likely burden Summary: The information collected on the affected public, an explanation of will be used to establish the eligibility DEPARTMENT OF HOMELAND the necessity of the Collection, and of a vessel to: (a) be documented as a SECURITY other important information describing ‘‘vessel of the United States’’, (b) engage the Collection. There is one ICR for each in a particular trade, and/or (c) become Coast Guard Collection. the object of a preferred ship’s mortgage. [Docket No. USCG–2015–1097] The Coast Guard invites comments on The information collected concerns whether this ICR should be granted citizenship of owner/applicant and Information Collection Request to based on the Collection being necessary build, tonnage and markings of a vessel. Office of Management and Budget; for the proper performance of Need: Title 46 U.S.C. Chapters 121, OMB Control Number: 1625–0027 Departmental functions. In particular, 123, 125 and 313 requires the the Coast Guard would appreciate documentation of vessels. A Certificate AGENCY: Coast Guard, DHS. comments addressing: (1) the practical of Documentation is required for the ACTION: Sixty-day notice requesting utility of the Collection; (2) the accuracy operation of a vessel in certain trades, comments. of the estimated burden of the serves as evidence of vessel nationality, Collection; (3) ways to enhance the and permits a vessel to be subject to SUMMARY: In compliance with the quality, utility, and clarity of preferred mortgages. Paperwork Reduction Act of 1995, the information subject to the Collection; Forms: CG–1258, Application for U.S. Coast Guard intends to submit an and (4) ways to minimize the burden of Initial, Exchange, or Replacement of Information Collection Request (ICR) to the Collection on respondents, Certificate of Documentation/ the Office of Management and Budget including the use of automated Redocumentation; CG–1258, Section (OMB), Office of Information and collection techniques or other forms of A—Additional Vessels; CG–1258, Regulatory Affairs (OIRA), requesting information technology. In response to Section H—Additional Owners; CG– approval of revisions to the following your comments, we may revise this ICR 1258, Section L—Attachment to Limited collection of information: 1625–0027, or decide not to seek approval of Liability Company; CG–1258, Section Vessel Documentation. Our ICR revisions of the Collection. We will L—Attachment to Partnership; CG– describes the information we seek to consider all comments and material 1258, Section L—Attachment to Joint collect from the public. Before received during the comment period. Venture or Association; CG–1258, submitting this ICR to OIRA, the Coast We encourage you to respond to this Section L—Attachment to Trust Guard is inviting comments as request by submitting comments and Arrangement; CG–1261, Builder’s described below. related materials. Comments must Certification and First Transfer of Title; DATES: Comments must reach the Coast contain the OMB Control Number of the CG–1270, Certificate of Documentation; Guard on or before March 21, 2016. ICR and the docket number of this CG–1280, Vessel Renewal Notification ADDRESSES: You may submit comments request, [USCG–2015–1097], and must Application for Renewal; CG–1340, Bill identified by Coast Guard docket be received by March 21, 2016. of Sale; CG–1356, Bill of Sale by number [USCG–2015–1097] to the Coast Government Entity Pursuant to Court Guard using the Federal eRulemaking Submitting Comments Order or Administrative Degree of Portal at http://www.regulations.gov. We encourage you to submit Forfeiture; CG–4593, Application, See the ‘‘Public participation and comments through the Federal Consent, and Approval for Withdrawal request for comments’’ portion of the eRulemaking Portal at http:// of Application for Documentation or SUPPLEMENTARY INFORMATION section for www.regulations.gov. If your material Exchange of Certificate of

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Documentation; CG–5542, Optional Marine Mammals Management Office, safeguarding the social, cultural, and Application for Filing; CG–7042, 1011 East Tudor Road, Anchorage, AK subsistence needs of Alaska Natives and Authorization for Credit Card 99503; by telephone (907–786–800); or native people of Chukotka. For example, Transactions; and CG–7043, Abstract of by facsimile (907–786–3816). Persons the Agreement requires the Title/Certified COD Request. who use a telecommunications device Commission, the bilateral authority Respondents: Owners/builders of for the deaf (TDD) may call the Federal established under the 2000 Agreement, yachts and commercial vessels of at Information Relay Service (FIRS) at to determine a ‘‘sustainable harvest least 5 net tons. 800–877–8339. level’’ that is based upon reliable Frequency: Annually. SUPPLEMENTARY INFORMATION: scientific information, does not exceed Hour Burden Estimate: The estimated net annual recruitment to the burden has increased from 67,882 hours Background population, and maintains the to 77,619 hours a year due to an The Agreement between the population at or near its current level. increase in the estimated annual Government of the United States of Article 8 of the Agreement sets forth number of responses. America and the Government of the the composition and responsibilities of Authority: The Paperwork Reduction Act Russian Federation on the Conservation the Commission. The Commission of 1995; 44 U.S.C. Chapter 35, as amended. and Management of the Alaska- includes a U.S. Section and Russian Chukotka Polar Bear Population (2000 Section, with each national section Dated: January 12, 2016. Agreement), signed in 2000 and ratified comprised of two members appointed Thomas P. Michelli, by the United States in 2007, provides by their respective parties to provide for Deputy Chief Information Officer, U.S. Coast legal protections for the population of the inclusion of a member representing Guard. polar bears found in the Chukchi and the country’s native people in addition [FR Doc. 2016–01014 Filed 1–19–16; 8:45 am] Northern Bering Seas. The Agreement is to a Federal representative. Under the BILLING CODE 9110–04–P implemented in the United States Agreement, each section has one vote, through Title V of the Marine Mammal and all decisions of the Commission Protection Act (MMPA) (16 U.S.C. 1361 may be made only with the approval of DEPARTMENT OF THE INTERIOR et seq.), and builds upon the protections both sections. Among other duties provided to this population of polar under Article 8, the Commission must Fish and Wildlife Service bears through the Agreement on the promote cooperation among the Parties [FWS–R7–ES–2015–N234; FF07CAMM00– Conservation of Polar Bears (the 1973 and the native people, make scientific FX–FR133707PB00] Agreement), which was a significant determinations, establish annual taking early step in the international limits, and adopt other restrictions on U.S.-Russia Polar Bear Commission; conservation of polar bears. take of polar bears for subsistence Maintenance of Annual Taking Limit The 1973 Agreement is a multilateral purposes within the framework of the for the Alaska-Chukotka Polar Bear treaty to which the United States and established annual taking limits. Article Population Russia are parties with other polar bear 8 further requires the establishment of a range states—Norway, Canada, and scientific working group (SWG) to AGENCY: Fish and Wildlife Service, Denmark (on behalf of Greenland). advise the Commission on its decisions. Interior. While the 1973 Agreement provides At its first annual meeting, held in ACTION: Notice. authority for the maintenance of a Moscow, Russia, September 23–25, subsistence harvest of polar bears and 2009, the Commission identified SUMMARY: On October 22, 2015, the provides for habitat conservation, the members of the SWG and tasked the U.S.-Russia Polar Bear Commission 2000 Agreement establishes a common SWG with reviewing the current level of (Commission), established under the legal, scientific, and administrative take of polar bears and providing Agreement Between the Government of framework directed specifically for the recommendations to the Commission on the United States and the Government conservation and management of the the sustainable harvest level. of the Russian Federation on the Alaska-Chukotka polar bear population. Recommendations from the SWG help Conservation and Management of the As a shared population, polar bears guide the research necessary to address Alaska-Chukotka Polar Bear Population, within the Alaska-Chukotka population present and future polar bear unanimously agreed to maintain the readily move between the United States conservation issues in the shared annual taking limit adopted in 2010 for and Russian Federation. Article 3 of the Alaska-Chukotka polar bear population. the Alaska-Chukotka polar bear 2000 Agreement defines the geographic The second annual meeting of the population. In 2010, the Commission boundaries of the Agreement, which Commission took place June 7–10, 2010, established an annual taking limit on correspond to the areas within the in Anchorage, Alaska. During this the number of bears that may be jurisdiction of the United States and meeting the Commission reviewed the removed from this population as a result Russian Federation, in which the joint recommendations of the SWG and, of human activities, such as bears taken polar bear population may be found. consistent with the SWG’s for subsistence purposes and in defense Under Article 3, the geographic recommendation, determined that of human life. This annual taking limit, boundaries of the Agreement are establishing a limit to the total which corresponds with the annual ‘‘bounded on the west by a line allowable take, including subsistence sustainable harvest level for this extending north from the mouth of the harvest, of polar bears from the Alaska- population, is 58 polar bears per year, Kolyma River; on the east by a line Chukotka polar bear population was of which no more than 19 will be extending north from Point Barrow; and needed. Thus, consistent with the 2000 females. Under the Agreement, the on the south by a line describing the Agreement, the Commission adopted an annual taking limit is to be shared southernmost annual formation of drift annual taking limit that corresponds equally between the United States of ice.’’ Thus, the Agreement recognizes with, but does not exceed, the America and the Russian Federation. the need for a unified, common sustainable harvest level of no more FOR FURTHER INFORMATION CONTACT: management regime to provide for the than 58 polar bears per year, of which Hilary Cooley, Polar Bear Project long-term sustainability of this shared no more than 19 animals may be Leader, U.S. Fish and Wildlife Service, population, while assisting in females, that may be removed from the

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Alaska-Chukotka polar bear population. suggest the need to change the Russia Polar Bear Commission’s The Commission determined that all sustainable harvest level established by determination concerning the annual forms of human-caused removal of the Commission and, therefore, it taking limit for the Alaska-Chukotka individuals from the Alaska-Chukotka recommended no change to the current polar bear population. As detailed polar bear population will be annual sustainable harvest level of 58 above, at its 2015 annual meeting, the incorporated in this annual taking limit polar bears per year to be shared equally Commission agreed to maintain the (75 FR 65507; October 25, 2010). Under between the United States and the limit on the annual harvest of polar Section 502(a)(2) of the MMPA, it is Russian Federation, of which no more bears from this population to no more unlawful to take any polar bear from the than one-third will be female, or to the than 58 animals, of which no more than Alaska-Chukotka population in multi-year quota system previously 19 may be female, to be shared equally violation of this annual taking limit adopted by the Commission. The between the United States and the adopted by the Commission. Commission unanimously adopted this Russian Federation. The Commission At its fourth annual meeting, held recommendation. also agreed that no changes to the multi- June 25–27, 2012 in Anchorage, Alaska, Additionally, the U.S. Commissioners year quota system, previously adopted the Commission adopted a multi-year discussed their collaborative efforts over by the Commission in 2012, was quota system that would allow the the past year to lay the foundation for warranted. Commission to set a sustainable harvest effective implementation of the annual level for a 5-year timeframe, and within taking limit, and expressed their Dated: January 5, 2016. the 5-year cycle, adjust the annual commitment to continuing that work Stephen Guertin, taking limit upward or downward together to achieve the goal of a Acting Director, U.S. Fish and Wildlife depending on the actual harvest of bears sustainably managed polar bear Service. the preceding year. For example, if subsistence harvest. [FR Doc. 2016–00987 Filed 1–19–16; 8:45 am] harvest was above the annual taking In consideration of these collaborative BILLING CODE 4333–15–P limit in one year, which would efforts, the U.S. Fish and Wildlife constitute a violation of the 2000 Service (Service) will develop Agreement and Title V of the MMPA, regulations that establish a U.S. DEPARTMENT OF THE INTERIOR the annual taking limit could be reporting and management regime for Bureau of Land Management reduced by the Commission for polar bears of the Alaska-Chukotka subsequent years. Alternatively, if ice population, as authorized under Title V [LLMTC 00900.L16100000.DP0000 conditions or other factors limit hunters’ of the MMPA. Accordingly, the Service MO#4500089568] abilities to harvest polar bears in one intends to issue a proposed rule in year, the Commission could increase the April, 2016, with finalization of the Notice of Public Meeting, Dakotas annual taking limit in subsequent years rulemaking by September, 2016. Resource Advisory Council Meeting as long as the sustainable harvest level Consistent with the collaborative efforts AGENCY: Bureau of Land Management, over a 5-year period is not exceeded. to date, the Service will continue to Interior. Therefore, in 2012, based on the work with the Alaska Nanuuq ACTION: Notice of public meeting. recommendation of the SWG, the Commission in the development of Commission agreed upon a 5-year these regulations. Because harvest limits SUMMARY: In accordance with the sustainable harvest level of 290 polar are new for the Alaska-Chukotka Federal Land Policy and Management bears (i.e., the annual sustainable population, during the period of Act (FLPMA) and the Federal Advisory harvest level of 58 bears x 5 years), with regulation development and outreach, Committee Act of 1972 (FACA), the U.S. no more than one-third being female. the Service will use its enforcement Department of the Interior, Bureau of Under this multiyear quota system, the discretion with respect to any take that Land Management (BLM) Dakotas 5-year sustainable harvest level would exceeds the annual taking limit Resource Advisory Council (RAC) will be allocated over a 5-year period and established by the Commission in 2010. meet as indicated below. would include the identification of Currently, the Service’s MMPA DATES: The Dakotas Resource Advisory implementing regulations at 50 CFR annual sustainable harvest levels for Council meeting will be held on 18.23(f) require Alaskan natives who consideration by the Commission in February 3, 2016 in Bowman, North harvest any polar bears for subsistence setting annual taking limits. The Dakota. When determined, the meeting Commission, at each of its subsequent purposes or for purposes of selling place and time will be announced in a annual meetings held in 2013 and 2014, authentic Native articles of handicrafts news release. was advised by the SWG that new and clothing to report such take to the biological information considered at the Service and present the skin and skull FOR FURTHER INFORMATION CONTACT: meeting did not suggest the need to to Service personnel or the Service’s Mark Jacobsen, Public Affairs Specialist, change the sustainable harvest level authorized local representative. Under BLM Eastern Montana/Dakotas District, established by the Commission. The these regulations, an Alaskan native 111 Garryowen Road, Miles City, Commission, therefore, at each of those may possess the unmarked, untagged, Montana 59301; (406) 233–2831; meetings in 2013 and 2014 adopted the and unreported polar bear for a period [email protected]. Persons who use a SWG’s recommendation that no change of time not to exceed 30 days from the telecommunications device for the deaf be made to the existing sustainable time of taking for the purpose of (TDD) may call the Federal Information harvest level of up to 58 polar bears per transporting the skin and skull to Relay Service (FIRS) at 1–800–677–8339 year to be shared equally between the Service personnel or the Service’s to contact the above individual during United States and Russia, of which no authorized local representative for normal business hours. The FIRS is more than one-third will be female. marking, tagging, and reporting. available 24 hours a day, 7 days a week At the seventh annual meeting of the to leave a message or question with the Commission, held October 22–23, 2015, Determination of the Commission above individual. You will receive a in Sochi, Russia, the SWG recognized Pursuant to section 507(b) of the reply during normal business hours. that new biological information MMPA, we are publishing in the SUPPLEMENTARY INFORMATION: The 15- considered at the meeting did not Federal Register this notice of the U.S.- member council advises the Secretary of

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the Interior through the BLM on a use a telecommunications device for the Meridian, North Dakota, was accepted variety of planning and management deaf (TDD) may call the Federal January 5, 2016. issues associated with public land Information Relay Service (FIRS) at We will place a copy of the plats, in management in North and South 1–800–877–8339 to contact the above six sheets, and related field notes we Dakota. At this meeting, topics will individual during normal business described in the open files. They will be include: An Eastern Montana/Dakotas hours. The FIRS is available 24 hours a available to the public as a matter of District report, North Dakota and South day, 7 days a week, to leave a message information. If the BLM receives a Dakota Field Office manager reports, or question with the above individual. protest against this survey, as shown on individual RAC member reports, RAC You will receive a reply during normal this plat, in six sheets, prior to the date recommendations status updates and business hours. of the official filing, we will stay the other issues the council may raise. All SUPPLEMENTARY INFORMATION: This filing pending our consideration of the meetings are open to the public and the survey was executed at the request of protest. We will not officially file this public may present written comments to the Chief, Branch of Fluid Minerals, plat, in six sheets, until the day after we the council. Each formal RAC meeting Bureau of Land Management, Billings, have accepted or dismissed all protests will also have time allocated for hearing Montana, and was necessary to and they have become final, including public comments. Depending on the determine Federal Leasable Mineral decisions or appeals. number of persons wishing to comment lands. Authority: 43 U.S.C. chap. 3. and time available, the time for The lands we surveyed are: individual oral comments may be Joshua F. Alexander, limited. Individuals who plan to attend Fifth Principal Meridian, North Dakota Acting Chief, Branch of Cadastral Survey, and need special assistance, such as T. 147 N., R. 95 W. Division of Energy, Minerals and Realty. sign language interpretation, tour The plat, in two sheets, representing the [FR Doc. 2016–00948 Filed 1–19–16; 8:45 am] transportation or other reasonable dependent resurvey of a portion of the BILLING CODE 4310–DN–P accommodations should contact the subdivisional lines, the adjusted BLM as provided above. original meanders of the former left and DEPARTMENT OF THE INTERIOR Authority: 43 CFR 1784.4–2 right banks of the Little Missouri River, through section 2, and a certain division Bureau of Land Management Lori (Chip) Kimball, of accretion line, the subdivision of Acting Eastern Montana/Dakotas District section 2, and the survey of the Manager. meanders of the present left and right [AZA 24749A] [FR Doc. 2016–00953 Filed 1–19–16; 8:45 am] banks of the Little Missouri River, Notice of Application for Withdrawal BILLING CODE 4310–DN–P through section 2, the limits of erosion and Opportunity for Public Meeting; in section 2, the left and right banks and Arizona medial line of an abandoned channel of DEPARTMENT OF THE INTERIOR the Little Missouri River, in section 2, AGENCY: Bureau of Land Management, certain division of accretion and Interior. Bureau of Land Management partition lines, and the medial line and ACTION: Notice. [(LLMT926000–L1440000.BJ0000); partition lines of the present bed of the 16XL1109AF; MO#4500089204] Little Missouri River, through section 2, SUMMARY: The United States Department Township 147 North, Range 95 West, of the Navy (DON) filed an application Notice of Filing of Plats of Survey; Fifth Principal Meridian, North Dakota, with the Bureau of Land Management North Dakota was accepted January 5, 2016. (BLM) requesting the Secretary of the Interior to withdraw approximately AGENCY: Bureau of Land Management, Fifth Principal Meridian, North Dakota 26.794 acres of public land within the Interior. T. 148 N., R. 95 W. DON Marine Corps Air Station, Yuma ACTION: Notice of filing of plats of (MCAS, Yuma), for a period of 20 years, survey. The plat, in four sheets, representing the dependent resurvey of a portion of the from settlement, sale, location, or entry SUMMARY: The Bureau of Land west boundary of the Fort Berthold under the public land laws, including Management (BLM) will file the plat of Indian Reservation, a portion of the the United States mining and mineral survey of the lands described below in south boundary, a portion of the leasing laws. The DON has also the BLM Montana State Office, Billings, subdivisional lines, and the adjusted requested that jurisdiction of these Montana, on February 19, 2016. original meanders of the former left and lands be transferred to the Department of Defense for the use of MCAS, Yuma. DATES: Protests of the survey must be right banks of the Little Missouri River, through sections 33, 34, and 35, the The purpose of the withdrawal would filed before February 19, 2016 to be be to protect the existing structures and considered. subdivision of certain sections, and the survey of the meanders of the present facilities that were installed or ADDRESSES: Protests of the survey left and right banks of the Little developed under the prior withdrawal, should be sent to the Branch of Missouri River, through sections 33, 34, Public Land Order No. 6804, which Cadastral Survey, Bureau of Land and 35, the limits of erosion in section expired in 2010. This notice temporarily Management, 5001 Southgate Drive, 35, the left and right banks and medial segregates the land for up to 2 years Billings, Montana 59101–4669. line of an abandoned channel of the while the withdrawal application is FOR FURTHER INFORMATION CONTACT: Little Missouri River, in section 35, being considered. This notice also gives Marvin Montoya, Cadastral Surveyor, certain division of accretion and the public an opportunity to comment Branch of Cadastral Survey, Bureau of partition lines, and the medial line and on the withdrawal application and to Land Management, 5001 Southgate partition lines of the present bed of the request a public meeting. Drive, Billings, Montana 59101–4669, Little Missouri River, through sections DATES: Comments and/or requests for a telephone (406) 896–5124 or (406) 896– 33, 34, and 35, Township 148 North, public meeting should be received by 5003, [email protected]. Persons who Range 95 West, Fifth Principal April 19, 2016.

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ADDRESSES: Comments and/or requests State Office at the address listed above ADDRESSES: Protests of the survey for a public meeting should be sent to by April 19, 2016. should be sent to the Branch of Arizona State Director, Bureau of Land If the BLM authorized officer Cadastral Survey, Bureau of Land Management, One North Central determines that the BLM/DON will hold Management, 5001 Southgate Drive, Avenue, Suite 800, Phoenix, Arizona a public meeting, the BLM will publish Billings, Montana 59101–4669. 85004. a notice of the time and place in the Federal Register and a local newspaper FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: Sara at least 30 days before the scheduled Blaise Lodermeier, Cadastral Surveyor, Ferreira, BLM, Arizona State Office, date of the meeting. Branch of Cadastral Survey, Bureau of 602–417–9598, or Candice Holzer, BLM, Before including your address, Land Management, 5001 Southgate Yuma Field Office, 928–317–3253, telephone number, email address, or Drive, Billings, Montana 59101–4669, during regular business hours, 8 a.m. to other personal identifying information telephone (406) 896–5128 or (406) 896– 4:30 p.m., Monday through Friday, in your comment, you should be aware except holidays. Persons who use a 5003, [email protected]. Persons who that your entire comment including use a telecommunications device for the telecommunications device for the deaf your personal identifying information (TDD) may call the Federal Information deaf (TDD) may call the Federal may be made publicly available at any Information Relay Service (FIRS) at 1– Relay Service (FIRS) at 1–800–877–8339 time. Individuals that submit written to contact either individual. The FIRS is 800–877–8339 to contact the above comments may request confidentiality individual during normal business available 24 hours a day, 7 days a week, by asking us in your comment to hours. The FIRS is available 24 hours a to leave a message or question with withhold your personal identifying day, 7 days a week, to leave a message either of the above individuals. You will information from public review, receive a reply during normal business however, we cannot guarantee that we or question with the above individual. hours. will be able to do so. You will receive a reply during normal SUPPLEMENTARY INFORMATION: The DON Temporary Segregation: For a period business hours. filed an application requesting the until January 22, 2018 the public land SUPPLEMENTARY INFORMATION: This Secretary of the Interior withdraw, described in this notice will be survey was executed at the request of subject to valid existing rights, the segregated from location and entry the Regional Director, Bureau of Indian following described land from location under the United States mining laws, Affairs, Great Plains Region, Aberdeen, and entry under the United States but not from leasing under the mineral South Dakota, and was necessary to mining laws: or geothermal leasing laws, unless the application is canceled or denied, or the determine individual and tribal trust Gila and Salt River Meridian withdrawal is approved prior to that surface and mineral lands. T. 9 S., R. 23 W., date. The temporary land uses that may The lands we surveyed are: Sec. 11, Tract B. be permitted during the temporary The area described contains segregation period include licenses, Fifth Principal Meridian, North Dakota approximately 26.794 acres of public permits, rights-of-way, and disposal of T. 147 N., R. 95 W. lands in Yuma County. vegetative resources other than under The use of a right-of-way, interagency the mining laws. The plat, in one sheet, representing agreement, or cooperative agreement The application will be processed in the supplemental plat of sec. 1, showing would not adequately constrain non- accordance with the regulations set the amended lottings, Township 147 discretionary uses and would not forth in 43 CFR part 2310. North, Range 95 West, Fifth Principal provide adequate protection of the Ray Suazo, Meridian, North Dakota, was accepted structures and facilities on this parcel January 5, 2016. within MCAS, Yuma. State Director, Arizona State Office. We will place a copy of the plat, in There are no suitable alternative sites [FR Doc. 2016–00885 Filed 1–19–16; 8:45 am] one sheet, in the open files. They will with equal or greater benefit to the BILLING CODE 3810–FF–P government. be available to the public as a matter of No additional water rights will be information. If the BLM receives a needed to fulfill the purpose of the DEPARTMENT OF THE INTERIOR protest against this survey, as shown on this plat, in one sheet, prior to the date requested withdrawal. Bureau of Land Management Records related to the application of the official filing, we will stay the may be examined by contacting the [(LLMT926000–L1440000.BJ0000); filing pending our consideration of the individual listed above. 16XL1109AF; MO#4500089414] protest. We will not officially file this Comments or Requests for Public plat, in one sheet, until the day after we Notice of Filing of Plats of Survey; Meetings: For a period until April 19, have accepted or dismissed all protests North Dakota 2016, all persons who wish to submit and they have become final, including comments, suggestions, or objections in AGENCY: Bureau of Land Management, decisions or appeals. connection with the proposed Interior. Authority: 43 U.S.C. chap. 3. withdrawal may present their views in ACTION: Notice of filing of plats of writing to the BLM Arizona State Office survey. Joshua F. Alexander, at the address listed above. Acting Chief, Branch of Cadastral Survey, Notice is also hereby given that the SUMMARY: The Bureau of Land Division of Energy, Minerals and Realty. opportunity for a public meeting is Management (BLM) will file the plat of [FR Doc. 2016–00946 Filed 1–19–16; 8:45 am] afforded in connection with the survey of the lands described below in BILLING CODE 4310–DN–P proposed withdrawal. All interested the BLM Montana State Office, Billings, parties who desire a public meeting for Montana, on February 19, 2016. the purpose of being heard on the DATES: Protests of the survey must be proposed withdrawal must submit a filed before February 19, 2016 to be written request to the BLM Arizona considered.

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DEPARTMENT OF THE INTERIOR Indian Meridian, accepted September Harmonized Tariff Schedule of the 30, 2015, for Group 226 OK. United States.1 The petitioner alleges Bureau of Land Management These plats are scheduled for official that these products are imported from [LLNM950000 L13400000.BX0000 filing 30 days from the notice of China and sold in the United States at 16XL1109AF] publication in the Federal Register, as less than fair value, and that these provided for in the BLM Manual Section imports are allegedly subsidized by the Notice of Filing of Plats of Survey, New 2097—Opening Orders. Notice from this government of China. Unless the Mexico office will be provided as to the date of Department of Commerce extends the said publication. If a protest against a time for initiation, the Commission AGENCY: Bureau of Land Management, survey, in accordance with 43 CFR must reach a preliminary determination Interior. 4.450–2, of the above plats is received in antidumping and countervailing duty ACTION: Notice of filing of plats of prior to the date of official filing, the investigations in 45 days, or in this case survey. filing will be stayed pending by February 29, 2016. The consideration of the protest. Commission’s views must be SUMMARY: The plats of survey described A plat will not be officially filed until transmitted to Commerce within five below are scheduled to be officially the day after all protests have been business days thereafter, or by March 7, filed in the New Mexico State Office, dismissed and become final or appeals 2016. Bureau of Land Management, Santa Fe, from the dismissal affirmed. DATES: Effective Date: January 13, 2016. New Mexico, thirty (30) calendar days A person or party who wishes to from the date of this publication. FOR FURTHER INFORMATION CONTACT: protest against any of these surveys Amy Sherman (202–205–3289), Office FOR FURTHER INFORMATION CONTACT: must file a written protest with the of Investigations, U.S. International These plats will be available for Bureau of Land Management New Trade Commission, 500 E Street SW., inspection in the New Mexico State Mexico State Director stating that they Washington, DC 20436. Hearing- Office, Bureau of Land Management, wish to protest. impaired persons can obtain 301 Dinosaur Trail, Santa Fe, New A statement of reasons for a protest information on this matter by contacting Mexico. Copies may be obtained from may be filed with the Notice of Protest the Commission’s TDD terminal on 202– this office upon payment. Contact to the State Director or the statement of 205–1810. Persons with mobility Carlos Martinez at 505–954–2096, or by reasons must be filed with the State impairments who will need special email at [email protected], for Director within thirty (30) days after the assistance in gaining access to the assistance. Persons who use a protest is filed. Commission should contact the Office telecommunications device for the deaf Charles I. Doman, of the Secretary at 202–205–2000. (TDD) may call the Federal Information General information concerning the Branch Chief, Cadastral Survey. Relay Service (FIRS) at 1–800–877–8339 Commission may also be obtained by to contact the above individual during [FR Doc. 2016–00954 Filed 1–19–16; 8:45 am] accessing its internet server (http:// normal business hours. BILLING CODE 4310–FB–P www.usitc.gov). The public record for SUPPLEMENTARY INFORMATION: this investigation may be viewed on the Commission’s electronic docket (EDIS) New Mexico Principal Meridian, New INTERNATIONAL TRADE Mexico (NM) at http://edis.usitc.gov. COMMISSION SUPPLEMENTARY INFORMATION: The plat, in six pages, representing Background.—These investigations the dependent resurvey in Township 14 [Investigation Nos. 701–TA–554 and 731– TA–1309 (Preliminary)] are being instituted, pursuant to North, Range 7 East, of the New Mexico sections 703(a) and 733(a) of the Tariff Principal Meridian, accepted September Certain Biaxial Integral Geogrid Act of 1930 (19 U.S.C. 1671b(a) and 30, 2015 for Group, 1156, NM. Products From China; Institution of 1673b(a)), in response to a petition filed The plat, representing the dependent Antidumping and Countervailing Duty on January 13, 2016, by Tensar resurvey in Township 20 North, Range Investigations and Scheduling of Corporation, Morrow, Georgia. 20 West, of the New Mexico Principal Preliminary Phase Investigations For further information concerning Meridian, accepted September 30, 2015 the conduct of these investigations and for Group, 1161, NM. AGENCY: United States International rules of general application, consult the The plat, representing the dependent Trade Commission. Commission’s Rules of Practice and resurvey in Township 20 North, Range ACTION: Notice. Procedure, part 201, subparts A and B 5 West, of the New Mexico Principal (19 CFR part 201), and part 207, SUMMARY: The Commission hereby gives Meridian, accepted November 19, 2015 subparts A and B (19 CFR part 207). for Group, 1170, NM. notice of the institution of investigations Participation in the investigation and The plat, representing the dependent and commencement of preliminary public service list.—Persons (other than resurvey in Township 32 North, Range phase antidumping and countervailing petitioners) wishing to participate in the 10 West, of the New Mexico Principal duty investigation Nos. 701–TA–554 investigations as parties must file an Meridian, accepted December 15, 2015 and 731–TA–1309 (Preliminary) entry of appearance with the Secretary for Group, 1174, NM. pursuant to the Tariff Act of 1930 (‘‘the to the Commission, as provided in Act’’) to determine whether there is a The Indian Meridian, Oklahoma (OK) sections 201.11 and 207.10 of the reasonable indication that an industry Commission’s rules, not later than seven The Supplemental plat, representing in the United States is materially days after publication of this notice in the dependent resurvey and survey in injured or threatened with material the Federal Register. Industrial users Township 8 North, Range 23 East, of the injury, or the establishment of an and (if the merchandise under Indian Meridian, accepted July 31, 2015, industry in the United States is investigation is sold at the retail level) for Group 229 OK. materially retarded, by reason of The plat, in two sheets, representing imports of certain biaxial integral 1 Certain biaxial integral geogrid products may the dependent resurvey and survey in geogrid products from China, provided also enter under HTS subheadings 3920.20.00 and Township 4 North, Range 7 West, of the for in subheading 3926.90.99 of the 3925.90.00.

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representative consumer organizations Procedures, 76 FR 62092 (Oct. 6, 2011), Agreement with the Massachusetts have the right to appear as parties in available on the Commission’s Web site Board. I also adopt the ALJ’s legal Commission antidumping duty and at http://edis.usitc.gov. conclusions that Respondent currently countervailing duty investigations. The In accordance with sections 201.16(c) lacks authority to dispense controlled Secretary will prepare a public service and 207.3 of the rules, each document substances in each State.2 Accordingly, list containing the names and addresses filed by a party to the investigations I will also adopt the ALJ’s of all persons, or their representatives, must be served on all other parties to recommendation that I revoke both who are parties to these investigations the investigations (as identified by registrations and deny any pending upon the expiration of the period for either the public or BPI service list), and applications to renew or modify each filing entries of appearance. a certificate of service must be timely registration. Limited disclosure of business filed. The Secretary will not accept a Order proprietary information (BPI) under an document for filing without a certificate administrative protective order (APO) of service. Pursuant to the authority vested in me and BPI service list.—Pursuant to by 21 U.S.C. 823(f) and 824(a), as well Authority: These investigations are being section 207.7(a) of the Commission’s conducted under authority of title VII of the as 28 CFR 0.100(b), I order that DEA rules, the Secretary will make BPI Tariff Act of 1930; this notice is published Certificates of Registration BA4089721 gathered in these investigations pursuant to section 207.12 of the and FA3033002 issued to Irwin August, available to authorized applicants Commission’s rules. D.O., be, and they hereby are, revoked. representing interested parties (as By order of the Commission. I further order that any pending defined in 19 U.S.C. 1677(9)) who are application of Irwin August, D.O., to Issued: January 13, 2016. parties to the investigations under the renew or modify either of the above APO issued in the investigations, Lisa R. Barton, registrations, be, and it hereby is, provided that the application is made Secretary to the Commission. denied. This Order is effective February not later than seven days after the [FR Doc. 2016–00931 Filed 1–19–16; 8:45 am] 19, 2016. publication of this notice in the Federal BILLING CODE 7020–02–P Dated: January 8, 2016. Register. A separate service list will be maintained by the Secretary for those Chuck Rosenberg, parties authorized to receive BPI under DEPARTMENT OF JUSTICE Acting Administrator. the APO. W. Brian Bayly, Esq., for the Government. Conference.—The Commission’s Drug Enforcement Administration John J. Tierney, Esq., for the Respondent. Director of Investigations has scheduled [Docket No. 16–4] a conference in connection with these Recommended Rulings, Findings of Fact, Conclusions of Law, and Decision investigations for 9:30 a.m. on February Irwin August, D.O.; Decision and Order 3, 2016, at the U.S. International Trade Charles Wm. Dorman, Administrative Commission Building, 500 E Street SW., On November 6, 2015, Administrative Law Judge. The Deputy Assistant Washington, DC. Requests to appear at Law Judge Charles Wm. Dorman (ALJ) Administrator, Drug Enforcement the conference should be emailed to issued the attached Recommended Administration (‘‘DEA’’ or [email protected] and Decision (R.D.).1 Therein, the ALJ found ‘‘Government’’), issued an Order to [email protected] (DO NOT that it is undisputed that Respondent’s Show Cause (‘‘OSC’’), seeking to revoke FILE ON EDIS) on or before February 1, Connecticut Controlled Substance the DEA Certificates of Registration 2016. Parties in support of the Registration is suspended, thus (‘‘CORs’’) of Irwin August, D.O. imposition of countervailing and rendering him without authority to (‘‘Respondent’’), pursuant to 21 U.S.C. antidumping duties in these dispense controlled substances in 824(a)(3), and deny any pending investigations and parties in opposition Connecticut, the State in which he applications for renewal or modification to the imposition of such duties will holds DEA Registration FA3033002. of the CORs, pursuant to 21 U.S.C. each be collectively allocated one hour R.D. at 4. The ALJ also found that, by 823(f). The Government alleged that the within which to make an oral virtue of the Voluntary Agreement Not Respondent lacks state authority to presentation at the conference. A to Practice Medicine which Respondent handle controlled substances in nonparty who has testimony that may entered into with the Massachusetts Massachusetts and Connecticut, where aid the Commission’s deliberations may Board of Registration in Medicine, he is DEA CORs Numbers BA4089721 and request permission to present a short also currently without authority to FA3033002, respectively, are registered. statement at the conference. dispense controlled substances in that OSC at 2. Written submissions.—As provided in State, where he holds DEA Registration The Respondent filed a timely sections 201.8 and 207.15 of the BA4089721. Id. The ALJ thus granted Request for Hearing. Therein, the Commission’s rules, any person may the Government’s Motion for Summary Respondent did not discuss the submit to the Commission on or before Disposition and recommended that I voluntary suspension of his February 8, 2016, a written brief revoke both of Respondent’s Massachusetts license. However, he did containing information and arguments registrations and deny any pending allege that his Connecticut license may pertinent to the subject matter of the applications. be restored because the Connecticut investigations. Parties may file written Neither party filed exceptions to the Commissioner of Consumer Affairs testimony in connection with their Recommended Decision. Having currently is reviewing the suspension of presentation at the conference. If briefs reviewed the record, I adopt the ALJ’s his license. Req. for Hr’g at 1. or written testimony contain BPI, they factual findings that Respondent’s must conform with the requirements of Connecticut Controlled Substance 2 Respondent does not dispute the allegations that sections 201.6, 207.3, and 207.7 of the Registration has been suspended and his DEA registration for his Massachusetts office Commission’s rules. Please consult the does not expire until June 30, 2018 and that his that he has entered into the Voluntary DEA registration for his Connecticut office does not Commission’s rules, as amended, 76 FR expire until June 30, 2017. Resp.’s Affirmation in 61937 (Oct. 6, 2011) and the 1 All citations to the Recommended Decision are Opp., at 1. Accordingly, I find that there is a live Commission’s Handbook on Filing to the slip opinion issued by the ALJ. controversy with respect to both registrations.

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On October 27, 2015, the Government In revocation cases, the Government Kennard Kobrin, M.D., 70 FR 33199 filed a Motion for Summary Disposition has the burden of proving that the (2005)). Therefore, the Respondent’s Based on Respondent’s Lack of State requirements for revocation are request to stay the proceedings pending Authorization to Handle Controlled satisfied. 21 CFR 1301.44(e) (2015). The the CDCP’s final decision is denied. Substances and Submission of Evidence Government also bears the initial The disposition of the Government’s in Support of Such Motion (‘‘Motion for burden of production. If the Motion depends on whether the Summary Disposition’’). Therein, the Government makes a prima facie case Respondent possesses state authority to Government argued that the Respondent for revocation, the burden of production handle controlled substances. The currently lacks state authority in shifts to the registrant to show that administrative record establishes that he Massachusetts and Connecticut to revocation is inappropriate. Morall v. does not. The CDCP’s Order of handle controlled substances. Mot. for DEA, 412 F.3d 165, 174 (D.C. Cir. 2005). Immediate Suspension of Controlled Summ. Disp. at 3. First, the Government To maintain a DEA registration, a Substance Registration No. 22241 argued that the Respondent voluntarily practitioner must be currently establishes that his Connecticut agreed with the Massachusetts Board of authorized to handle controlled controlled substances registration Registration in Medicine substances in the jurisdiction where he currently is suspended. Accordingly, (‘‘Massachusetts Board’’) to refrain from practices. See 21 U.S.C. 802(21), 823(f) the Respondent lacks authorization to practicing medicine. Mot. for Summ. (2012). A registrant must possess state handle controlled substances in Disp. at 2. Attached to the Government’s authority to dispense controlled Connecticut, where DEA COR Number Motion is a copy of the Voluntary substances in order to obtain and FA3033002 is registered. Additionally, Agreement Not to Practice Medicine, maintain DEA registration. E.g., Serenity the Massachusetts Voluntary Agreement entered into by the Respondent and the Cafe´, 77 FR 35027, 35028 (2012). Not to Practice Medicine establishes Massachusetts Board. Mot. for Summ. Accordingly, the Controlled Substances that the Respondent currently lacks Disp. Ex. C, at 3–4. Second, the Act ‘‘requires the revocation of a authorization to handle controlled Government argued that the registration issued to a practitioner substances in Massachusetts, where Respondent’s Connecticut controlled whose State license has been suspended DEA COR Number BA4089721 is substance registration was suspended or revoked.’’ Scott Sandarg, D.M.D., 74 registered. because the Respondent made false FR 17528, 17529 (2009). Where there is no genuine question of statements in his renewal application. The Respondent argues that his COR fact, or there is agreement upon the Mot. for Summ. Disp. at 2. Attached to should not be revoked because the material facts, a plenary, adversarial the Government’s Motion is the CDCP may restore his Connecticut hearing is not required. See, e.g., Jesus Connecticut Department of Consumer registration. However, ‘‘it does not R. Juarez, M.D., 62 FR 14945 (1997). Protection’s (‘‘CDCP’’) Order of matter whether the suspension . . . [is] Thus, summary disposition is warranted Immediate Suspension of Controlled pending the outcome of a state here because ‘‘there is no factual dispute Substance Registration No. 22241. Mot. proceeding. Rather, what matters—as of substance.’’ See Veg-Mix, Inc., 832 for Summ. Disp. Ex. D, at 1–2. DEA has repeatedly held—is whether F.2d 601, 607 (D.C. Cir. 1987). As of the On November 4, 2015, the Respondent is without authority under date of this Recommended Decision, the Respondent’s counsel filed an [state] law to dispense a controlled Respondent currently lacks state Affirmation in Opposition substance.’’ Bourne Pharmacy, Inc., 72 authority to handle controlled (‘‘Respondent’s Reply’’). In his Reply, FR 18273, 18274 (2007); see also Grider substances in both Connecticut and the Respondent’s counsel asserted that, Drug #1 & Grider Drug #2, 77 FR 44069, Massachusetts; therefore, he cannot although the Respondent’s Connecticut 44104 n.97 (2012). maintain his DEA registrations. The controlled substance registration The Respondent requested a stay of Government’s Motion for Summary currently is suspended, the CDCP these proceedings until the CDCP Disposition is granted, and it is conducted a hearing on September 17, reaches a final decision regarding his recommended that the Respondent’s 2015, regarding the suspension. Resp’t Connecticut registration. Req. for Hr’g at DEA registrations be revoked and any Reply at 1–2. The Respondent’s counsel 2; Resp’t Reply at 8. This Agency pending applications for renewal be asserted that the CDCP’s final decision routinely denies ‘‘requests to stay the denied. may change his registration status. issuance of a final order of revocation Dated: November 6, 2015 Resp’t Reply at 1–2, 7–8. The . . . [because] a practitioner must be Respondent’s counsel also asserted that, currently authorized to handle Charles Wm. Dorman, although the Respondent signed an controlled substances . . . to maintain Administrative Law Judge. agreement not to practice in [his] DEA registration.’’ Gregory F. [FR Doc. 2016–00895 Filed 1–19–16; 8:45 am] Massachusetts, that agreement was Saric, M.D., 76 FR 16821 (2011) BILLING CODE 4410–09–P predicated on the suspension of the (emphasis added) (internal quotations Respondent’s Rhode Island license, and and citations omitted). Because that his Rhode Island license may be evaluating ‘‘whether Respondent’s state DEPARTMENT OF JUSTICE 3 restored. Resp’t Reply at 4–5, 7. license will be re-instated is entirely [OMB Number 1110–0011] speculative,’’ id., ‘‘[i]t is not DEA’s 3 The Respondent asserts that he entered a policy to stay proceedings . . . while Agency Information Collection voluntary agreement suspending his Massachusetts license because his Rhode Island license was registrants litigate in other forums.’’ Activities; Proposed eCollection suspended. Resp’t Reply at 4–6. The Respondent Newcare Home Health Servs., 72 FR eComments Requested; Revision of a also asserts that he requested a hearing on the 42126, 42127 n.2 (2007) (citing Bourne Previously Approved Collection suspension of his Rhode Island license, but has not Pharmacy, 72 FR at 18273; Oakland challenged his Massachusetts license’s suspension. Med. Pharmacy, 71 FR 50100 (2006); AGENCY: Federal Bureau of Req. for Hr’g at 1; Resp’t Reply at 7. This case, Investigation, Department of Justice however, do not address any DEA registration to dispense controlled substances in Rhode Island. (noting that ‘‘a registrant’s controlled substance Violent Criminal Apprehension Program Thus, the status of the Respondent’s Rhode Island privileges in a state outside the state of his DEA (ViCAP). license is not considered here. See Brian Earl registration [are] irrelevant’’) (citing Shahid Musud ACTION: 60-day notice. Cressman, M.D., 78 FR 12091, 12092 n.2 (2013) Siddiqui, M.D., 61 FR 14818 (1996)).

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SUMMARY: The Department of Justice, Department of Justice is the Federal DEPARTMENT OF LABOR Federal Bureau of Investigation, Critical Bureau of Investigation. Mine Safety and Health Administration Incident Response Group will submit 4. Affected public who will be asked the following information collection or required to respond, as well as a brief Petitions for Modification of request to the Office of Management and abstract: Primary: Federal, state, local, Budget (OMB) for review and clearance Application of Existing Mandatory and tribal government law enforcement in accordance with established review Safety Standards agencies charged with the responsibility procedures of the Paperwork Reduction of investigating violent crimes. AGENCY: Mine Safety and Health Act of 1995. Administration, Labor. Abstract: Established by the DATES: Comments are encouraged and ACTION: Notice. will be accepted for 60 days until March Department of Justice in 1985, ViCAP 21, 2016. serves as the national repository for SUMMARY: Section 101(c) of the Federal FOR FURTHER INFORMATION CONTACT: All violent crimes; specifically; Mine Safety and Health Act of 1977 and comments, suggestions, or questions Homicides (and attempts) that are Title 30 of the Code of Federal regarding additional information, to known or suspected to be part of a series Regulations Part 44 govern the include obtaining a copy of the and/or are apparently random, application, processing, and disposition proposed information collection motiveless, or sexually oriented. of petitions for modification. This notice instrument with instructions, should be is a summary of petitions for Sexual assaults that are known or directed to Lesa Marcolini, Program modification submitted to the Mine suspected to be part of a series and/or Manager, Federal Bureau of Safety and Health Administration Investigation, Critical Incident Response are committed by a stranger. (MSHA) by the parties listed below. Group, ViCAP, FBI Academy, Quantico, Missing persons where the DATES: All comments on the petitions Virginia 22135; facsimile (703) 632– circumstances indicate a strong must be received by the MSHA’s Office 4239. possibility of foul play and the victim is of Standards, Regulations, and Variances on or before February 19, SUPPLEMENTARY INFORMATION: Written still missing. 2016. comments and suggestions from the Unidentified human remains where public and affected agencies concerning the manner of death is known or ADDRESSES: You may submit your the proposed collection of information suspected to be homicide. comments, identified by ‘‘docket number’’ on the subject line, by any of are encouraged. Your comments should Comprehensive case information address one or more of the following the following methods: submitted to ViCAP is maintained in the four points: 1. Electronic Mail: zzMSHA- ViCAP Web National Crime Database —Evaluate whether the proposed [email protected]. Include the docket and is automatically compared to all number of the petition in the subject collection of information is necessary other cases in the databases to identify for the proper performance of the line of the message. potentially related cases. 2. Facsimile: 202–693–9441. functions of the Bureau of Justice 3. Regular Mail or Hand Delivery: Statistics, including whether the 5. An estimate of the total number of MSHA, Office of Standards, information will have practical utility; respondents and the amount of time Regulations, and Variances, 201 12th —Evaluate the accuracy of the agency’s estimated for an average respondent to Street South, Suite 4E401, Arlington, estimate of the burden of the respond: Of the approximately 18,000 Virginia 22202–5452, Attention: Sheila proposed collection of information, government law enforcement agencies McConnell, Acting Director, Office of including the validity of the that are eligible to submit cases, it is Standards, Regulations, and Variances. methodology and assumptions used; estimated that thirty to fifty percent will Persons delivering documents are —Evaluate whether and if so how the actually submit cases to ViCAP. The quality, utility, and clarity of the required to check in at the receptionist’s time burden of the respondents is less desk in Suite 4E401. Individuals may information to be collected can be than 60 minutes per form. enhanced; and inspect copies of the petitions and —Minimize the burden of the collection 6. An estimate of the total public comments during normal business of information on those who are to burden (in hours) associated with the hours at the address listed above. respond, including through the use of collection: 5,000 annual burden hours. MSHA will consider only comments postmarked by the U.S. Postal Service or appropriate automated, electronic, If additional information is required proof of delivery from another delivery mechanical, or other technological contact: Jerri Murray, Department collection techniques or other forms service such as UPS or Federal Express Clearance Officer, United States on or before the deadline for comments. of information technology, e.g., Department of Justice, Justice FOR FURTHER INFORMATION CONTACT: permitting electronic submission of Management Division, Policy and responses. Barbara Barron, Office of Standards, Planning Staff, Two Constitution Regulations, and Variances at 202–693– Overview of This Information Square, 145 N Street NE., 3E.405B, 9447 (Voice), [email protected] Collection Washington, DC 20530. (Email), or 202–693–9441 (Facsimile). 1. Type of Information Collection: Dated: January 14, 2016. [These are not toll-free numbers.] Revision of a currently approved Jerri Murray, SUPPLEMENTARY INFORMATION: collection. Department Clearance Officer for PRA, U.S. I. Background 2. The Title of the Form/Collection: Department of Justice. Section 101(c) of the Federal Mine ViCAP Case Submission Form. [FR Doc. 2016–00942 Filed 1–19–16; 8:45 am] 3. The agency form number, if any, Safety and Health Act of 1977 (Mine and the applicable component of the BILLING CODE 4410–02–P Act) allows the mine operator or Department sponsoring the collection: representative of miners to file a The form number is FD–676. The petition to modify the application of any applicable component within the mandatory safety standard to a coal or

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other mine if the Secretary of Labor a fan outage occurs. Should there be an The petitioner asserts that the determines that: interruption in the fan operations, a proposed alternative method will 1. An alternative method of achieving notification of the interruption can be provide a greater degree of safety than the result of such standard exists which given to the miners underground at having mine personnel monitor the fan will at all times guarantee no less than Clover Fork Mine from the Huff Creek from the surface at the Clover Fork the same measure of protection afforded Communication Center. Clover Fork Mine. the miners of such mine by such Mine management believes that these Docket Number: M–2015–027–C. standard; or provisions for fan monitoring will Petitioner: Peabody Energy Company, 2. That the application of such provide a greater degree of safety than 115 Grayson Lane, Eldorado, Illinois standard to such mine will result in a having mine personnel monitor the fan 62930. diminution of safety to the miners in from the surface at the Clover Fork Mine: Wildcat Hills Underground such mine. Mine. Mine, MSHA I.D. No. 11–03156, located In addition, the regulations at 30 CFR (2) Fan alarm signal monitoring by the in Saline County, Illinois. 44.10 and 44.11 establish the Communication Center is accomplished Regulation Affected: 30 CFR 75.500(d) requirements and procedures for filing in two ways: First by fan signal (Permissible electric equipment). Modification Request: The petitioner petitions for modification. connection to mine phones and by a requests a modification of the existing fiber optic line that is from the Clover II. Petitions for Modification standard to permit an alternative Fork Mine to the Huff Creek Mine. Both Docket Number: M–2015–0026–C. method of compliance to permit the use systems are routed through each mine to Petitioner: Lone Mountain Processing, of nonpermissible electronic testing or an underground borehole connection to Inc., Drawer C, St. Charles, VA 24282. diagnostic equipment in or inby the last remove issues with inclement weather. Mine: Clover Fork No. 1 Mine, MSHA open crosscut. The petitioner states that: I.D. No. 15–18647, Huff Creek No. 1 The fiber optic line is connected to the (1) Nonpermissible electronic testing Mine, MSHA I.D. No. 15–17234, Darby CO monitoring and tracking system and diagnostic equipment to be used Fork No. 1 Mine, MSHA I.D. No. 15– computer at Clover Fork Mine which include: Laptop computers; 02263, located in Harlan County, receives an input from the fan alarm oscilloscopes; vibration analysis Kentucky. signal device. The fiber optic terminates machines; cable fault detectors; point Regulation Affected: 30 CFR at a computer in the Communication temperature probes; infrared 75.310(a)(3) (Installation of main mine Center and provides both audible and temperature devices; insulation testers fans). visual notification if the Clover Fork fan (meggers); voltage, current, resistance, Modification Request: The petitioner should stop operating, as well as all and power measurement devices; requests a modification of the existing working sections at all three ultrasonic thickness gauges; electronic standard to permit the use of fan signal aforementioned mines. component testers; and electronic monitoring provided by the (3) Voice communication to the tachometers. Other testing and Communication Center at the Huff Clover Fork Mine is accomplished by diagnostic equipment may be used if Creek Mine as an alternative to having three separate connections and also by approved in advance by the MSHA personnel on the surface at the mine to wireless tracking system radios. Primary District Manager. monitor fan operation. The petitioner communication is a mine phone line (2) All nonpermissible testing and states that: routed through an underground diagnostic equipment used in or inby (1) Currently the Clover Fork fans can borehole connection between the two the last open crosscut will be examined be monitored for operation at the mines. Backup to the mine phone by a qualified person as defined in 30 Communication Center. This system is an overland copper pair for CFR 75.153, prior to use to ensure the Communication Center is manned the emergency phone system that is equipment is being maintained in a safe continuously when miners are provided by the land line telephone operating condition. The examination underground by a qualified atmospheric company. A third way of results will be recorded in the weekly monitoring system (AMS) operator as communication to the mine is land line examination book and will be made required in 30 CFR 75.156. This telephone to the mine office. Tracking available to MSHA and the miners at the operator is currently responsible for system radios mentioned above also mine. monitoring the Clover Fork Mine, Huff provide a wireless fourth means of (3) A qualified person as defined in 30 Creek Mine, and Darby Fork Mine AMS communication. CFR 75.151 will continuously monitor systems. This operator is familiar with (4) The Communication Center is also for methane immediately before and the underground workings of the Clover provided with a ‘‘kill feature’’ system during the use of nonpermissible Fork Mine and will regularly travel to designed to deenergize the AMS system electronic testing and diagnostic all working sections every six months as for the Clover Fork Mine should any equipment in or inby the last open required. In addition to having the AMS main mine fan fail. All AMS operators crosscut. operator continuously monitoring the are trained how to perform this (4) Nonpermissible electronic testing main mine fans for the Clover Fork procedure and written instructions are and diagnostic equipment will not be Mine, Lone Mountain Processing will be provided inside the Communication used if methane is detected in installing a system to activate the Center. This feature will be maintained concentrations at or above one percent. existing section alarms at all three in working order at all times or When one percent or more methane is mines to alarm when any main mine fan otherwise immediate corrective actions detected while the nonpermissible slows or stops. This alarm will provide will be taken to correct the condition electronic equipment is being used, the an audible and visual alarm to alert and a designated person will be equipment will be deenergized miners that an event has occurred. required to monitor the main mine fans immediately and the nonpermissible Constant communications is provided to at the Clover Fork Mine until the system electronic equipment will be withdrawn all three interconnected mines via the is in proper working order. The AMS outby the last open crosscut. Huff Creek Communication Center. All system is routed through underground (5) All hand-held methane detectors approved ventilation plans provide workings and underground borehole will be MSHA-approved and instructions to evacuate the mine when connections as previously mentioned. maintained in permissible and proper

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operating condition as defined in 30 DATES: Letters of Intent must be special TIG grant assurances, see LSC’s CFR 75.320. submitted by 11:59 p.m. EST on TIG compliance Web page. (6) Except for time necessary to February 29, 2016. Eligible Applicants trouble shoot under actual mining ADDRESSES: Letters of Intent must be conditions, coal production in the submitted electronically at http:// TIG awards are available only to section will cease. However, coal may lscgrants.lsc.gov. current LSC Basic Field Grant recipients remain in or on the equipment to test that are not subject to any short funding and diagnose the equipment under FOR FURTHER INFORMATION CONTACT: Jane (i.e., less than one year) on Basic Field ‘‘load.’’ Ribadeneyra, Program Analyst, Office of Grants. (7) All electronic testing and Program Performance, Legal Services LSC will not award a TIG to any diagnostic equipment will be used in Corporation, 3333 K Street NW., applicant that is not in good standing on accordance with the safe use procedures Washington, DC 20007; (202) 295–1554 any existing TIG projects. Applicants recommended by the manufacturer. (phone); [email protected]. must be up to date, according to the (8) Qualified personnel who used SUPPLEMENTARY INFORMATION: milestone schedule on all existing TIG electronic testing and diagnostic General Information projects prior to submitting a LOI or equipment will be properly trained to have requested and received an recognize the hazards and limitations The Legal Services Corporation adjustment to the original milestone associated with use of the equipment. awards Technology Initiative Grant schedule. LSC will not award a TIG to The petitioner asserts that under the funds through an open, competitive, any applicant that has not made terms and conditions of this petition for and impartial selection process. All satisfactory progress on prior TIGs. LSC modification, the use of nonpermissible prospective applicants for 2016 TIG recipients that have had a previous TIG electronic testing and diagnostic funds must submit a Letter of Intent to terminated for failure to provide timely equipment will at all times guarantee Apply (LOI) prior to submitting a formal reports and submissions are not eligible not less than the same measure of application. The format and contents of to receive a TIG for three years after protection afforded by the existing the LOI should conform to the their earlier grant was terminated. This standard. requirements specified below in Section policy does not apply to applicants that IV. Sheila McConnell, worked with LSC to end a TIG early Through the LOI process, LSC after an unsuccessful project Acting Director, Office of Standards, identifies those projects that have a Regulations, and Variances. implementation resulting from reasonable chance of success in the technology limitations, a failed proof of [FR Doc. 2016–00935 Filed 1–19–16; 8:45 am] competitive grant process based on BILLING CODE 4520–43–P concept, or other reasons outside of the LSC’s analysis of the project description applicant’s control. and other information provided in the LOI. LSC will solicit full proposals for Funding Availability LEGAL SERVICES CORPORATION those projects. LSC has received an appropriation of Request for Letters of Intent To Apply LSC Requirements $4 million for fiscal year 2016 to fund TIG projects. In 2015, 36 TIG projects for 2015 Technology Initiative Grant Technology Initiative Grant funds are Funding received funding with a median funding subject to all LSC requirements, amount of $86,200. (See TIG’s past AGENCY: Legal Services Corporation. including the requirements of the Legal awards Web page for more information ACTION: Notice. Services Corporation Act (LSC Act), any on past grants.) LSC recommends a applicable appropriations acts and any minimum amount for TIG funding SUMMARY: The Legal Services other applicable laws, rules, regulations, requests of $40,000, but lower requests Corporation (LSC) issues this Notice policies, guidelines, instructions, and will be considered. There is no describing the conditions under which other directives of the Legal Services maximum amount for TIG funding Letters of Intent To Apply for Corporation, including, but not limited requests that are within the total Technology Initiative Grants (TIG) will to, the LSC Audit Guide for Recipients appropriation for TIG. be received. LSC’s TIG program was and Auditors, the Accounting Guide for established in 2000. Since that time, LSC Recipients, the CSR Handbook, the Collaborations LSC has made 647 grants totaling more 1981 LSC Property Manual (as The TIG program encourages than $53 million. This grant program amended) and the Property Acquisition applicants to reach out to and include provides an important tool to help and Management Manual, with any in TIG projects others interested in achieve LSC’s goal of increasing the amendments to the foregoing adopted access to justice—the courts, bar quantity and quality of legal services before or during the period of the grant. associations, pro bono projects, available to eligible persons. Projects Before submitting a Letter of Intent to libraries, and social service agencies. funded under the TIG program develop, Apply, applicants should be familiar Partnerships can enhance the reach, test and replicate innovative with LSC’s transfer and subgrant effectiveness and sustainability of many technologies that can enable grant requirements at 45 CFR parts 1610 and projects. recipients and state justice communities 1627 (see http://www.lsc.gov/about/ to improve low-income persons’ access laws-regulations/lsc-regulations-cfr-45- Grant Categories to high quality legal assistance through part-1600-et-seq), particularly as they LSC will accept projects in two an integrated and well managed pertain to payments of LSC funds to application categories: technology system. When submitting other entities for programmatic (1) Innovations and Improvements Letters of Intent, applicants should activities. (2) Replication and Adaptation consider the growth and continued For additional information and development of technology and the resources regarding TIG compliance, Grant Category 1: Innovations and resulting effects on the practice of law, including transfers, subgrants, third- Improvements management of legal aid organizations party contracting, conflicts of interest, The Innovations and Improvements and legal aid service delivery. grant modification procedures, and Category is designated for projects that:

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(1) Implement new or innovative jurisdictions with less effort, hence a center/publications/report-summit-use- approaches for using technology in legal lower cost, than developing the technology-expand-access-justice, services or (2) enhance the effectiveness document from scratch. proposed an integrated service-delivery and efficiency of existing technologies Even if a form differs from one state system that would ‘‘move the United so that they may be better used to to another, the information needed to States toward providing some form of increase the quality and quantity of populate a form will, for the most part, effective assistance to 100 percent of services to clients. be similar. (What are the names of the persons otherwise unable to afford an Although there is no funding limit or plaintiff, the defendant, the children, attorney for dealing with essential civil matching requirement for applications etc.?). This means the interviews are legal needs.’’ Recently, the Conference in this category, additional weight is more easily replicated than templates. of Chief Justices and the Conference of given to projects with strong support All of these templates and interviews State Court Administrators adopted a from partners. Proposals for initiatives are available to be modified as needed. resolution advocating a similar access with broad applicability and/or that Applicants should identify which forms goal: would have impact throughout the legal and templates are to be adapted, and NOW, THEREFORE, BE IT RESOLVED that services community are strongly then estimate the cost to do this and the Conference of Chief Justices and the encouraged. compare that to the cost of developing Conference of State Court Administrators them from scratch. support the aspirational goal of 100 percent Grant Category 2: Replication and LHI has the capacity to support Adaptation access to effective assistance for essential Spanish, Vietnamese, Mandarin and civil legal needs and urge their members to The Replication and Adaptation Korean language interviews. In addition, provide leadership in achieving that goal and category is for proposals that seek to LHI has been integrated with other to work with their Access to Justice replicate, adapt, or provide added value systems to allow the flow of information Commission or other such entities to develop to the work of prior technology projects. between LHI and court e-filing systems, a strategic plan with realistic and measurable This includes, but is not limited to, the and legal aid case management systems. outcomes; implementation and improvement of The ‘‘Connect’’ feature enables pro bono and BE IT FURTHER RESOLVED that the tested methodologies and technologies programs from across a state to use LHI Conferences urge the National Center for State Courts and other national organizations from previous TIG projects. Applicants interviews and forms to assign pre- may also replicate technology projects to develop tools and provide assistance to screened pro bono cases and their states in achieving the goal of 100 percent funded outside of the TIG program, documents to panel attorneys. For access through a continuum of meaningful including sectors outside the legal aid additional information, including and appropriate services. community, such as other social examples, best practices, models and With this area of interest, LSC seeks services organizations, the broader non- training materials, see the LawHelp proposals that use technology to further profit community, and the private Interactive Resource Center at http:// the goal of 100 percent access to sector. www.probono.net/dasupport (you may effective assistance for essential civil Project proposals in the Replication need to request a free membership to legal needs, particularly through and Adaptation category may include, access this Web site). but are not limited to: projects that advance related objectives C. Replication of Technology Projects in developed by the Access to Justice A: Replication of Previous TIG Projects Other Sectors Commission in the applicant’s state. LSC requires that any original In addition to replicating other TIG LSC’s Technology Summit Report software developed with TIG funding be funded technology projects, LSC provides examples of strategies for available to other legal services encourages replication of proven achieving 100 percent access, but programs at little or no cost. Applicants technologies from non-LSC funded legal proposals should not be limited to should look to previous successful TIG aid organizations as well as sectors approaches discussed in the report. projects to determine how they could be outside the legal aid community. Ideas Applicants should work with their local replicated at a reduced cost from the for replication may be found through commissions (where they exist) and/or original project, and/or how they could resources and organizations such as other stakeholders to determine the best be expanded and/or enhanced. Projects LSNTAP, the ABA, international legal ways to use technology to move toward where original software or content has aid providers such as the Legal Services achieving this goal. already been created lend themselves to Society of British Columbia and HiiL’s B. Projects to Move Organizations replication, and LSC encourages Innovating Justice project (http:// above the LSC Technology Baselines. programs to look to these projects to see www.innovatingjustice.com), Idealware ‘‘LSC Baselines: Technologies That how they could benefit the delivery (see the article on Unleashing Should Be in Place in a Legal Aid Office systems in their state. Innovation), NTEN, and TechSoup. Today,’’ available at http://www.lsc.gov/ B: Automated Form Replication sites/default/files/TIG/pdfs/LSC- Areas of Interest Technology-Baselines-2015.PDF, 1 LawHelp Interactive (LHI ) is LSC welcomes applications for a wide provides a detailed overview of the deployed across the country with variety of projects. For 2016, LSC has technologies that enable modern legal thousands of active HotDocs templates three areas of particular interest in aid offices to operate efficiently and and A2J Author modules hosted on the which programs are encouraged to effectively. While LSC’s policy is that LawHelp Interactive National HotDocs submit proposals for innovative TIGs cannot be used to bring grantees Server at https://lawhelpinteractive.org. technology approaches. The designation up to the baselines in an area, we Despite differences from state to state in of these areas does not in any way limit encourage applicants as they implement the content and format, many of these the scope of proposals in which LSC is a baseline capacity to think about how forms can be edited for use in other interested. The 2016 areas of particular they can do more than just the interest are: minimum. This area of interest focuses 1 LHI is an automated document server powered by HotDocs Server and made available to any LSC A. Achieving ‘‘100 Percent Access.’’ on initiatives that advance organizations funded program at no charge. See https:// LSC’s 2013 Technology Summit Report, beyond the 2015 Baselines by lawhelpinteractive.org. available at http://www.lsc.gov/media- developing innovative, creative

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technology solutions that not only within the legal services delivery they conform to the required format and address one or more Baseline capacities, system, their expected impact, and other clearly present all of the required but also exceed them. Grantees applying similar factors. (Only the impact should elements listed and described above. under this area of interest should be highlighted here; more details about Failure to meet these requirements may address how their project could the system’s benefits should be result in rejection of the Letter of Intent. establish a new technology best practice provided below.) LSC will review each Letter of Intent that could be incorporated into future 3. Major Benefits (maximum 2500 to identify those projects likely to versions of the Baselines. characters)—Describe the specific ways improve access to justice, or to improve C. Innovations in Legal Information in which the project will increase or the efficiency, effectiveness, and quality Design and Delivery. Legal tools and improve services to clients and/or of legal services provided by grantees. content should be developed with the enhance the effectiveness and efficiency The Letters of Intent will also be end user in mind, but too often the of program operations. To the extent reviewed to determine the extent to result reflects what the developer feasible, discuss both the qualitative and which the project proposed is clearly determines the end user will need, quantitative aspects of these benefits. described and well thought out, offers rather than what the user understands 4. Estimated Costs (maximum 1500 major benefits to our targeted client and finds helpful. Technology provides characters)—Start by stating the amount community, is cost-effective, involves an opportunity to design and deliver of funding you are seeking from the TIG all of the parties needed to make it legal information optimized for the end program, followed by the estimated total successful and sustainable, and is either user, and there are good examples of project cost, summarizing the innovative or a cost-effective replication how user-centric design can improve anticipated costs of the major of prior successful projects. LSC will legal innovation (see components of the project. List invite those applicants that satisfy these www.legaltechdesign.com and anticipated contributions, both in-kind criteria to submit full applications. www.nulawlab.org). Projects in this area and monetary, from all partners of interest could incorporate new involved in the project. Next Steps for Successful Applicants approaches to visual law, online 5. Major Partners (maximum 1500 LSC will notify successful applicants learning, and user interaction in the characters)—Identify organizations that by April 11, 2016. Successful applicants design and delivery of content. In one are expected to be important partners. will have until 11:59 p.m. EDT, Friday, example from the 2015 TIG cycle, a Specify the role(s) each partner will May 20, 2016 to complete and submit grantee received funding to develop a play. full applications in the online courtroom experience app that delivers 6. Innovation/Replication (maximum application system. just-in-time support directly to litigants’ 1500 characters)—Identify how and why smartphones as they navigate various the proposed project is new and Waiver Authority stages of the court process, increasing innovative and/or is a replication or LSC, upon its own initiative or when effective self-representation. Projects adaptation of a previous technology requested, may waive provisions in this could also focus on low/no-literacy and project. Identify how and why the Notice at its sole discretion under Limited English Proficiency (LEP) proposed project can significantly extraordinary circumstances and when communities or others who are under- benefit and/or be replicated by other it is in the best interest of the eligible served by traditional methods. legal services providers and/or the legal client community. Waivers may be services community at large. Specific Letter of Intent To Apply granted only for requirements that are Requirements Letter of Intent To Apply Deadline discretionary and not mandated by statute or regulation. Any request for a Letters of Intent must be completed One Project per Letter of Intent waiver must set forth the extraordinary and submitted into the online system at circumstances for the request and be Applicants may submit multiple LOIs, http://lscgrants.lsc.gov no later than included in the application. LSC will but a separate LOI should be submitted 11:59 p.m. EST, Monday, February 29, not consider a request to waive the for each project for which funding is 2016. The online system may deadline for a Letter of Intent to Apply sought. experience technical difficulties due to unless the waiver request is received by heavy traffic on the day of the deadline. Letter Requirements and Format LSC prior to the deadline. Applicants are strongly encouraged to Letters of Intent must be submitted complete LOI submissions as early as Contact Information using the online system at http:// possible. lscgrants.lsc.gov. Additional LSC will not accept applications For information on the status of a instructions and information can be submitted after the application deadline current TIG project, contact Eric found on the TIG Web site, http:// unless a waiver of the deadline has been Mathison, Program Analyst, Telephone: www.lsc.gov/grants-grantee-resources/ approved in advance (see Waiver 202–295–1535; Email: emathison@ our-grant-programs/tig. This system will Authority). Therefore, allow sufficient lsc.gov. walk you through the process of creating time for online submission. For questions about projects in CT, IL, a simple two-page LOI. The LOI should LSC will provide confirmation via IN, ME, MA, MI, NH, NJ, NY, OH, PA, concisely provide the following email upon the completed electronic RI, WI, WV, VT, contact David information about the proposed project: submission of each Letter of Intent. Bonebrake, Program Counsel, 1. Category—Select the appropriate Keep this email as verification that the Telephone: 202.295.1547; Email: category from the drop down list. program’s LOI was submitted. If no [email protected]. 2. Description of Project (maximum confirmation email is received, inquire For questions about projects in AK, 2500 characters)—Briefly describe the about the status of your LOI at AZ, CA, CO, GU, HI, ID, IA, KS, MP, basic elements of the project, including [email protected]. MN, MT, NE., NV, NH, NM, ND, OK, the specific technology(ies) the project OR, SD, TX, UT, WA, WY, contact will develop or implement; how they Selection Process Glenn Rawdon, Program Counsel, will be developed, how they will LSC will initially review all Letters of Telephone: 202.295.1552; Email: operate, the function they will serve Intent to Apply to determine whether [email protected].

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For questions about projects in AL, functions of the agency, including evaluations required under 20 U.S.C. AR, DC, FL, GA, KY, LA, MD, MS, MO, whether the information will have 9134, so as to ensure that each State NC, PR, SC, TN, VI, VA, contact Jane practical utility; Library Administrative Agency develops Ribadeneyra, Program Analyst, • Evaluate the accuracy of the and submits to IMLS an effective Telephone: 202.295.1554, Email: agency’s estimate of the burden of the evaluation of their five-year plan. [email protected]. proposed collection of information Agency: Institute of Museum and If you have a general question, please including the validity of the Library Services. email [email protected]. methodology and assumptions used; Title: Guidelines for Grants to States • Program Five-Year Evaluations. Dated: January 12, 2016. Enhance the quality, utility and clarity of the information to be OMB Number: To be determined. Stefanie K. Davis, collected; and Agency Number: 3137. Assistant General Counsel. • Minimize the burden of the Affected Public: State Library [FR Doc. 2016–00941 Filed 1–19–16; 8:45 am] collection of information on those who Administrative Agencies. BILLING CODE 7050–01–P are to respond, including through the Number of Respondents: 55. use of appropriate automated electronic, Note: 55 is the number of State mechanical, or other technological Library Administrative Agencies that NATIONAL FOUNDATION FOR THE collection techniques or other forms of are responsible for the collection of this ARTS AND THE HUMANITIES information technology, e.g. permitting information and for reporting it to IMLS. Frequency: Once every five years. electronic submissions of responses. Institute of Museum and Library Burden Hours per Respondent: To be ADDRESSES: For a copy of the documents Services determined. contact: Kim A. Miller, Management Total Burden Hours: To be Notice of Proposed Information Analyst, Office of Planning, Research, determined. Collection Request: Guidelines for and Evaluation, Institute of Museum Total Annualized Capital/Startup Grants to States Program Five-Year and Library Services, 1800 M Street Costs: To be determined. Evaluations NW., 9th Floor, Washington DC 20036. Total Annual Costs: To be Ms. Miller can be reached by determined. AGENCY: Institute of Museum and Telephone: 202–653–4762, Fax: 202– Contact: Kim A. Miller, Management Library Services, National Foundation 653–4762, or by email at kmiller@ Analyst, Office of Planning, Research, for the Arts and the Humanities. imls.gov. and Evaluation, Institute of Museum ACTION: Notice, request for comments, SUPPLEMENTARY INFORMATION: and Library Services, 1800 M Street collection of information. NW., 9th Floor, Washington DC 20036. I. Background Ms. Miller can be reached by SUMMARY: The Institute of Museum and The Institute of Museum and Library Telephone: 202–653–4762, Fax: 202– Library Service (‘‘IMLS’’) as part of its Services (IMLS) is an independent 653–4762, or by email at kmiller@ continuing effort to reduce paperwork Federal grant-making agency and is the imls.gov or by teletype (TTY/TDD at and respondent burden, conducts a pre- primary source of federal support for the 202–653–4614. Office hours are from clearance consultation program to Nation’s 123,000 libraries and 17,500 8:30 a.m. to 5 p.m., E.T., Monday provide the general public and federal museums. IMLS provides a variety of through Friday, except Federal holidays. agencies with an opportunity to grant programs to assist the Nation’s Dated: January 12, 2016. comment on proposed and/or museums and libraries in improving Kim A. Miller, continuing collections of information in their operations and enhancing their accordance with the Paperwork Management Analyst, Office of Planning, services to the public. The IMLS Grants Research, and Evaluation. Reduction Act (44 U.S.C. 3501 et seq.). to States program is the largest source of This pre-clearance consultation program [FR Doc. 2016–00768 Filed 1–19–16; 8:45 am] federal funding support for library BILLING CODE 7036–01–P helps to ensure that requested data can services in the United States. Using a be provided in the desired format, population-based formula, more than reporting burden (time and financial $150 million is distributed among the NATIONAL SCIENCE FOUNDATION resources) is minimized, collection State Library Administrative Agencies. instruments are clearly understood, and Astronomy and Astrophysics Advisory the impact of collection requirements on II. Current Actions Committee; Notice of Meeting respondents can be properly assessed. The Library Services and Technology The purpose of this Notice is to solicit Act requires each State Library In accordance with the Federal comments concerning the guidelines for Administrative Agency to submit a plan Advisory Committee Act (Pub., L. 92– the agency’s Grants to States program’s that details library services goals for a 463, as amended), the National Science five-year evaluations. five-year period. Pursuant to 20 U.S.C. Foundation announces the following A copy of the proposed information 9134, each State Library Administrative meeting: collection request can be obtained by Agency that receives an IMLS grant Name: Astronomy and Astrophysics contacting the individual listed below under the Grants to States Program is Advisory Committee (#13883). in the ADDRESSES section of this notice. required to evaluate and report to the Date and Time: February 25, 2016; 12:00 DATES: Written comments must be agency, prior to the end of their five- p.m.–4:00 p.m. EDT. submitted to the office listed in the year plan, regarding the activities Place: National Science Foundation, Room ADDRESSES section below on or before assisted under the LSTA. These five- 1060, Stafford I Building, 4201 Wilson Blvd., March 15, 2016. year plans and evaluations are the Arlington, VA 22230. (Via Teleconference). Type of Meeting: Open. http:// IMLS is particularly interested in foundation for improving practice and www.nsf.gov/mps/ast/aaac.jsp. Attendance comments that help the agency to: informing policy. The purpose of the • information for the meeting will be Evaluate whether the proposed proposed information collection is to forthcoming on the Web site. collection of information is necessary promulgate guidelines to establish a Contact Person: Dr. James Ulvestad, for the proper performance of the consistent framework for the Division Director, Division of Astronomical

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Sciences, Suite 1045, National Science method for submitting comments on a B. Submitting Comments Foundation, 4201 Wilson Blvd., Arlington, specific subject): Please include Docket ID NRC–2011– VA 22230. Telephone: 703–292–7165. • Federal Rulemaking Web site: Go to Purpose of Meeting: To provide advice and 0022 in the subject line of your recommendations to the National Science http://www.regulations.gov and search comment submission. The NRC cautions Foundation (NSF), the National Aeronautics for Docket ID NRC–2011–0022. Address you not to include identifying or contact and Space Administration (NASA) and the questions about NRC dockets to Carol information that you do not want to be U.S. Department of Energy (DOE) on issues Gallagher; telephone: 301–415–3463; publicly disclosed in you comment within the field of astronomy and email: [email protected]. For submission. The NRC will post all astrophysics that are of mutual interest and technical questions, contact the comment submissions at http:// concern to the agencies. individual listed in the FOR FURTHER www.regulations.gov as well as enter the Agenda: To provide updates on agency INFORMATION CONTACT section of this comment submissions into ADAMS. activities and to discuss the Committee’s document. draft annual report due 15 March 2016. The NRC does not routinely edit • Mail comments to: Cindy Bladey, comment submissions to remove Dated: January 14, 2016. Office of Administration, Mail Stop: identifying or contact information. Crystal Robinson, OWFN–12–H08, U.S. Nuclear If you are requesting or aggregating Committee Management Officer. Regulatory Commission, Washington, comments from other persons for [FR Doc. 2016–00996 Filed 1–19–16; 8:45 am] DC 20555–0001. submission to the NRC, then you should BILLING CODE 7555–01–P For additional direction on obtaining inform those persons not to include information and submitting comments, identifying or contact information that see ‘‘Obtaining Information and they do not want to be publicly NUCLEAR REGULATORY Submitting Comments’’ in the disclosed in their comment submission. COMMISSION SUPPLEMENTARY INFORMATION section of Your request should state that the NRC this document. does not routinely edit comment [NRC–2011–0022] submissions to remove such information FOR FURTHER INFORMATION CONTACT: Don before making the comment Lowman, Office of Nuclear Material Concentration Averaging and submissions available to the public or Safety and Safeguards, U.S. Nuclear Encapsulation Branch Technical entering the comment submissions into Regulatory Commission, Washington, Position ADAMS. DC 20555–0001; telephone: 301–415– AGENCY: Nuclear Regulatory 5452; email: [email protected]. II. Background Commission. SUPPLEMENTARY INFORMATION: The NRC issued Revision 1 of the CA ACTION: Branch technical position; BTP (‘‘Revised CA BTP’’) on February I. Obtaining Information and request for comment. 25, 2015, (80 FR 10165). This revision Submitting Comments provided updated guidance on the SUMMARY: The U.S. Nuclear Regulatory A. Obtaining Information interpretation of § 61.55(a)(8) of title 10 Commission (NRC) is requesting of the Code of Federal Regulations (10 Please refer to Docket ID NRC–2011– comments on whether the NRC staff CFR), ‘‘Determination of concentrations 0022 when contacting the NRC about should formally document a position on in wastes,’’ as it applies to the the availability of information for this contaminated material and classification (as Class A, B, or C waste) action. You may obtain publicly- contaminated trash. The NRC issued of a variety of different types and forms available information related to this Revision 1 of the Branch Technical of LLW. Section 61.55(a)(8) states that action by any of the following methods: Position on Concentration Averaging radionuclide concentrations can be • and Encapsulation (CA BTP) in Federal Rulemaking Web site: Go to averaged over the volume of the waste February of 2015. The CA BTP provides http://www.regulations.gov and search or its weight if the units are expressed acceptable methods that can be used to for Docket ID NRC–2011–0022. as nanocuries per gram. The average perform concentration averaging of • NRC’s Agencywide Documents radionuclide concentrations are Low-Level Radioactive Waste (LLRW) Access and Management System compared with the waste classification for the purpose of determining its waste (ADAMS): You may obtain publicly- tables in § 61.55 to determine the class class for disposal. When the NRC issued available documents online in the of the waste. The waste class determines the revised CA BTP, it noted that one ADAMS Public Documents collection at the minimum safety measures to be issue, distinguishing contaminated http://www.nrc.gov/reading-rm/ applied in order to provide reasonable materials from contaminated trash, may adams.html. To begin the search, select assurance of safe disposal of the waste. need further clarification. The NRC also ‘‘ADAMS Public Documents’’ and then The previous version of the CA BTP was stated that it would consider whether select ‘‘Begin Web-based ADAMS published in 1995 (ADAMS Accession additional guidance, such as a Search.’’ For problems with ADAMS, No. ML033630732). Regulatory Issue Summary (RIS), would please contact the NRC’s Public In developing the Revised CA BTP, be warranted for distinguishing Document Room (PDR) reference staff at the staff identified one issue that may contaminated materials from 1–800–397–4209, 301–415–4737, or by need further clarification. One of the contaminated trash. email to [email protected]. Volume categories of discrete wastes that are DATES: Submit comments by March 21, 1 and Volume 2 of the revised CA BTP subject to additional concentration 2016. Comments received after this date are available in ADAMS under averaging constraints is ‘‘contaminated will be considered if it is practical to do Accession Nos. ML12254B065 and materials.’’ Both the 1995 and Revised so, but the Commission is able to ensure ML12326A611, respectively. CA BTPs define contaminated materials consideration only for comments • NRC’s PDR: You may examine and as components or metals on which received before this date. purchase copies of public documents at radioactivity resides on or near the ADDRESSES: You may submit comments the NRC’s PDR, Room O1–F21, One surface in a fixed or removable by any of the following methods (unless White Flint North, 11555 Rockville condition. To demonstrate compliance this document describes a different Pike, Rockville, Maryland 20852. with these averaging constraints, the

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radiological characteristics and volumes contaminated trash and contaminated of June 30, 2015, as required by Civil of individual items are typically materials? How could these challenges Service Rule VI, Exceptions from the determined. However, items with be ameliorated? Competitive Service. surface contamination may also be 6. Would an emphasis on using FOR FURTHER INFORMATION CONTACT: categorized as contaminated trash process knowledge be sufficient to avoid Senior Executive Resources Services, which has fewer averaging constraints. the unintended consequence of causing Both the 1995 and the Revised CA BTP licensees to characterize individual Senior Executive Service and used the term contaminated trash which pieces of trash that have radionuclide Performance Management, Employee is intended to be the equivalent of waste concentrations significantly less than Services, 202–606–2246. descriptor codes 39 and 40 (i.e., the class limits? SUPPLEMENTARY INFORMATION: Civil Compactible Trash and Noncompactible 7. The NRC understands that items Service Rule VI (5 CFR 6.1) requires the Trash) of NRC Form 541, ‘‘Uniform referred to as ‘‘high rad trash’’ are U.S. Office of Personnel Management Low-Level Radioactive Waste placed in containers of contaminated (OPM) to publish notice of exceptions Manifest—Container and Waste trash and averaged. The NRC also granted under Schedule A, B, and C. Description.’’ Items in contaminated understands that this practice reduces Under 5 CFR 213.103(a) it is required trash do not need to be individually worker exposure as compared to that all Schedule A, B, and C appointing characterized. Instead, a container of evaluating each item of trash. Please authorities available for use by all contaminated trash can be surveyed to provide examples of ‘‘high rad trash,’’ agencies to be published as regulations determine its overall radioactivity and estimated annual volume, areas of the in the Federal Register (FR) and the its classification determined by dividing facilities where this waste is generated, Code of Federal Regulations (CFR). the overall activity by the waste volume. and typical contact dose rates (if Excepted appointing authorities Neither the 1995 CA BTP nor draft available). established solely for use by one revisions published for public comment 8. When classifying contaminated specific agency do not meet the provided guidance for categorizing trash, is the same sample data (e.g., standard of general applicability items as either contaminated materials scaling factors) for determining the prescribed by the Federal Register Act or contaminated trash. In addition, the radionuclide content of ‘‘normal’’ for regulations published in either the NRC received no comments from contaminated trash used for classifying FR or the CFR. Therefore, 5 CFR stakeholders on this issue. The NRC is the ‘‘high rad trash’’? 213.103(b) requires monthly now addressing whether additional 9. What process currently is used to publication, in the Notices section of the guidance, such as a Regulatory Issue determine whether items of ‘‘high rad Federal Register, of any Schedule A, B, Summary (RIS), is warranted for trash’’ can be disposed of with lower- and C appointing authorities applicable distinguishing contaminated materials activity contaminated trash or whether to a single agency. Under 5 CFR from contaminated trash. items are treated as contaminated 213.103(c) it is required that a materials and averaged with the III. Specific Request for Comments consolidated listing of all Schedule A, constraints described for contaminated B, and C authorities, current as of June The NRC is trying to determine what materials under the 1995 CA BTP? 30 of each year, be published annually items that could be defined as 10. Is clarification needed for the term in the Notices section of the Federal contaminated material per the CA BTP, ‘‘component’’ in the definition of Register at www.federalregister.gov/ if any, are currently being disposed of contaminated materials used in the 1995 agencies/personnel-management-office. as contaminated trash. The NRC is and 2015 CA BTP? That notice follows. Governmentwide requesting that persons consider and authorities codified in the CFR are not address the following questions as they Dated at Rockville, Maryland this 12th day printed in this notice. develop and provide their comments: of January 2016. When making appointments under an 1. Is additional guidance needed to For the Nuclear Regulatory Commission. clarify the distinction between agency-specific authority, agencies Andrew Persinko, contaminated trash and contaminated should first list the appropriate material? Deputy Director, Division of Schedule A, B, or C, followed by the Decommissioning, Uranium Recovery and 2. When filling out the Uniform Waste applicable number, for example: Waste Programs, Office of Nuclear Material Schedule A, 213.3104(x)(x). Agencies Manifest (UWM)(NRC Forms 540, 541, Safety and Safeguards. and 542), how is contaminated are reminded that all excepted [FR Doc. 2016–00972 Filed 1–19–16; 8:45 am] equipment (UWM code 33) currently authorities are subject to the provisions distinguished from contaminated trash BILLING CODE 7590–01–P of 5 CFR part 302 unless specifically (UWM codes 39 and 40)? exempted by OPM at the time of 3. Should numerical constraints be approval. developed to clarify the distinction OFFICE OF PERSONNEL MANAGEMENT OPM maintains continuing between contaminated materials and information on the status of all contaminated trash? If so, what basis Excepted Service; Consolidated Schedule A, B, and C appointing should be used to develop the Listing of Schedules A, B, and C authorities. Interested parties needing numerical constraints? If not, what Exceptions information about specific authorities qualitative factors should be during the year may obtain information considered? AGENCY: Office of Personnel by writing to the Senior Executive 4. If numerical values are developed, Management. Resource Services, Office of Personnel would activity or concentration ACTION: Notice. Management, 1900 E Street NW., Room constraints be preferable? Would an 7412, Washington, DC 20415, or by option to use either be feasible to SUMMARY: This provides the calling (202) 606–2246. implement? consolidated notice of all agency 5. What challenges, if any, do you specific excepted authorities, approved The following exceptions are current foresee with implementing numerical by the Office of Personnel Management as of June 30, 2015. thresholds for distinguishing between (OPM), under Schedule A, B, and C, as Schedule A

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03. Executive Office of the President (1) (Reserved) (b) Entire Department (including the (Sch. A, 213.3103) (2) One position of the Director, Art Office of the Secretary of Defense and (a) Office of Administration— in Embassies Program, GM–1001–15. the Departments of the Army, Navy, (3) (Reserved) (1) Not to exceed 75 positions to and Air Force)— (1) Dependent School Systems provide administrative services and 05. Department of the Treasury overseas—Professional positions in support to the White House Office. (Sch. A, 213.3105) Military Dependent School systems (b) Office of Management and (a) Office of the Secretary— overseas. Budget— (1) Not to exceed 20 positions at the (2) Positions in Attache´ 1 systems (1) Not to exceed 20 positions at equivalent of GS–13 through GS–15 or overseas, including all professional and grades GS–5/15. Senior Level (SL) to supplement scientific positions in the Naval (2) Not to Exceed 34 positions that permanent staff in the study of complex Research Branch Office in London. require unique technical skills needed problems relating to international (3) Positions of clerk-translator, for the re-designing and re-building of financial, economic, trade, and energy translator, and interpreter overseas. digital interfaces between citizens, policies and programs of the (4) Positions of Educational Specialist businesses, and government as a part of Government, when filled by individuals the incumbents of which will serve as Smarter Information Technology with special qualifications for the Director of Religious Education on the Delivery Initiative. This authority may particular study being undertaken. staffs of the chaplains in the military be used to make permanent, time- Employment under this authority may services. limited and temporary appointments to not exceed 4 years. (5) Positions under the program for Digital Services Expert positions (GS– (2) Covering no more than 100 utilization of alien scientists, approved 301) directly related to the positions supplementing permanent under pertinent directives administered implementation of the Smarter staff studying domestic economic and by the Director of Defense Research and Information Technology Delivery financial policy, with employment not Engineering of the Department of Initiative at the GS–14 to 15 level. No to exceed 4 years. Defense, when occupied by alien new appointments may be made under (3) Not to exceed 100 positions in the scientists initially employed under the this authority after September 30, 2016. Office of the Under Secretary for program including those who have (c) Council on Environmental Terrorism and Financial Intelligence. acquired United States citizenship Quality— (4) Up to 35 temporary or time-limited during such employment. (1) Professional and technical positions at the GS–9 through 15 grade (6) Positions in overseas installations positions in grades GS–9 through 15 on levels to support the organization, of the DOD when filled by dependents the staff of the Council. design, and stand-up activities for the of military or civilian employees of the (d)–(f) (Reserved) Consumer Financial Protection Bureau U.S. Government residing in the area. (g) National Security Council— (CFPB), as mandated by P.L. 111–203. Employment under this authority may (1) All positions on the staff of the This authority may be used for the not extend longer than 2 months Council. following series: GS–201, GS–501, GS– following the transfer from the area or (h) Office of Science and Technology 560, GS–1035, GS–1102, GS–1150, GS– separation of a dependent’s sponsor: Policy— 1720, GS–1801, and GS–2210. No new Provided that (1) Thirty positions of Senior Policy appointments may be made under this (i) A school employee may be Analyst, GS–15; Policy Analyst, GS–11/ authority after July 21, 2011, the permitted to complete the school year; 14; and Policy Research Assistant, GS– designated transfer date of the CFPB. and 9, for employment of anyone not to (b)–(d) (Reserved) (ii) An employee other than a school exceed 5 years on projects of a high (e) Internal Revenue Service— employee may be permitted to serve up priority nature. (1) Twenty positions of investigator to 1 additional year when the military (i) Office of National Drug Control for special assignments. department concerned finds that the Policy— (f) (Reserved) additional employment is in the interest (1) Not to exceed 18 positions, GS–15 (g) (Reserved, moved to DOJ) of management. and below, of senior policy analysts and (h) Office of Financial Stability— (7) Twenty secretarial and staff other personnel with expertise in drug- (1) Positions needed to perform support positions at GS–12 or below on related issues and/or technical investment, risk, financial, compliance, the White House Support Group. knowledge to aid in anti-drug abuse and asset management requiring unique (8) Positions in DOD research and efforts. qualifications currently not established development activities occupied by by OPM. Positions will be in the Office participants in the DOD Science and 04. Department of State (Sch. A, Engineering Apprenticeship Program for 213.3104) of Financial Stability and the General Schedule (GS) grade levels 12–15 or High School Students. Persons (a) Office of the Secretary— Senior Level (SL), for initial employed under this authority shall be (1) All positions, GS–15 and below, employment not to exceed 4 years. No bona fide high school students, at least on the staff of the Family Liaison Office, new appointments may be made under 14 years old, pursuing courses related to Director General of the Foreign Service this authority after December 31, 2012. the position occupied and limited to and the Director of Personnel, Office of 1,040 working hours a year. Children of the Under Secretary for Management. 06. Department of Defense (Sch. A, DOD employees may be appointed to (2) (Reserved) 213.3106) these positions, notwithstanding the (b)–(f) (Reserved) (a) Office of the Secretary— sons and daughters restriction, if the (g) Bureau of Population, Refugees, (1)–(5) (Reserved) positions are in field activities at remote and Migration— (6) One Executive Secretary, US– locations. Appointments under this (1) Not to exceed 10 positions at USSR Standing Consultative authority may be made only to positions grades GS–5 through 11 on the staff of Commission and Staff Analyst (SALT), for which qualification standards the Bureau. Office of the Assistant Secretary of established under 5 CFR part 302 are (h) Bureau of Administration— Defense (International Security Affairs). consistent with the education and

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experience standards established for resources when, in the opinion of OPM, (j) Asia-Pacific Center for Security comparable positions in the competitive it is impracticable to examine. This Studies, Honolulu, Hawaii— service. Appointments under this authority does not apply to positions (1) The Director, Deputy Director, authority may not be used to extend the assigned to cryptologic and Dean of Academics, Director of College, service limits contained in any other communications intelligence activities/ deputy department chairs, and senior appointing authority. functions. positions of professor, associate (9) (Reserved) (2) Positions involved in intelligence- professor, and research fellow within (10) Temporary or time-limited related work of the cryptologic the Asia Pacific Center. Appointments positions in direct support of U.S. intelligence activities of the military may be made not to exceed 3 years and Government efforts to rebuild and create departments. This includes all positions may be extended for periods not to an independent, free and secure Iraq of intelligence research specialist, and exceed 3 years. and Afghanistan, when no other similar positions in the intelligence (k) Business Transformation appropriate appointing authority classification series; all scientific and Agency— applies. Positions will generally be technical positions involving the (1) Fifty temporary or time-limited located in Iraq or Afghanistan, but may applications of engineering, physical, or (not to exceed four years) positions, at be in other locations, including the technical sciences to intelligence work; grades GS–11 through GS–15. The United States, when directly supporting and professional as well as intelligence authority will be used to appoint operations in Iraq or in Afghanistan. No technician positions in which a majority persons in the following series: new appointments may be made under of the incumbent’s time is spent in Management and Program Analysis, this authority after September 30, 2014. advising, administering, supervising, or GS–343: Logistics Management, GS– (11) Not to exceed 3,000 positions that performing work in the collection, 346; Financial Management Programs, require unique cyber security skills and processing, analysis, production, GS–501; Accounting, GS–510; Computer knowledge to perform cyber risk and evaluation, interpretation, Engineering, GS–854; Business and strategic analysis, incident handling and dissemination, and estimation of Industry, GS–1101; Operations malware/vulnerability analysis, program intelligence information or in the Research, GS–1515; Computer Science, management, distributed control planning, programming, and GS–1550; General Supply, GS–2001; systems security, cyber incident management of intelligence resources. Supply Program Management, GS–2003; response, cyber exercise facilitation and (e) Uniformed Services University of Inventory Management, GS–2010; and management, cyber vulnerability the Health Sciences— Information Technology, GS–2210. detection and assessment, network and (1) Positions of President, Vice (l) Special Inspector General for systems engineering, enterprise Presidents, Assistant Vice Presidents, Afghanistan— architecture, investigation, investigative Deans, Deputy Deans, Associate Deans, (1) Positions needed to establish the analysis and cyber-related infrastructure Assistant Deans, Assistants to the Special Inspector General for inter-dependency analysis. This President, Assistants to the Vice Afghanistan Reconstruction. These authority may be used to make Presidents, Assistants to the Deans, positions provide for the independent permanent, time-limited and temporary Professors, Associate Professors, and objective conduct and supervision appointments in the following Assistant Professors, Instructors, of audits and investigations relating to occupational series: Security (GS–0080), Visiting Scientists, Research Associates, the programs and operations funded computer engineers (GS–0854), Senior Research Associates, and with amounts appropriated and electronic engineers (GS–0855), Postdoctoral Fellows. otherwise made available for the computer scientists (GS–1550), (2) Positions established to perform reconstruction of Afghanistan. These operations research (GS–1515), criminal work on projects funded from grants. positions are established at General investigators (GS–1811), (f) National Defense University— Schedule (GS) grade levels for initial telecommunications (GS–0391), and IT (1) Not to exceed 16 positions of employment not to exceed 3 years and specialists (GS–2210). Within the scope senior policy analyst, GS–15, at the may, with prior approval of OPM, be of this authority, the U.S. Cyber Strategic Concepts Development Center. extended for an additional period of 2 Command is also authorized to hire Initial appointments to these positions years. No new appointments may be miscellaneous administrative and may not exceed 6 years, but may be made under this authority after January program (GS–0301) series when those extended thereafter in 1-, 2-, or 3-year 31, 2011. increments, indefinitely. positions require unique cyber security 07. Department of the Army (Sch. A, (g) Defense Communications skills and knowledge. All positions will 213.3107) be at the General Schedule (GS) grade Agency— levels 09–15 or equivalent. No new (1) Not to exceed 10 positions at (a)–(c) (Reserved) appointments may be made under this grades GS–10/15 to staff and support the (d) U.S. Military Academy, West authority after December 31, 2015. Crisis Management Center at the White Point, New York— House. (1) Civilian professors, instructors, (c) (Reserved) (h) Defense Acquisition University— teachers (except teachers at the (d) General— (1) The Provost and professors. Children’s School), Cadet Social (1) Positions concerned with advising, (i) George C. Marshall European Activities Coordinator, Chapel Organist administering, supervising, or Center for Security Studies, Garmisch, and Choir-Master, Director of performing work in the collection, Germany— Intercollegiate Athletics, Associate processing, analysis, production, (1) The Director, Deputy Director, and Director of Intercollegiate Athletics, evaluation, interpretation, positions of professor, instructor, and Coaches, Facility Manager, Building dissemination, and estimation of lecturer at the George C. Marshall Manager, three Physical Therapists intelligence information, including European Center for Security Studies, (Athletic Trainers), Associate Director of scientific and technical positions in the Garmisch, Germany, for initial Admissions for Plans and Programs, intelligence function; and positions employment not to exceed 3 years, Deputy Director of Alumni Affairs; and involved in the planning, programming, which may be renewed in increments Librarian when filled by an officer of the and management of intelligence from 1 to 2 years thereafter. Regular Army retired from active

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service, and the Military Secretary to the (e)–(f) (Reserved) (h) Air University, Maxwell Air Force Superintendent when filled by a U.S. (g) Office of Naval Research— Base, Alabama— Military Academy graduate retired as a (1) Scientific and technical positions, (1) Positions of Professor, Instructor, regular commissioned officer for GS–13/15, in the Office of Naval or Lecturer. disability. Research International Field Office (i) Air Force Institute of Technology, (e)–(f) (Reserved) which covers satellite offices within the Wright-Patterson Air Force Base, (g) Defense Language Institute— Far East, Africa, Europe, Latin America, Ohio— (1) All positions (professors, and the South Pacific. Positions are to (1) Civilian deans and professors. instructors, lecturers) which require be filled by personnel having (j) Air Force Logistics Command— proficiency in a foreign language or specialized experience in scientific and/ (1) One Supervisory Logistics knowledge of foreign language teaching or technical disciplines of current Management Specialist, GM–346–14, in methods. interest to the Department of the Navy. Detachment 2, 2762 Logistics (h) Army War College, Carlisle Management Squadron (Special), Barracks, PA— 09. Department of the Air Force (Sch. A, 213.3109) Greenville, Texas. (1) Positions of professor, instructor, (k) Wright-Patterson AFB, Ohio— or lecturer associated with courses of (a) Office of the Secretary— (1) One position of Supervisory instruction of at least 10 months (1) One Special Assistant in the Office Logistics Management Specialist, GS– duration for employment not to exceed of the Secretary of the Air Force. This 346–15, in the 2762nd Logistics 5 years, which may be renewed in 1-, position has advisory rather than Squadron (Special), at Wright-Patterson 2-, 3-, 4-, or 5-year increments operating duties except as operating or Air Force Base, Ohio. indefinitely thereafter. administrative responsibilities may be (l) Air National Guard Readiness (i) (Reserved) exercised in connection with the pilot Center— (j) U.S. Military Academy studies. (1) One position of Commander, Air Preparatory School, Fort Monmouth, (b) General— National Guard Readiness Center, (1) Professional, technical, managerial New Jersey— Andrews Air Force Base, Maryland. (1) Positions of Academic Director, and administrative positions supporting Department Head, and Instructor. space activities, when approved by the 10. Department of Justice (Sch. A, (k) U.S. Army Command and General Secretary of the Air Force. 213.3110) (2) Two hundred positions, serviced Staff College, Fort Leavenworth, (a) General— Kansas— by Hill Air Force Base, Utah, engaged in (1) Deputy U.S. Marshals employed interdepartmental activities in support (1) Positions of professor, associate on an hourly basis for intermittent of national defense projects involving professor, assistant professor, and service. instructor associated with courses of scientific and technical evaluations. (2) Positions at GS–15 and below on (c) Norton and McClellan Air Force instruction of at least 10 months the staff of an office of a special counsel. Bases, California— duration, for employment not to exceed (3)–(5) (Reserved) up to 5 years, which may be renewed in (1) Not to exceed 20 professional positions, GS–11 through GS–15, in (6) Positions of Program Manager and 1-, 2-, 3-, 4-, or 5-year increments Assistant Program Manager supporting indefinitely thereafter. Detachments 6 and 51, SM–ALC, Norton and McClellan Air Force Bases, the International Criminal Investigative 08. Department of the Navy (Sch. A, California, which will provide logistic Training Assistance Program in foreign 213.3108) support management to specialized countries. Initial appointments under (a) General— research and development projects. this authority may not exceed 2 years, (1)–(14) (Reserved) (d) U.S. Air Force Academy, but may be extended in 1-year (15) Marine positions assigned to a Colorado— increments for the duration of the in- coastal or seagoing vessel operated by a (1) (Reserved) country program. naval activity for research or training (2) Positions of Professor, Associate (7) Positions necessary throughout purposes. Professor, Assistant Professor, and DOJ, for the excepted service transfer of (16) All positions necessary for the Instructor, in the Dean of Faculty, NDIC employees hired under Schedule administration and maintenance of the Commandant of Cadets, Director of A, 213.3110(d). Authority expires official residence of the Vice President. Athletics, and Preparatory School of the September 30, 2012. (b) Naval Academy, Naval United States Air Force Academy. (b) (Reserved) Postgraduate School, and Naval War (e) (Reserved) (c) Drug Enforcement College— (f) Air Force Office of Special Administration— (1) Professors, Instructors, and Investigations— (1) (Reserved) Teachers; the Director of Academic (1) Positions of Criminal (2) Four hundred positions of Planning, Naval Postgraduate School; Investigators/Intelligence Research Intelligence Research Agent and/or and the Librarian, Organist-Choirmaster, Specialists, GS–5 through GS–15, in the Intelligence Operation Specialist in the Registrar, the Dean of Admissions, and Air Force Office of Special GS–132 series, grades GS–9 through Social Counselors at the Naval Investigations. GS–15. Academy. (g) Wright-Patterson Air Force Base, (3) Not to exceed 200 positions of (c) Chief of Naval Operations— Ohio— Criminal Investigator (Special Agent). (1) One position at grade GS–12 or (1) Not to exceed eight positions, GS– New appointments may be made under above that will provide technical, 12 through 15, in Headquarters Air this authority only at grades GS–7/11. managerial, or administrative support Force Logistics Command, DCS Material (d) (Reserved, moved to Justice) on highly classified functions to the Management, Office of Special (e) Bureau of Alcohol, Tobacco, and Deputy Chief of Naval Operations Activities, Wright-Patterson Air Force Firearms— (Plans, Policy, and Operations). Base, Ohio, which will provide logistic (1) One hundred positions of Criminal (d) Military Sealift Command support management staff guidance to Investigator for special assignments. (1) All positions on vessels operated classified research and development (2) One non-permanent Senior Level by the Military Sealift Command. projects. (SL) Criminal Investigator to serve as a

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senior advisor to the Assistant Director Employment under this authority may prevent damages or theft of Government (Firearms, Explosives, and Arson). not exceed 36 months on any single property. Such appointments shall not emergency. Persons may not be extend beyond 130 working days a year 11. Department of Homeland employed under this authority for long- without the prior approval of OPM. Security (Sch. A, 213.3111) term duties or for work not directly (4) Temporary, intermittent, or (a) (Revoked 11/19/2009) necessitated by the emergency response seasonal field assistants at GS–7, or its (b) Law Enforcement Policy— effort. (Formerly 213.3195(a)) equivalent, and below in such areas as (1) Ten positions for oversight policy (2) Not to exceed 30 positions at forestry, range management, soils, and direction of sensitive law grades GS–15 and below in the Offices engineering, fishery and wildlife enforcement activities. of Executive Administration, General management, and with surveying (c) Homeland Security Labor Counsel, Inspector General, parties. Employment under this Relations Board/Homeland Security Comptroller, Public Affairs, Personnel, authority may not exceed 180 working Mandatory Removal Board— Acquisition Management, and the State days a year. (1) Up to 15 Senior Level and General and Local Program and Support (5) Temporary positions established Schedule (or equivalent) positions. Directorate which are engaged in work in the field service of the Department for (d) General— directly related to unique response emergency forest and range fire (1) Not to exceed 1,000 positions to efforts to environmental emergencies prevention or suppression and blister perform cyber risk and strategic not covered by the Disaster Relief Act of rust control for not to exceed 180 analysis, incident handling and 1974, Public Law 93–288, as amended. working days a year: Provided, that an malware/vulnerability analysis, program Employment under this authority may employee may work as many as 220 management, distributed control not exceed 36 months on any single working days a year when employment systems security, cyber incident emergency, or for long-term duties or beyond 180 days is required to cope response, cyber exercise facilitation and work not directly necessitated by the with extended fire seasons or sudden management, cyber vulnerability emergency response effort. No one may emergencies such as fire, flood, storm, detection and assessment, network and be reappointed under this authority for or other unforeseen situations involving systems engineering, enterprise service in connection with a different potential loss of life or property. architecture, intelligence analysis, emergency unless at least 6 months have (6) Persons employed in field investigation, investigative analysis and elapsed since the individual’s latest positions, the work of which is financed cyber-related infrastructure appointment under this authority. jointly by the Department of the Interior interdependency analysis requiring (Formerly 213.3195(b)) and cooperating persons or unique qualifications currently not (3) Not to exceed 350 professional and organizations outside the Federal established by OPM. Positions will be at technical positions at grades GS–5 service. the General Schedule (GS) grade levels through GS–15, or equivalent, in Mobile (7) All positions in the Bureau of 09–15. No new appointments may be Emergency Response Support Indian Affairs and other positions in the made under this authority after Detachments (MERS). (Formerly Department of the Interior directly and December 31, 2015. 213.3195(c)) primarily related to providing services (e) Papago Indian Agency—Not to (i) U.S. Coast Guard— exceed 25 positions of Immigration and to Indians when filled by the (1) Reserved. (Formerly 213.3194(a)) appointment of Indians. The Secretary Customs Enforcement (ICE) Tactical (2) Lamplighters. (Formerly of the Interior is responsible for defining Officers (Shadow Wolves) in the Papago 213.3194(b)) the term ‘‘Indian.’’ Indian Agency in the State of Arizona (3) Professors, Associate Professors, when filled by the appointment of Assistant Professors, Instructors, one (8) Temporary, intermittent, or persons of one-fourth or more Indian Principal Librarian, one Cadet Hostess, seasonal positions at GS–7 or below in blood. (Formerly 213.3105(b)(9)) and one Psychologist (Counseling) at the Alaska, as follows: Positions in (f) U.S. Citizenship and Immigration Coast Guard Academy, New London, nonprofessional mining activities, such Services Connecticut. (Formerly 213.3194(c)) as those of drillers, miners, caterpillar (1) Reserved. (Formerly operators, and samplers. Employment 213.3110(b)(1)) 12. Department of the Interior (Sch. under this authority shall not exceed (2) Not to exceed 500 positions of A, 213.3112) 180 working days a year and shall be interpreters and language specialists, (a) General— appropriate only when the activity is GS–1040–5/9. (Formerly 213.3110(b)(2)) (1) Technical, maintenance, and carried on in a remote or isolated area (3) Reserved. (Formerly clerical positions at or below grades GS– and there is a shortage of available 213.3110(b)(3)) 7, WG–10, or equivalent, in the field candidates for the positions. (g) U.S. Immigration and Customs service of the Department of the Interior, (9) Temporary, part-time, or Enforcement— when filled by the appointment of intermittent employment of mechanics, (1) Not to exceed 200 staff positions, persons who are certified as maintaining skilled laborers, equipment operators, GS–15 and below for an emergency staff a permanent and exclusive residence and tradesmen on construction, repair, to provide health related services to within, or contiguous to, a field activity or maintenance work not to exceed 180 foreign entrants. (Formerly or district, and as being dependent for working days a year in Alaska, when the 213.3116(b)(16)) livelihood primarily upon employment activity is carried on in a remote or (h) Federal Emergency Management available within the field activity of the isolated area and there is a shortage of Agency— Department. available candidates for the positions. (1) Field positions at grades GS–15 (2) All positions on Government- (10) Seasonal airplane pilots and and below, or equivalent, which are owned ships or vessels operated by the airplane mechanics in Alaska, not to engaged in work directly related to Department of the Interior. exceed 180 working days a year. unique response efforts to (3) Temporary or seasonal caretakers (11) Temporary staff positions in the environmental emergencies not covered at temporarily closed camps or Youth Conservation Corps Centers by the Disaster Relief Act of 1974, improved areas to maintain grounds, operated by the Department of the Public Law 93–288, as amended. buildings, or other structures and Interior. Employment under this

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authority shall not exceed 11 weeks a (1) Positions of Territorial reviewing national procedures and year except with prior approval of OPM. Management Interns, GS–5, when filled policies for adaptation at State and local (12) Positions in the Youth by persons selected by the Government levels within established parameters. Conservation Corps for which pay is of the Trust Territory of the Pacific Individual appointments under this fixed at the Federal minimum wage rate. Islands. No appointment may extend authority are for 1 year and may be Employment under this authority may beyond 1 year. extended only by the Secretary of not exceed 10 weeks. Agriculture or his designee. Members of 13. Department of Agriculture (Sch. (b) (Reserved) State Committees serve at the pleasure A, 213.3113) (c) Indian Arts and Crafts Board— of the Secretary. (1) The Executive Director (a) General— (e) Rural Development— (d) (Reserved) (1) Agents employed in field positions (1) (Reserved) (e) Office of the Assistant Secretary, the work of which is financed jointly by (2) County committeemen to consider, Territorial and International Affairs— the Department and cooperating recommend, and advise with respect to (1) (Reserved) persons, organizations, or governmental the Rural Development program. (2) Not to exceed four positions of agencies outside the Federal service. (3)–(5) (Reserved) Territorial Management Interns, grades Except for positions for which selection (6) Professional and clerical positions GS–5, GS–7, or GS–9, when filled by is jointly made by the Department and in the Trust Territory of the Pacific territorial residents who are U.S. the cooperating organization, this Islands when occupied by indigenous citizens from the Virgin Islands or authority is not applicable to positions residents of the Territory to provide Guam; U.S. nationals from American in the Agricultural Research Service or financial assistance pursuant to current Samoa; or in the case of the Northern the National Agricultural Statistics authorizing statutes. Marianas, will become U.S. citizens Service. This authority is not applicable (f) Agricultural Marketing Service— upon termination of the U.S. to the following positions in the (1) Positions of Agricultural trusteeship. Employment under this Agricultural Marketing Service: Commodity Graders, Agricultural authority may not exceed 6 months. Commodity Technicians, and (3) (Reserved) Agricultural commodity grader (grain) and (meat), (poultry), and (dairy), Agricultural Commodity Aids at grades (4) Special Assistants to the Governor GS–9 and below in the tobacco, dairy, of American Samoa who perform agricultural commodity aid (grain), and tobacco inspection positions. and poultry commodities; Meat specialized administrative, professional, Acceptance Specialists, GS–11 and technical, and scientific duties as (2)–(4) (Reserved) (5) Temporary, intermittent, or below; Clerks, Office Automation members of his or her immediate staff. Clerks, and Computer Clerks at GS–5 (f) National Park Service— seasonal employment in the field (1) (Reserved) service of the Department in positions at and below; Clerk-Typists at grades GS– (2) Positions established for the and below GS–7 and WG–10 in the 4 and below; and Laborers under the administration of Kalaupapa National following types of positions: Field Wage System. Employment under this Historic Park, Molokai, Hawaii, when assistants for sub professional services; authority is limited to either 1,280 hours filled by appointment of qualified agricultural helpers, helper-leaders, and or 180 days in a service year. patients and Native Hawaiians, as workers in the Agricultural Research (2) Positions of Agricultural provided by Public Law 95–565. Service and the Animal and Plant Commodity Graders, Agricultural (3) Seven full-time permanent and 31 Health Inspection Service; and subject Commodity Technicians, and temporary, part-time, or intermittent to prior OPM approval granted in the Agricultural Commodity Aids at grades positions in the Redwood National Park, calendar year in which the appointment GS–11 and below in the cotton, raisin, California, which are needed for is to be made, other clerical, trades, peanut, and processed and fresh fruit rehabilitation of the park, as provided crafts, and manual labor positions. Total and vegetable commodities and the by Public Law 95–250. employment under this subparagraph following positions in support of these (4) One Special Representative of the may not exceed 180 working days in a commodities: Clerks, Office Automation Director. service year: Provided, that an employee Clerks, and Computer Clerks and (5) All positions in the Grand Portage may work as many as 220 working days Operators at GS–5 and below; Clerk- National Monument, Minnesota, when in a service year when employment Typists at grades GS–4 and below; and, filled by the appointment of recognized beyond 180 days is required to cope under the Federal Wage System, High members of the Minnesota Chippewa with extended fire seasons or sudden Volume Instrumentation (HVI) Tribe. emergencies such as fire, flood, storm, Operators and HVI Operator Leaders at (g) Bureau of Reclamation— or other unforeseen situations involving WG/WL–2 and below, respectively, (1) Appraisers and examiners potential loss of life or property. This Instrument Mechanics/Workers/Helpers employed on a temporary, intermittent, paragraph does not cover trades, crafts, at WG–10 and below, and Laborers. or part-time basis on special valuation and manual labor positions covered by Employment under this authority may or prospective-entrymen-review projects paragraph (i) of Sec. 213.3102 or not exceed 180 days in a service year. where knowledge of local values on positions within the Forest Service. In unforeseen situations such as bad conditions or other specialized (6)–(7) (Reserved) weather or crop conditions, qualifications not possessed by regular (b)–(c) (Reserved) unanticipated plant demands, or Bureau employees are required for (d) Farm Service Agency— increased imports, employees may work successful results. Employment under (1) (Reserved) up to 240 days in a service year. Cotton this provision shall not exceed 130 (2) Members of State Committees: Agricultural Commodity Graders, GS–5, working days a year in any individual Provided, that employment under this may be employed as trainees for the first case: Provided, that such employment authority shall be limited to temporary appointment for an initial period of 6 may, with prior approval of OPM, be intermittent (WAE) positions whose months for training without regard to extended for not to exceed an additional principal duties involve administering the service year limitation. 50 working days in any single year. farm programs within the State (3) Milk Market Administrators (h) Office of the Deputy Assistant consistent with legislative and (4) All positions on the staffs of the Secretary for Territorial Affairs— Departmental requirements and Milk Market Administrators.

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(g)–(k) (Reserved) in industrial production, industrial (b) Public Health Service— (l) Food Safety and Inspection operations and related problems, market (1) (Reserved) Service— structure and trends, retail and (2) Positions at Government sanatoria (1)–(2) (Reserved) wholesale trade practices, distribution when filled by patients during treatment (3) Positions of Meat and Poultry channels and costs, or business or convalescence. Inspectors (Veterinarians at GS–11 and financing and credit procedures (3) (Reserved) below and non-Veterinarians at applicable to one or more of the current (4) Positions concerned with appropriate grades below GS–11) for segments of U.S. industry served by the problems in preventive medicine employment on a temporary, Under Secretary for International Trade, financed or participated in by the intermittent, or seasonal basis, not to and the subordinate components of his Department of Health and Human exceed 1,280 hours a year. organization which are involved in Services and a cooperating State, (m) Grain Inspection, Packers and Domestic Business matters. county, municipality, incorporated Stockyards Administration— Appointments under this authority may organization, or an individual in which (1) One hundred and fifty positions of be made for a period not to exceed 2 at least one-half of the expense is Agricultural Commodity Aid (Grain), years and may, with prior OPM contributed by the participating agency GS–2/4; 100 positions of Agricultural approval, be extended for an additional either in salaries, quarters, materials, Commodity Technician (Grain), GS–4/7; 2 years. equipment, or other necessary elements and 60 positions of Agricultural (j) National Oceanic and Atmospheric in the carrying on of the work. Commodity Grader (Grain), GS–5/9, for Administration— (5)–(6) (Reserved) temporary employment on a part-time, (1)–(2) (Reserved) (7) Not to exceed 50 positions (3) All civilian positions on vessels intermittent, or seasonal basis not to associated with health screening operated by the National Ocean Service. exceed 1,280 hours in a service year. programs for refugees. (n) Alternative Agricultural Research (4) Temporary positions required in connection with the surveying (8) All positions in the Public Health and Commercialization Corporation— Service and other positions in the (1) Executive Director operations of the field service of the National Ocean Service. Appointment to Department of Health and Human 14. Department of Commerce (Sch. such positions shall not exceed 8 Services directly and primarily related A, 213.3114) months in any 1 calendar year. to providing services to Indians when filled by the appointment of Indians. (a) General— (k) (Reserved) The Secretary of Health and Human (1)–(2) (Reserved) (l) National Telecommunication and (3) Not to exceed 50 scientific and Information Administration— Services is responsible for defining the technical positions whose duties are (1) Thirty-eight professional positions term ‘‘Indian.’’ performed primarily in the Antarctic. in grades GS–13 through GS–15. (9) (Reserved) (10) Health care positions of the Incumbents of these positions may be Department of Labor (Sch. A, 15. National Health Service Corps for stationed in the continental United 213.3115) States for periods of orientation, employment of any one individual not (a) Office of the Secretary— to exceed 4 years of service in health training, analysis of data, and report (1) Chairman and five members, writing. manpower shortage areas. Employees’ Compensation Appeals (11)–(15) (Reserved) (b)–(c) (Reserved) Board. (d) Bureau of the Census— (c)–(e) (Reserved) (2) Chairman and eight members, (f) The President’s Council on (1) Managers, supervisors, Benefits Review Board. technicians, clerks, interviewers, and Physical Fitness— (b)–(c) (Reserved) (1) Four staff assistants. enumerators in the field service, for (d) Employment and Training time-limited employment to conduct a Administration— 17. Department of Education (Sch. census. (1) Not to exceed 10 positions of A, 213.3117) (2) Current Program Interviewers Supervisory Manpower Development (a) Positions concerned with employed in the field service. Specialist and Manpower Development problems in education financed and (e)–(h) (Reserved) Specialist, GS–7/15, in the Division of participated in by the Department of (i) Office of the Under Secretary for Indian and Native American Programs, Education and a cooperating State International Trade— when filled by the appointment of educational agency, or university or (1) Fifteen positions at GS–12 and persons of one-fourth or more Indian college, in which there is joint above in specialized fields relating to blood. These positions require direct responsibility for selection and international trade or commerce in units contact with Indian tribes and supervision of employees, and at least under the jurisdiction of the Under communities for the development and one-half of the expense is contributed Secretary for International Trade. administration of comprehensive by the cooperating agency in salaries, Incumbents will be assigned to advisory employment and training programs. rather than to operating duties, except quarters, materials, equipment, or other as operating and administrative 16. Department of Health and necessary elements in the carrying on of responsibility may be required for the Human Services (Sch. A, 213.3116) the work. conduct of pilot studies or special (a) General— 18. Environmental Protection Agency projects. Employment under this (1) Intermittent positions, at GS–15 (sch. A, 213.3118) authority will not exceed 2 years for an and below and WG–10 and below, on individual appointee. teams under the National Disaster 24. Board of Governors, Federal (2) (Reserved) Medical System including Disaster Reserve System (Sch. A, 213.3124) (3) Not to exceed 15 positions in Medical Assistance Teams and specialty (a) All positions grades GS–12 through GS–15, to be teams, to respond to disasters, Department of Veterans Affairs filled by persons qualified as industrial emergencies, and incidents/events 27. (Sch. A, 213.3127) or marketing specialists; who possess involving medical, mortuary and public specialized knowledge and experience health needs. (a) Construction Division—

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(1) Temporary construction workers (b) When the President under 42 48. National Aeronautics and Space paid from ‘‘purchase and hire’’ funds U.S.C. 1855–1855g, the Secretary of Administration (Sch. A, 213.3148) and appointed for not to exceed the Agriculture under 7 U.S.C. 1961, or the (a) One hundred and fifty alien duration of a construction project. Small Business Administration under scientists having special qualifications (b) Alcoholism Treatment Units and 15 U.S.C. 636(b)(1) declares an area to in the fields of aeronautical and space Drug Dependence Treatment Centers— be a disaster area, positions filled by research where such employment is time-limited appointment of employees deemed by the Administrator of the (1) Not to exceed 400 positions of to make and administer disaster loans in National Aeronautics and Space rehabilitation counselors, GS–3 through that area under the Small Business Act, Administration to be necessary in the GS–11, in Alcoholism Treatment Units as amended. No one may serve under public interest. and Drug Dependence Treatment this authority for more than an aggregate Centers, when filled by former patients. of 2 years without a break in service of 55. Social Security Administration (c) Board of Veterans’ Appeals— at least 6 months. Persons who have had (Sch. A, 213.3155) (1) Positions, GS–15, when filled by a more than 2 years of service under (a) Arizona District Offices— member of the Board. Except as paragraph (a) of this section must have provided by section 201(d) of Public a break in service of at least 8 months (1) Six positions of Social Insurance Law 100–687, appointments under this following such service before Representative in the district offices of authority shall be for a term of 9 years, appointment under this authority. No the Social Security Administration in and may be renewed. one may be appointed under this the State of Arizona when filled by the (2) Positions, GS–15, when filled by a authority to positions engaged in long- appointment of persons of one-fourth or non-member of the Board who is term maintenance of loan portfolios. more Indian blood. awaiting Presidential approval for (b) New Mexico— appointment as a Board member. 33. Federal Deposit Insurance (1) Seven positions of Social (d) Vietnam Era Veterans Corporation (Sch. A, 213.3133) Insurance Representative in the district Readjustment Counseling Service— (a)–(b) (Reserved) offices of the Social Security (1) Not to exceed 600 positions at (c) Temporary or time-limited Administration in the State of New grades GS–3 through GS–11, involved in positions that are directly related with Mexico when filled by the appointment the Department’s Vietnam Era Veterans resolving failing insured depository of persons of one-fourth or more Indian Readjustment Counseling Service. institutions; financial companies; or blood. (e) Not to Exceed 75 positions that brokers and dealers; covered by the (c) Alaska— require unique technical skills needed Dodd-Frank Wall Street Reform and (1) Two positions of Social Insurance for the re-designing and re-building of Consumer Protection Act, including but digital interfaces between citizens, Representative in the district offices of not limited to, the marketing and sale of the Social Security Administration in businesses, and government as a part of institutions and any associated assets; Smarter Information Technology the State of Alaska when filled by the paying insured depositors; and appointments of persons of one-fourth Delivery Initiative. This authority may managing receivership estates and all be used to make permanent, time- or more Alaskan Native blood (Eskimos, associated receivership management Indians, or Aleuts). limited and temporary appointments to activities, up to termination. Time non-supervisory Digital Services Expert limited appointments under this 62. The President’s Crime positions (GS–301) directly related to authority may not exceed 7 years. Prevention Council (Sch. A, the implementation of the Smarter 213.3162) Information Technology Delivery 36. U.S. Soldiers’ and Airmen’s Initiative at the GS–15 level. No new Home (Sch. A, 213.3136) (a) (Reserved) appointments may be made under this (a) (Reserved) 65. Chemical Safety and Hazard authority after September 30, 2017. (b) Positions when filled by member- Investigation Board (Sch. A, 213.3165) 32. Small Business Administration residents of the Home. (Sch. A, 213.3132) 37. General Services Administration (a) (Reserved) (a) When the President under 42 (Sch. A, 213.3137) (b) (Reserved) U.S.C. 1855–1855g, the Secretary of (a) Not to Exceed 95 positions that 66. Court Services and Offender Agriculture under 7 U.S.C. 1961, or the require unique technical skills needed Supervision Agency of the District of Small Business Administration under for the re-designing and re-building of Columbia (Sch. A, 213.3166) 15 U.S.C. 636(b)(1) declares an area to digital interfaces between citizens, be a disaster area, positions filled by businesses, and government as a part of (a) (Reserved, expired 3/31/2004) time-limited appointment of employees Smarter Information Technology 70. Millennium Challenge to make and administer disaster loans in Delivery Initiative. This authority may Corporation (MCC) (Sch. A, the area under the Small Business Act, be used nationwide to make permanent, 213.3170) as amended. Service under this time-limited and temporary authority may not exceed 4 years, and appointments to Digital Services Expert (a) (Reserved, expired 9/30/2007) no more than 2 years may be spent on positions (GS–301) directly related to (b) a single disaster. Exception to this time the implementation of the Smarter (1) Positions of Resident Country limit may only be made with prior Information Technology Delivery Directors and Deputy Resident Country Office of Personnel Management Initiative at the GS–11 to 15 level. No Directors. The length of appointments approval. Appointments under this new appointments may be made under will correspond to the length or term of authority may not be used to extend the this authority after September 30, 2017. the compact agreements made between 2-year service limit contained below. No the MCC and the country in which the one may be appointed under this 46. Selective Service System (Sch. A, MCC will work, plus one additional authority to positions engaged in long- 213.3146) year to cover pre- and post-compact term maintenance of loan portfolios. (a) State Directors agreement related activities.

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74. Smithsonian Institution (Sch. A, 90. African Development Director/Senior Financial Analyst GS– 213.3174) Foundation (Sch. A, 213.3190) 1160, Origination Financial Policy (a) (Reserved) (a) One Enterprise Development Fund Advisor GS–301, Credit Budgeting Team Lead GS–1160, Credit Budgeting (b) Smithsonian Tropical Research Manager. Appointment is limited to four Financial Analysts GS–1160, Portfolio Institute—All positions located in years unless extended by OPM. Monitoring Lead SL–1160, Portfolio Panama which are part of or which 91. Office of Personnel Management Monitoring Financial Analyst GS–1160, support the Smithsonian Tropical (Sch. A, 213.3191) Financial Analyst GS–1160. No new Research Institute. appointments may be made under this (c) National Museum of the American (a)–(c) (Reserved) authority after December 31, 2014. Indian—Positions at GS–15 and below (d) Part-time and intermittent requiring knowledge of, and experience positions of test examiners at grades 95. (Reserved) GS–8 and below. in, tribal customs and culture. Such Schedule B positions comprise approximately 10 94. Department of Transportation 03. Executive Office of the President percent of the Museum’s positions and, (Sch. A, 213.3194) generally, do not include secretarial, (Sch. B, 213.3203) (a)–(d) (Reserved) clerical, administrative, or program (a) (Reserved) (e) Maritime Administration— support positions. (b) Office of the Special (1)–(2) (Reserved) Representative for Trade 75. Woodrow Wilson International (3) All positions on Government- Negotiations— Center for Scholars (Sch. A, owned vessels or those bareboats 213.3175) (1) Seventeen positions of economist chartered to the Government and at grades GS–12 through GS–15. (a) One Asian Studies Program operated by or for the Maritime Administrator, one International Administration. 04. Department of State (Sch. B, Security Studies Program (4)–(5) (Reserved) 213.3204) Administrator, one Latin American (6) U.S. Merchant Marine Academy, (a) (1) One non-permanent senior Program Administrator, one Russian positions of: Professors, Instructors, and level position to serve as Science and Studies Program Administrator, two Teachers, including heads of Technology Advisor to the Secretary. Social Science Program Administrators, Departments of Physical Education and (b)–(c) (Reserved) one Middle East Studies Program Athletics, Humanities, Mathematics and (d) Seventeen positions on the Administrator, one African Studies Science, Maritime Law and Economics, household staff of the President’s Guest Program Administrator, one Global Nautical Science, and Engineering; House (Blair and Blair-Lee Houses). Sustainability and Resilience Program Coordinator of Shipboard Training; the (e) (Reserved) Administrator, one Canadian Studies Commandant of Midshipmen, the (f) Scientific, professional, and Program Administrator; one China Assistant Commandant of Midshipmen; technical positions at grades GS–12 to Studies Program Administrator, one Director of Music; three Battalion GS–15 when filled by persons having Science, Technology and Innovation Officers; three Regimental Affairs special qualifications in foreign policy Program Administrator, and one Officers; and one Training matters. Total employment under this Population, Environmental Change, and Administrator. authority may not exceed 4 years. Security Administrator. (7) U.S. Merchant Marine Academy positions of: Associate Dean; Registrar; 05. Department of the Treasury 78. Community Development Director of Admissions; Assistant (Sch. B, 213.3205) Financial Institutions Fund (Sch. A, Director of Admissions; Director, Office (a) Positions of Deputy Comptroller of 213.3178) of External Affairs; Placement Officer; the Currency, Chief National Bank (a) (Reserved, expired 9/23/1998) Administrative Librarian; Shipboard Examiner, Assistant Chief National Training Assistant; three Academy Bank Examiner, Regional Administrator 80. Utah Reclamation and Training Representatives; and one of National Banks, Deputy Regional Conservation Commission (Sch. A, Education Program Assistant. 213.3180) Administrator of National Banks, (f) Up to 40 positions at the GS–13 Assistant to the Comptroller of the (a) Executive Director. through 15 grade levels and within Currency, National Bank Examiner, authorized SL allocations necessary to National Foundation on the Arts Associate National Bank Examiner, and 82. support the following credit agency and the Humanities (Sch. A, Assistant National Bank Examiner, programs of the Department: The 213.3182) whose salaries are paid from Federal Highway Administration’s assessments against national banks and (a) National Endowment for the Transportation Infrastructure Finance other financial institutions. Arts— and Innovation Act Program, the (b)–(c) (Reserved) (1) Artistic and related positions at Federal Railroad Administration’s (d) (Reserved) Transferred to grades GS–13 through GS–15 engaged in Railroad Rehabilitation and 213.3211(b) the review, evaluation and Improvement Financing Program, the (e) (Reserved) Transferred to administration of applications and Federal Maritime Administration’s Title 213.3210(f) grants supporting the arts, related XI Program, and the Office of the research and assessment, policy and Secretary’s Office of Budget and 06. Department of Defense (Sch. B, program development, arts education, Programs Credit Staff. This authority 213.3206) access programs and advocacy, or may be used to make temporary, time- (a) Office of the Secretary— evaluation of critical arts projects and limited, or permanent appointments, as (1) (Reserved) outreach programs. Duties require the DOT deems appropriate, in the (2) Professional positions at GS–11 artistic stature, in-depth knowledge of following occupational series: Director through GS–15 involving systems, costs, arts disciplines and/or artistic-related or Deputy Director SL–301/340, and economic analysis functions in the leadership qualities. Origination Team Lead SL–301, Deputy Office of the Assistant Secretary

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(Program Analysis and Evaluation); and 08. Department of the Navy (Sch. B, authority may be converted to career or in the Office of the Deputy Assistant 213.3208) career-conditional appointments under Secretary (Systems Policy and (a) Naval Underwater Systems the provisions of Executive Order Information) in the Office of the Center, New London, Connecticut— 12230, subject to conditions agreed Assistant Secretary (Comptroller). (1) One position of Oceanographer, upon between the Department and (3)–(4) (Reserved) grade GS–14, to function as project OPM. (5) Four Net Assessment Analysts. director and manager for research in the (b) (Reserved) (c) Not to exceed 400 positions at (b) Interdepartmental activities— weapons systems applications of ocean grades GS–5 through 15 assigned to eddies. (1) Seven positions to provide general regional task forces established to (b) Armed Forces Staff College, administration, general art and conduct special investigations to combat Norfolk, Virginia—All civilian faculty information, photography, and/or visual drug trafficking and organized crime. positions of professors, instructors, and information support to the White House (d) (Reserved) Photographic Service. teachers on the staff of the Armed (e) United States Trustees—Positions, (2) Eight positions, GS–15 or below, Forces Staff College, Norfolk, Virginia. other than secretarial, GS–6 through in the White House Military Office, (c) Defense Personnel Security GS–15, requiring knowledge of the providing support for airlift operations, Research and Education Center—One bankruptcy process, on the staff of the special events, security, and/or Director and four Research offices of United States Trustees or the administrative services to the Office of Psychologists at the professor or GS–15 Executive Office for U.S. Trustees. the President. level. (f) Bureau of Alcohol, Tobacco, and (c) National Defense University— (d) Marine Corps Command and Staff Firearms College—All civilian professor (1) Sixty-one positions of Professor, (1) Positions, grades GS–5 through positions. GS–13/15, for employment of any one GS–12 (or equivalent), of Criminal (e) Executive Dining facilities at the individual on an initial appointment not Investigator. Service under this Pentagon—One position of Staff to exceed 3 years, which may be authority may not exceed 3 years and Assistant, GS–301, whose incumbent renewed in any increment from 1 to 6 120 days. will manage the Navy’s Executive years indefinitely thereafter. Dining facilities at the Pentagon. 11. Department of Homeland (d) General— (f) (Reserved) Security (Sch. B, 213.3211) (1) One position of Law Enforcement (a) Coast Guard. Liaison Officer (Drugs), GS–301–15, 09. Department of the Air Force (Sch. B, 213.3209) (1) (Reserved) U.S. European Command. (b) Secret Service—Positions (2) Acquisition positions at grades (a) Air Research Institute at the Air concerned with the protection of the life GS–5 through GS–11, whose University, Maxwell Air Force Base, and safety of the President and members incumbents have successfully Alabama—Not to exceed four of his immediate family, or other completed the required course of interdisciplinary positions for the Air persons for whom similar protective education as participants in the Research Institute at the Air University, services are prescribed by law, when Department of Defense scholarship Maxwell Air Force Base, Alabama, for filled in accordance with special program authorized under 10 U.S.C. employment to complete studies appointment procedures approved by 1744. proposed by candidates and acceptable OPM. Service under this authority may (e) Office of the Inspector General— to the Air Force. Initial appointments not exceed: are made not to exceed 3 years, with an (1) a total of 4 years; or (1) Positions of Criminal Investigator, option to renew or extend the (2) 120 days following completion of GS–1811–5/15. appointments in increments of 1-, 2-, or the service required for conversion (f) Department of Defense Polygraph 3- years indefinitely thereafter. under Executive Order 11203. Institute, Fort McClellan, Alabama— (b)–(c) (Reserved) (d) Air University—Positions of 13. Department of Agriculture (Sch. (1) One Director, GM–15. Instructor or professional academic staff B, 213.3213) (g) Defense Security Assistance at the Air University associated with (a) Foreign Agricultural Service— Agency— courses of instruction of varying (1) Positions of a project nature All faculty members with instructor durations, for employment not to exceed involved in international technical and research duties at the Defense 3 years, which may be renewed for an assistance activities. Service under this Institute of Security Assistance indefinite period thereafter. authority may not exceed 5 years on a Management, Wright Patterson Air (e) U.S. Air Force Academy, single project for any individual unless Force Base, Dayton, Ohio. Individual Colorado—One position of Director of delayed completion of a project justifies appointments under this authority will Development and Alumni Programs, an extension up to but not exceeding 2 be for an initial 3-year period, which GS–301–13. years. may be followed by an appointment of (b) General— indefinite duration. 10. Department of Justice (Sch. B, (1) Temporary positions of 213.3210) 07. Department of the Army (Sch. B, professional Research Scientists, GS–15 213.3207) (a) Drug Enforcement or below, in the Agricultural Research Administration— Service, Economic Research Service, (a) U.S. Army Command and General Criminal Investigator (Special Agent) and the Forest Service, when such Staff College— positions in the Drug Enforcement positions are established to support the (1) Seven positions of professors, Administration. New appointments may Research Associateship Program and are instructors, and education specialists. be made under this authority only at filled by persons having a doctoral Total employment of any individual grades GS–5 through 11. Service under degree in an appropriate field of study under this authority may not exceed 4 the authority may not exceed 4 years. for research activities of mutual interest years. Appointments made under this to appointees and the agency.

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Appointments are limited to proposals of work experience is a requirement for (a) Not to exceed 40 positions of approved by the appropriate completion of an organized study Astronaut Candidates at grades GS–11 Administrator. Appointments may be program. Employment under this through 15. Employment under this made for initial periods not to exceed 2 authority shall not exceed 1 year. authority may not exceed 3 years. years and may be extended for up to 2 (b) Fifty positions, GS–7 through GS– 55. Social Security Administration additional years. Extensions beyond 4 11, concerned with advising on (Sch. B, 213.3255) years, up to a maximum of 2 additional education policies, practices, and years, may be granted, but only in very procedures under unusual and (a) (Reserved) rare and unusual circumstances, as abnormal conditions. Persons employed 74. Smithsonian Institution (Sch. B, determined by the Human Resources under this provision must be bona fide 213.3274) Officer for the Research, Education, and elementary school and high school Economics Mission Area, or the Human teachers. Appointments under this (a) (Reserved) Resources Officer, Forest Service. authority may be made for a period of (b) Freer Gallery of Art— (2) Not to exceed 55 Executive not to exceed 1 year, and may, with the (1) Not to exceed four Oriental Art Director positions, GM–301–14/15, with prior approval of the Office of Personnel Restoration Specialists at grades GS–9 the State Rural Development Councils Management, be extended for an through GS–15. in support of the Presidential Rural additional period of 1 year. 76. Appalachian Regional Development Initiative. 27. Department of Veterans Affairs Commission (Sch. B, 213.3276) 14. Department of Commerce (Sch. (Sch. B, 213.3227) (a) Two Program Coordinators. B, 213.3214) (a) Not to exceed 800 principal (a) Bureau of the Census— 78. Armed Forces Retirement Home investigatory, scientific, professional, (Sch. B, 213.3278) (1) (Reserved) and technical positions at grades GS–11 (2) Not to exceed 50 Community and above in the medical research (a) Naval Home, Gulfport, Services Specialist positions at the program. Mississippi— equivalent of GS–5 through 12. (b) Not to exceed 25 Criminal (1) One Resource Management Officer (b)–(c) (Reserved) Investigator (Undercover) positions, GS– position and one Public Works Officer (d) National Telecommunications and 1811, in grades 5 through 12, position, GS/GM–15 and below. Information Administration— (1) Not to exceed 10 conducting undercover investigations in 82. National Foundation on the Arts Telecommunications Policy Analysts, the Veterans Health Administration and the Humanities (Sch. B, grades GS–11 through 15. Employment (VA) supervised by the VA, Office of 213.3282) Inspector General. Initial appointments under this authority may not exceed 2 (a) (Reserved) years. shall be greater than 1 year, but not to exceed 4 years and may be extended (b) National Endowment for the 15. Department of Labor (Sch. B, indefinitely in 1-year increments. Humanities— 213.3215) (1) Professional positions at grades 28. Broadcasting Board of GS–11 through GS–15 engaged in the (a) Administrative Review Board— Governors (Sch. B, 213.3228) Chair and a maximum of four additional review, evaluation, and administration Members. (a) International Broadcasting of grants supporting scholarship, (b) (Reserved) Bureau— education, and public programs in the (c) Bureau of International Labor (1) Not to exceed 200 positions at humanities, the duties of which require Affairs— grades GS–15 and below in the Office of in-depth knowledge of a discipline of (1) Positions in the Office of Foreign Cuba Broadcasting. Appointments may the humanities. Relations, which are paid by outside not be made under this authority to 91. Office of Personnel Management funding sources under contracts for administrative, clerical, and technical (Sch. B, 213.3291) specific international labor market support positions. technical assistance projects. (a) Not to exceed eight positions of 36. U.S. Soldiers’ and Airmen’s Associate Director at the Executive Appointments under this authority may Home (Sch. B, 213.3236) not be extended beyond the expiration Seminar Centers at grades GS–13 and date of the project. (a) (Reserved) GS–14. Appointments may be made for (b) Director, Health Care Services; any period up to 3 years and may be 17. Department of Education (Sch. Director, Member Services; Director, extended without prior approval for any B, 213.3217) Logistics; and Director, Plans and individual. Not more than half of the (a) Seventy-five positions, not to Programs. authorized faculty positions at any one exceed GS–13, of a professional or Executive Seminar Center may be filled 40. National Archives and Records analytical nature when filled by under this authority. Administration (Sch. B, 213.3240) persons, other than college faculty (b) Federal Executive Institute—No members or candidates working toward (a) Executive Director, National more than 57 positions of faculty college degrees, who are participating in Historical Publications and Records members at grades GS–13 through GS– mid-career development programs Commission. 15. Initial appointments under this authorized by Federal statute or 48. National Aeronautics and authority may be made for any period regulation, or sponsored by private Space Administration (Sch. B, up to 3 years and may be extended in nonprofit organizations, when a period 213.3248) 1, 2, or 3 year increments.

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SCHEDULE C

Authorization Agency name Organization name Position title No. Effective date

Department of Agriculture ...... Office of the Under Secretary for Confidential Assistant ...... DA140100 8/4/2014 Research, Education, and Eco- nomics. Foreign Agricultural Service ...... Minister Counselor of Agriculture ... DA140105 8/18/2014 Special Assistant ...... DA150133 5/1/2015 Policy Advisor ...... DA150144 5/14/2015 Office of the Assistant Secretary Confidential Assistant ...... DA140106 8/19/2014 for Congressional Relations. Legislative Analyst (3) ...... DA140107 8/19/2014 DA140120 9/8/2014 DA150141 5/14/2015 Legislative Director ...... DA150001 10/3/2014 Senior Legislative Analyst (2) ...... DA150035 1/15/2015 DA150131 5/1/2015 Office of Communications ...... Speech Writer ...... DA140110 8/22/2014 Scheduler (2) ...... DA140111 8/27/2014 DA150159 6/30/2015 Deputy Director of Scheduling ...... DA140122 9/23/2014 Deputy Director (2) ...... DA150041 1/20/2015 DA150157 6/25/2015 Press Secretary ...... DA150158 6/25/2015 Scheduler ...... DA150159 6/30/2015 Deputy Press Secretary ...... DA150148 6/9/2015 Senior Advisor for Strategic Com- DA150151 6/9/2015 munications. Farm Service Agency ...... State Executive Director—Utah ..... DA140116 9/8/2014 State Executive Director, Idaho ..... DA150007 10/23/2014 State Executive Director—Arizona DA150008 10/23/2014 State Executive Director—Cali- DA150114 3/20/2015 fornia. Office of the Secretary ...... Deputy White House Liaison (2) .... DA140123 9/18/2014 DA150147 6/9/2015 Confidential Assistant ...... DA150003 10/16/2014 Special Advisor ...... DA150118 4/2/2015 White House Liaison ...... DA150134 5/1/2015 Office of the Deputy Secretary ...... Confidential Assistant ...... DA150021 11/18/2014 Office of Civil Rights ...... Special Assistant ...... DA150022 12/1/2014 Office of the Under Secretary for Confidential Assistant ...... DA150023 12/12/2014 Marketing and Regulatory Pro- grams. Rural Business Service ...... Deputy Administrator, Rural Busi- DA150025 12/12/2014 ness Cooperative Service. Chief of Staff ...... DA150059 3/4/2015 Office of the Chief Financial Officer Chief of Staff ...... DA150031 12/19/2014 Office of Under Secretary for Nat- Policy Advisor ...... DA150101 3/4/2015 ural Resources and Environment. Chief of Staff ...... DA150145 5/14/2015 Senior Advisor (2) ...... DA150146 5/14/2015 DA150152 6/11/2015 Office of the Assistant Secretary Senior Advisor ...... DA150102 3/4/2015 for Civil Rights. Office of the Under Secretary for Senior Advisor (2) ...... DA150119 4/2/2015 Rural Development. DA150120 4/2/2015 Special Advisor ...... DA140124 10/1/2014 Special Assistant ...... DA150150 6/9/2015 Natural Resources Conservation Special Assistant for Public and DA150142 5/15/2015 Service. Private Partnerships. Rural Housing Service ...... State Director—Massachusetts ...... DA150156 6/25/2015 Appalachian Regional Commission Appalachian Regional Commission Policy Advisor ...... AP140001 7/23/2014 Department of Commerce...... Office of the Assistant Secretary Confidential Assistant ...... DC140128 7/1/2014 for Economic Development. Director of Public Affairs ...... DC140162 9/8/2014 Office of White House Liaison ...... Deputy Director, Office of White DC140129 7/1/2014 House Liaison (2). DC150098 5/21/2015 Special Assistant ...... DC150034 12/31/2014 Office of the Secretary ...... Special Assistant (2) ...... DC140135 7/16/2014 DC150054 2/2/2015 Executive Assistant ...... DC150056 2/2/2015

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Director of Scheduling and Ad- DC150033 12/19/2014 vance. Office of the Under Secretary ...... Special Advisor (2) ...... DC140137 7/16/2014 DC150095 5/14/2015 Senior Advisor for Oceans and At- DC140151 8/18/2014 mosphere. Senior Advisor ...... DC140159 8/28/2014 Chief Speechwriter ...... DC140170 9/23/2014 Special Assistant ...... DC150107 5/15/2015 Senior Advisor for Trade and Stra- DC150012 11/6/2014 tegic Initiatives. Office of Policy and Strategic Plan- Confidential Assistant ...... DC140138 7/17/2014 ning. Policy Advisor ...... DC150065 2/23/2015 Senior Advisor for Manufacturing DC140166 10/7/2014 Policy. Office of the Assistant Secretary Senior Advisor ...... DC140131 7/24/2014 for Communications and Infor- mation. Office of the Chief of Staff ...... Scheduling Assistant ...... DC140142 7/24/2014 Confidential Assistant (2) ...... DC140152 8/15/2014 DC150105 5/21/2015 Deputy Director of Advance and DC150106 5/21/2015 Special Assistant. Director of Advance and Protocol .. DC150043 1/15/2015 Director of Advance and Protocol DC150115 6/23/2015 and Senior Advisor for Strategic Initiatives. Special Assistant (2) ...... DC140158 8/25/2014 DC150069 3/2/2015 Office of the Business Liaison ...... Deputy Director, Office of Business DC140143 7/24/2014 Liaison. Special Advisor ...... DC150027 12/9/2014 Office of the Executive Secretariat Special Assistant ...... DC140126 7/29/2014 International Trade Administration Senior Advisor (3) ...... DC140147 8/4/2014 DC140155 8/26/2014 DC150061 2/25/2015 Director, Office of Strategic Part- DC150088 4/16/2015 nerships, Industry and Analysis. Office of Public Affairs ...... Press Assistant (2) ...... DC140153 8/18/2014 DC150082 3/31/2015 Deputy Speechwriter ...... DC140165 9/19/2014 Director of Digital Strategy ...... DC150008 10/23/2014 Senior Press Coordinator ...... DC150085 3/25/2015 Office of Legislative and Intergov- Director of Legislative Outreach (2) DC140154 8/18/2014 ernmental Affairs. DC150091 4/22/2015 Associate Director of Legislative DC150064 2/27/2015 Affairs and Senior Advisor for Native American Affairs. Economic Development Adminis- Special Advisor ...... DC140150 8/20/2014 tration. Office of the General Counsel ...... Deputy General Counsel for Stra- DC140156 9/8/2014 tegic Initiatives. Special Assistant ...... DC150035 1/7/2015 Counselor ...... DC150071 2/25/2015 Office of Assistant Secretary for Associate Director of Legislative DC140164 9/16/2014 Legislative and Intergovern- and Intergovernmental Affairs. mental Affairs. Deputy Assistant Secretary for Do- Special Advisor ...... DC140175 9/29/2014 mestic Operations. Office of Deputy Assistant Sec- Associate Director for Oversight .... DC150003 10/9/2014 retary for Legislative and Inter- governmental Affairs. Office of the Director General of Special Assistant ...... DC150011 10/27/2014 the U.S. and Foreign Commer- cial Service and Assistant Sec- retary for Global Markets. Special Advisor ...... DC150102 5/13/2015

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Assistant Secretary and Director Senior Director ...... DC150016 11/10/2014 General for United States and Foreign Commercial Service. Office of the Deputy Secretary ...... Deputy Chief Data Officer ...... DC150020 11/10/2014 Special Assistant (2) ...... DC150026 12/9/2014 DC150104 5/14/2015 Office of the Assistant Secretary Deputy Director, Office of Advisory DC150024 12/5/2014 for Industry and Analysis. Committees, Industry and Anal- ysis (2). DC150112 6/4/2015 Director of the Advisory Committee DC150058 1/29/2015 In Industry and Analysis. Senior Advisor ...... DC150111 6/1/2015 Special Advisor ...... DC150057 2/5/2015 Office of Scheduling and Advance Director of Scheduling ...... DC150031 12/12/2014 Advance Specialist ...... DC150110 5/21/2015 Bureau of the Census ...... Chief of Congressional Affairs ...... DC150059 2/4/2015 Bureau of Industry and Security .... Special Advisor ...... DC150060 2/4/2015 National Oceanic and Atmospheric Special Assistant ...... DC150086 4/8/2015 Administration. Office of the Chief Financial Officer Chief of Staff for Administration ..... DC150097 4/28/2015 and Assistant Secretary for Ad- ministration. Office of the Deputy Secretary ...... Special Assistant ...... DC150104 5/14/2015 Commission on Civil Rights ...... Office of Commissioners ...... Special Assistant (4) ...... CC140003 9/22/2014 CC140005 9/22/2014 CC140006 9/25/2014 CC150001 11/13/2014 Commodity Futures Trading Com- Office of the Chairperson ...... Executive Assistant ...... CT140010 8/20/2014 mission. Policy Advisor ...... CT150001 6/23/2015 Consumer Product Safety Commis- Office of Commissioners ...... Special Assistant (Legal) (5) ...... PS140007 7/25/2014 sion. PS140012 8/20/2014 PS140015 10/1/2014 PS150002 1/22/2015 PS150001 2/9/2015 Special Assistant (3) ...... PS140009 7/31/2014 PS140011 8/15/2014 PS140016 9/30/2014 Chief of Staff ...... PS140013 9/15/2014 Executive Assistant ...... PS150003 2/23/2015 Staff Assistant ...... PS150005 6/25/2015 Department of Defense ...... Office of the Secretary of Defense Special Assistant (2) ...... DD140113 7/7/2014 DD140133 8/15/2014 Confidential Assistant (2) ...... DD140142 9/10/2014 DD150135 6/2/2015 Special Assistant for Protocol ...... DD140143 9/16/2014 Speechwriter ...... DD140139 9/19/2014 Advance Officer (3) ...... DD150020 11/21/2014 DD150021 11/21/2014 DD150028 11/21/2014 Deputy White House Liaison ...... DD150118 4/13/2015 Washington Headquarters Services Defense Fellow (10) ...... DD140114 7/7/2014 DD140115 7/7/2014 DD140119 7/23/2014 DD140128 8/12/2014 DD150019 11/17/2014 DD150035 1/7/2015 DD150062 2/4/2015 DD150138 6/16/2015 DD150139 6/17/2015 DD150143 6/29/2015 Office of the Under Secretary of Special Assistant of the Under DD140120 7/10/2014 Defense (Policy). Secretary of Defense for Policy. Special Assistant for Middle East .. DD150002 10/21/2014 Office of the Assistant Secretary of Special Assistant (2) ...... DD140117 7/11/2014 Defense (Legislative Affairs). DD150034 12/16/2014

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Office of the Assistant Secretary of Principal Director Afghanistan, DD140122 7/15/2014 Defense (Asian and Pacific Se- Pakistan and Central Asia. curity Affairs). Special Assistant for East Asia ...... DD140134 9/19/2014 Special Assistant for Asian and Pa- DD150120 4/30/2015 cific Security Affairs. Assistant To the Secretary of De- Senior Advisor (Nuclear, Chemical DD140121 7/22/2014 fense for Nuclear and Chemical and Biological Defense Pro- and Biological Defense Pro- grams). grams. Office of Principal Deputy Under Special Assistant ...... DD140101 7/24/2014 Secretary for Policy. Special Assistant to the Deputy As- DD140125 7/25/2014 sistant Secretary, Plans. Special Assistant for Strategy, DD150134 5/14/2015 Plans and Forces. Office of the Assistant Secretary of Special Assistant for Homeland DD140146 9/29/2014 Defense (Homeland Defense Defense and America’s Security and America’s Security Affairs). Affairs. Office of the Assistant Secretary of Special Assistant (2) ...... DD140147 10/3/2014 Defense (Legislative Affairs). DD150141 6/25/2015 Special Assistant (Legislative Af- DD150045 1/23/2015 fairs) (Chief Policy). Special Assistant (Legislative Af- DD150046 1/30/2015 fairs) (Chief, Research). Office of the Assistant Secretary of Special Assistant for Strategy, DD150013 11/13/2014 Defense (Global Strategic Af- Plans and Forces. fairs). Office of Assistant Secretary of De- Speechwriter (3) ...... DD150018 11/13/2014 fense (Public Affairs). DD150030 12/8/2014 DD150137 6/16/2015 Research Assistant ...... DD150012 12/5/2014 Director Digital Media ...... DD150069 2/24/2015 Special Assistant for Community DD150116 4/8/2015 and Public Outreach. Office of the Assistant Secretary of Special Assistant for International DD150121 4/30/2015 Defense (International Security Security Affairs (2). Affairs). DD150037 12/10/2014 Special Assistant, Russia, Ukraine, DD150036 12/19/2014 and Eurasia. Special Assistant for Middle East DD150107 3/25/2015 Policy. Special Assistant for Middle East DD150126 5/20/2015 (2). DD150128 5/20/2015 Special Assistant ...... DD150148 6/26/2015 Office of the General Counsel ...... Special Counsel (2) ...... DD150032 12/11/2014 DD150044 1/8/2015 Office of the Director (Cost Assess- Special Assistant, Cost Assess- DD150015 1/30/2015 ment and Program Evaluation). ment and Program Evaluation. Office of the Assistant Secretary of Chief of Staff for Stability and Hu- DD150067 2/18/2015 Defense (Special Operations/ manitarian Affairs. Low Intensity Conflict and Inter- dependent Capabilities). Senior Advisor for Atrocity Preven- DD150071 3/12/2015 tion and Response. Office of Under Secretary of De- Chief of Staff and Assistant for DD150111 3/31/2015 fense (Intelligence). Sensitive Activities. Office of the Under Secretary of Personal and Confidential Assist- DD150123 5/11/2015 Defense (Comptroller). ant (Comptroller). Department of the Air Force ...... Office of the Under Secretary ...... Special Assistant (3) ...... DF140031 9/8/2014 DF150011 12/5/2014 DF150024 2/24/2015 Office of Assistant Secretary Air Special Assistant for Installations, DF150049 5/14/2015 Force, Installations, Environ- Environment, and Energy. ment, and Logistics. Department of the Army ...... Office Assistant Secretary Army Special Assistant (Manpower and DW150003 11/25/2014 (Manpower and Reserve Affairs). Reserve Affairs).

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Office of Energy Initiatives ...... Executive Director of the Office of DW150002 1/13/2015 Energy Initiatives (OEI). Office of the Under Secretary ...... Special Assistant ...... DW150012 1/28/2015 Department of the Navy ...... Office of the Assistant Secretary of Special Assistant ...... DN140032 7/17/2014 Navy (Manpower and Reserve Affairs). Office of the Secretary ...... Deputy Chief of Staff (2) ...... DN150008 12/5/2014 DN150009 12/5/2014 Special Assistant ...... DN150004 12/12/2014 Department of Education ...... Office of English Language Acqui- Deputy Director for Office of DB140085 7/2/2014 sition, Language Enhancement, English Language and Acquisi- and Academic Achievement for tion. Limited English Proficient Stu- dents. Office of Career Technical and Special Assistant (3) ...... DB140089 7/2/2014 Adult Education. DB150042 2/3/2015 DB150044 2/6/2015 Confidential Assistant ...... DB150101 6/29/2015 Office of the Secretary ...... Special Assistant (7) ...... DB140090 7/2/2014 DB140099 8/7/2014 DB140103 8/21/2014 DB150019 11/24/2014 DB150043 2/6/2015 DB150066 4/17/2015 DB150089 6/1/2015 Special Advisor for Strategy and DB150010 10/30/2014 Planning. Confidential Assistant (4) ...... DB150015 10/31/2014 DB150028 12/11/2014 DB150049 2/19/2015 DB150095 6/12/2015 Deputy White House Liaison ...... DB150050 2/19/2015 Special Advisor, Strategic Partner- DB150047 2/19/2015 ship. Senior Advisor ...... DB150082 5/14/2015 Director of Strategic Partnerships, DB150083 5/20/2015 Special Advisor. Director of Scheduling and Ad- DB150100 6/29/2015 vance. Office of Elementary and Sec- Confidential Assistant (2) ...... DB140091 7/10/2014 ondary Education. DB150093 6/12/2015 Deputy Assistant Secretary for Pol- DB150062 3/24/2015 icy and Programs. Office of Legislation and Congres- Special Assistant (4) ...... DB140094 7/14/2014 sional Affairs. DB150022 11/24/2014 DB150045 2/18/2015 DB150052 2/20/2015 Confidential Assistant ...... DB150091 6/11/2015 Special Assistant ...... DB150079 5/1/2015 Office of Communications and Out- Special Assistant (2) ...... DB140095 7/14/2014 reach. DB150070 4/17/2015 Special Assistant for Digital and DB150008 10/30/2014 Visual Media. Confidential Assistant ...... DB150026 12/11/2014 Press Secretary ...... DB150012 10/30/2014 Assistant Press Secretary ...... DB150069 4/2/2015 Strategic Advisor, Communications DB150087 5/29/2015 Office of the Under Secretary ...... Special Assistant (2) ...... DB140096 7/25/2014 DB150006 10/21/2014 Confidential Assistant (2) ...... DB140104 9/8/2014 DB150036 12/19/2014 Deputy Director White House Initia- DB150027 12/11/2014 tive on Educational Excellence for African Americans. Deputy Director, White House Ini- DB150078 5/1/2015 tiative on Asian American Pacific Islanders.

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Office of the Deputy Secretary ...... Confidential Assistant ...... DB140100 8/6/2014 Special Assistant ...... DB140051 9/9/2014 Special Advisor ...... DB150011 10/30/2014 Director for Strategic Communica- DB150088 5/29/2015 tions and Scheduling. Deputy Chief of Staff ...... DB150090 6/1/2015 Office of Planning, Evaluation and Special Assistant (5) ...... DB140102 8/21/2014 Policy Development. DB150002 10/16/2014 DB150021 11/24/2014 DB150065 3/24/2015 DB150092 6/12/2015 Confidential Assistant ...... DB150072 4/17/2015 Deputy Assistant Secretary for DB150073 4/17/2015 Higher Education and Student Financial Aid. Senior Policy Advisor ...... DB150074 4/20/2015 Policy Advisor (2) ...... DB150103 6/30/2015 DB150104 6/30/2015 Office of Postsecondary Education Deputy Assistant Secretary ...... DB140117 9/17/2014 Confidential Assistant ...... DB150001 10/10/2014 Chief of Staff ...... DB150005 10/23/2014 Special Assistant ...... DB150054 3/6/2015 Deputy Chief of Staff ...... DB150096 6/19/2015 Office of Innovation and Improve- Special Assistant (3) ...... DB140118 9/19/2014 ment. DB150016 11/14/2014 DB150063 3/25/2015 Confidential Assistant (2) ...... DB150034 12/19/2014 DB150102 6/30/2015 Chief of Staff ...... DB150055 3/6/2015 Deputy Director of Science, tech- DB150098 6/23/2015 nology, Engineering, and Math Initiatives. Office of Special Education and Confidential Assistant ...... DB150004 10/17/2014 Rehabilitative Services. Special Assistant ...... DB150099 6/29/2015 Office of the General Counsel ...... Confidential Assistant ...... DB150014 10/31/2014 Chief of Staff (2) ...... DB150031 12/12/2014 DB150076 5/1/2015 Senior Counsel ...... DB150080 5/15/2015 Office for Civil Rights ...... Confidential Assistant (2) ...... DB150017 11/14/2014 DB150094 6/12/2015 Chief of Staff ...... DB150067 3/25/2015 Special Assistant ...... DB150064 4/29/2015 Senior Counsel ...... DB150086 5/28/2015 Department of Energy ...... Office of the Secretary of Energy Deputy Director ...... DE140081 7/1/2014 Advisory Board. Office of the Assistant Secretary Legislative Affairs Specialist (2) ..... DE140085 7/15/2014 for Congressional and Intergov- ernmental Affairs. DE150034 2/4/2015 Special Advisor ...... DE140096 9/19/2014 Director of External Affairs ...... DE150044 4/14/2015 Senior Advisor and Strategic DE150069 4/14/2015 Projects Manager. Office of Public Affairs ...... Press Assistant ...... DE140084 7/18/2014 Director of Digital Strategy ...... DE140108 9/19/2014 Deputy Press Secretary ...... DE150004 10/27/2014 Digital Communications Specialist DE150010 11/4/2014 Deputy Director, Office of Public DE150077 4/30/2015 Affairs. Director of Strategic Communica- DE150086 6/2/2015 tions and Messaging. Assistant Press Secretary ...... DE150095 6/25/2015 Deputy Press Secretary and Advi- DE150099 6/25/2015 sor for Broadcast Media. Office of General Counsel ...... Senior Legal Advisor ...... DE140088 7/18/2014 Office of Energy Policy and Sys- Chief of Staff/Associate Director .... DE140093 7/28/2014 tems Analysis. Special Assistant ...... DE150007 10/22/2014

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Special Advisor ...... DE150023 1/7/2015 Office of Management ...... Special Assistant ...... DE140095 8/12/2014 Deputy Director of Scheduling and DE140101 9/8/2014 Advance (2). DE150040 3/2/2015 Special Assistant and Scheduler ... DE150076 4/30/2015 Office of the Secretary ...... Special Assistant (2) ...... DE140106 9/19/2014 DE150093 6/17/2015 Special Advisor ...... DE150079 5/21/2015 Loan Programs Office ...... Senior Advisor ...... DE140109 9/19/2014 Office of the Assistant Secretary Special Assistant ...... DE140110 9/19/2014 for Environmental Management. Office of the Assistant Secretary Director, Legislative Affairs ...... DE140113 10/2/2014 for Energy Efficiency and Re- newable Energy. Special Advisor for Technology ..... DE150017 12/12/2014 Special Assistant ...... DE150037 2/18/2015 Office of the Deputy Secretary ...... Special Assistant ...... DE150001 10/2/2014 Office of the Assistant Secretary Senior Advisor for External Affairs DE150002 10/22/2014 for Electricity Delivery and En- ergy Reliability. Special Advisor Office the Assist- DE150068 4/14/2015 ant Secretary for Electricity De- livery and Energy Reliability. Office of the Associate Adminis- Deputy Director of Congressional DE150006 10/22/2014 trator for External Affairs. Affairs. Office of the Assistant Secretary Special Advisor for Emerging Mar- DE150005 10/29/2014 for Fossil Energy. kets. Chief of Staff ...... DE150087 5/15/2015 Office of the Assistant Secretary Chief of Staff and Senior Advisor .. DE150013 12/2/2014 for Nuclear Energy. National Nuclear Security Adminis- Director, Public Affairs ...... DE150036 2/5/2015 tration. Office of Advanced Research Special Advisor ...... DE150065 4/3/2015 Projects Agency—Energy. Office of the Assistant Secretary Special Advisor ...... DE150078 4/15/2015 for International Affairs. Senior Advisor ...... DE150080 4/15/2015 Office of the Chief Information Offi- Special Assistant ...... DE150084 5/15/2015 cer. Office of the Under Secretary for Senior Advisor ...... DE150085 6/12/2015 Science. Environmental Protection Agency ... Office of Public Affairs ...... Advisor for Digital Strategy and En- EP140047 9/15/2014 gagement. Deputy Associate Administrator for EP150032 3/18/2015 Public Affairs. Press Secretary ...... EP150036 5/20/2015 Office of Public Engagement and Deputy Associate Administrator for EP140049 9/25/2014 Environmental Education. Public Engagement and Environ- mental Education. Deputy Director for Public Engage- EP150016 4/2/2015 ment and Faith Based Initiatives. Office of the Associate Adminis- Counsel for Policy ...... EP150002 10/20/2014 trator for Policy. Deputy Associate Administrator for EP150043 6/29/2015 Policy. Office of the Administrator ...... Special Assistant ...... EP150006 11/10/2014 Office of Advance Staff ...... Deputy for Advance ...... EP150007 11/13/2014 Advance Specialist ...... EP150021 2/26/2015 Executive Office of the President ... Council on Environmental Quality .. Special Assistant (Legislative Af- OP140002 7/11/2014 fairs). Special Assistant (Energy/Climate OP140003 8/15/2014 Change). Export–Import Bank ...... Office of the Chief of Staff ...... Senior Vice President and Chief of EB140009 7/1/2014 Staff. Office of the Chairman ...... Special Assistant (2) ...... EB140010 7/23/2014 EB150002 4/17/2015 Director of Scheduling ...... EB150001 1/23/2015 Deputy Chief of Staff ...... EB150003 5/5/2015 Office of Communications ...... Senior Vice President for Commu- EB140011 9/15/2014 nications.

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Office of Congressional Affairs ...... Senior Vice President ...... EB140012 9/23/2014 Federal Communications Commis- Office of Legislative Affairs ...... Director, Office of Legislative Af- FC150010 6/24/2015 sion. fairs. Federal Energy Regulatory Com- Office of the Chairman ...... Confidential Assistant (6) ...... DR140006 8/13/2014 mission. DR150002 10/16/2014 DR150006 1/29/2015 DR150003 2/10/2015 DR150009 2/19/2015 DR150015 5/18/2015 Program Analyst (2) ...... DR140007 8/13/2014 DR150004 12/17/2014 Federal Housing Finance Agency ... Office of the Director ...... Chief of Staff ...... HA140005 8/18/2014 Federal Mediation and Conciliation Office of the Director ...... Executive Assistant ...... FM150002 6/23/2015 Service. General Services Administration..... Office of Communications and Senior Communications Advisor .... GS140048 7/25/2014 Marketing. Deputy Associate Administrator for GS150031 4/30/2015 Media Affairs. Press Secretary ...... GS150034 5/22/2015 Office of Regional Administrators .. Special Assistant ...... GS140049 8/15/2014 Office of Congressional and Inter- Policy Advisor (2) ...... GS140051 8/27/2014 governmental Affairs. GS150002 10/7/2014 New England Region ...... Special Assistant ...... GS150003 10/7/2014 Public Buildings Service ...... Special Assistant ...... GS150008 12/11/2014 Office of the Administrator ...... Special Assistant ...... GS150015 2/24/2015 Senior Advisor (3) ...... GS150032 5/6/2015 GS150039 6/11/2015 GS150043 6/25/2015 Deputy Chief of Staff ...... GS150033 5/14/2015 White House Liaison ...... GS150036 6/9/2015 Office of Small Business Utilization Special Assistant ...... GS150027 4/1/2015 Office of Administrative Services ... Chief of Staff ...... GS150042 6/25/2015 Government Printing Office ...... Office of the Public Printer ...... Executive Assistant ...... GP150001 5/19/2015 Department of Health and Human Office of the Assistant Secretary Confidential Assistant (3) ...... DH140103 7/2/2014 Services. for Public Affairs. DH150127 4/17/2015 DH150140 5/14/2015 Press Secretary ...... DH140107 7/3/2014 Communications Director for DH140135 9/19/2014 Health Care. Press Secretary (Health Reform) ... DH140137 9/19/2014 Communications Director for Public DH150019 10/31/2014 Health. Communications Director for DH150040 11/26/2014 Human Services. Director of Strategic Planning ...... DH150124 4/16/2015 Director of Speechwriting ...... DH150128 4/17/2015 Deputy Director of Speechwriting .. DH150131 5/7/2015 Office of the Secretary ...... Confidential Assistant (3) ...... DH140113 7/23/2014 DH150023 11/4/2014 DH150157 6/17/2015 Director of Scheduling and Ad- DH140119 8/15/2014 vance. Special Assistant ...... DH140139 10/1/2014 Director of Advance ...... DH150113 4/17/2015 Policy Advisor ...... DH150141 5/29/2015 Advance Lead ...... DH150067 2/6/2015 Office of the Assistant Secretary Confidential Assistant (2) ...... DH140114 7/25/2014 for Children and Families. DH150003 10/17/2014 Senior Policy Advisor ...... DH150149 5/29/2015 Office of Intergovernmental and Regional Director, New York, New DH140116 8/4/2014 External Affairs. York, Region II. Outreach Coordinator ...... DH150029 11/10/2014 Director, Center for Faith-Based DH150026 11/13/2014 and Neighborhood Partnerships. Regional Director, San Francisco, DH150035 11/14/2014 California, Region IX. Special Assistant ...... DH150044 12/12/2014

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Regional Director, Boston, Massa- DH150106 3/24/2015 chusetts, Region I. Special Assistant ...... DH150125 4/17/2015 Enrollment Coordinator ...... DH150160 6/30/2015 Office of Administration for Com- Special Assistant ...... DH140117 8/4/2014 munity Living. Office of the Assistant Secretary Special Assistant for Preparedness DH140122 8/22/2014 for Preparedness and Response. and Response (2). DH150027 11/10/2014 Office of the Assistant Secretary Special Assistant and Director of DH140123 9/2/2014 for Legislation. Special Projects. Special Assistant for Human Serv- DH140126 9/2/2014 ices. Confidential Assistant for Legisla- DH150014 10/31/2014 tion, Discretionary Health. Special Assistant for Oversight ...... DH150048 12/12/2014 Office of Communications ...... Senior Advisor (2) ...... DH150002 10/3/2014 DH150039 11/26/2014 Office of Refugee Resettlement/Of- Special Advisor ...... DH150020 10/30/2014 fice of the Director. Chief of Staff ...... DH150073 2/20/2015 Office of Health Reform ...... Director of Outreach ...... DH150024 10/30/2014 Special Assistant ...... DH150045 12/19/2014 Director of Delivery System Reform DH150129 4/23/2015 Policy Analyst ...... DH150146 6/23/2015 Health Resources and Services, Special Assistant and Policy Advi- DH150021 10/31/2014 Administration Office of the Ad- sor. ministrator. Special Assistant (2) ...... DH150143 6/2/2015 DH150142 6/4/2015 Office of the Assistant Secretary Chief of Staff (2) ...... DH150074 3/12/2015 for Health. DH150102 3/17/2015 Office of the Deputy Secretary ...... Confidential Assistant ...... DH150150 5/29/2015 Department of Homeland Security .. Office of the Under Secretary for Deputy Chief of Staff ...... DM140187 7/1/2014 Management. Office of the Assistant Secretary Strategic Planning and Coordina- DM140193 7/7/2014 for Public Affairs. tion Advisor. Press Secretary ...... DM140231 8/21/2014 Press Assistant ...... DM140233 8/22/2014 Assistant Press Secretary (2) ...... DM140235 8/22/2014 DM150019 10/29/2014 Deputy Press Secretary ...... DM140244 9/22/2014 Confidential Assistant for Public Af- DM150010 10/10/2014 fairs. Office of the General Counsel ...... Attorney-Advisor ...... DM140194 7/7/2014 Confidential Assistant ...... DM150173 5/28/2015 United States Customs and Border Deputy Chief of Staff, Policy ...... DM140198 7/11/2014 Protection. Special Assistant ...... DM140205 7/17/2014 Advisor (2) ...... DM140213 7/23/2014 DM150030 11/17/2014 Special Advisor ...... DM150029 11/17/2014 Office of the Executive Secretariat Deputy Secretary Briefing Book DM140206 7/22/2014 Coordinator. Writer-Editor ...... DM140232 9/8/2014 Deputy White House Liaison ...... DM150089 3/12/2015 Special Assistant ...... DM150088 3/12/2015 Director of Trips and Advance ...... DM150171 5/28/2015 Federal Emergency Management Special Assistant (3) ...... DM140207 7/22/2014 Agency. DM140208 7/22/2014 DM150049 1/7/2015 Director of Intergovernmental Af- DM140210 7/22/2014 fairs. Press Secretary ...... DM150018 10/31/2014 Office of the Under Secretary for Special Advisor for Infrastructure DM140212 7/23/2014 National Protection and Pro- Protection. grams Directorate. Cyber Security Strategist ...... DM140216 7/30/2014 Confidential Assistant (3) ...... DM140218 8/7/2014

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

DM150063 2/18/2015 DM150162 5/15/2015 Advisor for Counterterrorism and DM140246 9/24/2014 Intelligence. Advisor ...... DM150068 4/9/2015 Office of the Assistant Secretary Advisor for Global Law Enforce- DM140214 7/23/2014 for Intergovernmental Affairs. ment Partnerships. Intergovernmental Affairs Coordi- DM140228 8/28/2014 nator (4). DM150012 10/14/2014 DM150008 10/23/2014 DM150024 11/7/2014 Senior Director ...... DM150026 11/7/2014 External Engagement Coordinator DM150035 12/3/2014 Chief of Staff ...... DM150061 2/4/2015 Director, Homeland Security Advi- DM150129 4/16/2015 sory Council. Office of the Assistant Secretary Advisor ...... DM140219 7/30/2014 for Policy. Policy Advisor (2) ...... DM140227 8/21/2014 DM150040 12/5/2014 Special Assistant In Information DM150051 1/20/2015 Sharing Policy. Special Assistant (3) ...... DM150053 1/20/2015 DM150056 1/23/2015 DM150130 3/31/2015 Senior Advisor for Cyber Policy ..... DM150172 5/28/2015 Office of the Chief of Staff ...... Travel Operations Coordinator ...... DM140223 8/12/2014 Advance Officer ...... DM150017 10/30/2014 Special Assistant (2) ...... DM150050 1/20/2015 DM150158 5/13/2015 White House Liaison ...... DM150115 3/17/2015 Office of the Privacy Officer ...... Special Assistant (2) ...... DM140237 9/2/2014 DM150170 5/28/2015 Office of Assistant Secretary for Chief of Staff ...... DM150009 10/10/2014 Legislative Affairs. United States Citizenship and Im- Press Secretary and Advisor for DM150011 10/14/2014 migration Services. Intergovernmental and External Affairs. Ombudsman, Citizenship and Im- Public Affairs Specialist ...... DM150013 11/3/2014 migration Services. Office of the Under Secretary for Advisor ...... DM150032 11/14/2014 Science and Technology. Special Assistant for Science and DM150064 2/19/2015 Technology. United States Immigration and Special Assistant (2) ...... DM150034 11/18/2014 Customs Enforcement. DM150067 2/26/2015 Congressional Relations Director ... DM150116 3/20/2015 Senior Advisor ...... DM150185 6/30/2015 Immediate Office of the Deputy Special Assistant ...... DM150041 12/5/2014 Secretary. Office of the Secretary ...... Special Assistant ...... DM150181 6/18/2015 Department of Housing and Urban Office of Housing ...... Special Policy Advisor ...... DU140031 7/7/2014 Development. Office of Fair Housing and Equal Special Policy Advisor ...... DU140032 7/7/2014 Opportunity. Chief of Staff/Senior Advisor ...... DU150003 10/17/2014 Office of the Secretary ...... Senior Advisor ...... DU140034 7/18/2014 White House Liaison ...... DU140035 7/18/2014 Deputy Chief of Staff ...... DU140037 7/18/2014 Executive Assistant ...... DU140038 7/18/2014 Senior Policy Advisor (4) ...... DU140042 8/7/2014 DU140052 9/29/2014 DU150063 6/30/2015 DU150009 12/1/2014 Deputy White House Liaison (2) .... DU150006 10/30/2014 DU150031 3/2/2015 Special Assistant ...... DU150026 3/2/2015 Office of the Chief Human Capital Director of Scheduling ...... DU140043 8/20/2014 Officer.

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Office of Congressional and Inter- Senior Advisor ...... DU140045 8/20/2014 governmental Relations. Congressional Relations Specialist DU150016 12/29/2014 Deputy Assistant Secretary for DU150021 2/11/2015 Legislative Affairs. Office of the Administration ...... Scheduling and Advance Coordi- DU140047 8/27/2014 nator. Scheduling Assistant and Briefing DU140051 9/26/2014 Book Coordinator. Director of Advance ...... DU150004 10/30/2014 Office of the General Counsel ...... Senior Counsel for Oversight ...... DU140048 9/11/2014 Senior Counsel ...... DU150050 4/30/2015 Chief of Staff/Senior Counsel ...... DU150061 6/4/2015 Office of Public Affairs ...... Assistant Press Secretary ...... DU140050 9/19/2014 Director of Speechwriting ...... DU150019 12/29/2014 Deputy Press Secretary ...... DU150015 1/2/2015 Deputy Speechwriter ...... DU150020 1/23/2015 Office of Public and Indian Housing Chief of Staff/Senior Advisor ...... DU150008 12/16/2014 Special Policy Advisor ...... DU150043 3/30/2015 Department of the Interior ...... Office of the Assistant Secretary— Advisor ...... DI140038 7/1/2014 Policy, Management and Budget. Special Assistant for Policy, Man- DI150049 3/6/2015 agement and Budget. United States Geological Survey ... Confidential Assistant (2) ...... DI140050 7/10/2014 DI140051 7/18/2014 Secretary’s Immediate Office ...... Special Assistant for Advance ...... DI140053 7/10/2014 Director of Digital Strategy ...... DI140066 8/11/2014 Director of Scheduling and Ad- DI150057 3/12/2015 vance. Special Assistant (4) ...... DI150074 4/1/2015 DI140072 10/21/2014 DI150010 11/14/2014 DI150099 6/19/2015 White House Liaison ...... DI150011 11/14/2014 Deputy Communications Director .. DI150086 5/29/2015 Senior Advisor and Press Sec- DI150092 5/29/2015 retary. Advance Representative ...... DI150093 5/29/2015 Deputy Director of Scheduling and DI150048 4/13/2015 Advance. Office of the Deputy Secretary ...... Special Assistant ...... DI140065 7/17/2014 Office of Congressional and Legis- Senior Counsel ...... DI140049 7/25/2014 lative Affairs. Special Assistant, Office of Con- DI140063 7/25/2014 gressional and Legislative Affairs. Counsel ...... DI150073 4/9/2015 Deputy Director for Congressional DI150026 6/15/2015 and Legislative Affairs. Office of the Assistant Secretary— Advisor ...... DI140073 10/2/2014 Fish and Wildlife and Parks. Chief of Staff-To the Assistant Sec- DI150016 12/3/2014 retary for Fish Wildlife and Parks. Senior Advisor for Fish, Wildlife DI150023 4/9/2015 and Parks. National Park Service ...... Centennial Campaign Public Affairs DI150006 10/30/2014 Specialist. Office of the Assistant Secretary— Senior Advisor ...... DI150009 11/20/2014 Land and Minerals Management. Bureau of Reclamation ...... Advisor ...... DI150007 11/25/2014 Chief, Congressional and Legisla- DI150085 4/14/2015 tive Affairs Office. Bureau of Ocean Energy Manage- Advisor ...... DI150080 4/2/2015 ment. Bureau of Land Management ...... Advisor ...... DI150083 4/3/2015 Office of the Solicitor ...... Counselor ...... DI150084 4/15/2015 Department of Justice ...... Civil Division ...... Chief of Staff ...... DJ140087 7/14/2014 Office of the Attorney General ...... Special Assistant ...... DJ140088 7/14/2014 Director of Advance (2) ...... DJ140094 7/18/2014 DJ140116 8/26/2014 Deputy White House Liaison (2) .... DJ140109 8/18/2014 DJ150090 6/26/2015

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Director of Scheduling and Ad- DJ150095 6/26/2015 vance. Special Assistant ...... DJ150020 11/24/2014 Special Assistant and Scheduler ... DJ150082 6/5/2015 Confidential Assistant ...... DJ150033 1/16/2015 Civil Rights Division ...... Senior Counsel (3) ...... DJ140089 7/14/2014 DJ140095 8/13/2014 DJ140135 10/1/2014 Office of Legislative Affairs ...... Confidential Assistant ...... DJ140110 8/15/2014 Chief of Staff and Attorney Advisor DJ150072 4/24/2015 Attorney Advisor (2) ...... DJ150080 5/26/2015 DJ150088 6/25/2015 Antitrust Division ...... Chief of Staff ...... DJ140114 8/20/2014 Counsel ...... DJ150069 2/10/2015 Office of Justice Programs ...... Policy Advisor ...... DJ140117 8/25/2014 Senior Policy Advisor ...... DJ150009 10/22/2014 Chief of Staff and Senior Counsel DJ150039 3/2/2015 Senior Counsel ...... DJ150084 5/28/2015 Office of Legal Policy ...... Senior Counsel (2) ...... DJ140115 8/26/2014 DJ140119 9/2/2014 Researcher ...... DJ150092 6/26/2015 Office on Violence Against Women Confidential Assistant ...... DJ140120 9/2/2014 Office of Public Affairs ...... Press Assistant (2) ...... DJ140126 9/22/2014 DJ140134 9/30/2014 Public Affairs Specialist ...... DJ140123 10/7/2014 Chief Speechwriter ...... DJ150093 6/26/2015 Office of the Associate Attorney Deputy Chief of Staff and Counsel DJ150002 10/3/2014 General. Senior Counsel (3) ...... DJ140129 10/6/2014 DJ150012 10/30/2014 DJ140130 1/16/2015 Deputy Director (Civil) ...... DJ150034 1/21/2015 Counsel and Chief of Staff ...... DJ150041 2/4/2015 Executive Office for United States Counsel ...... DJ150016 11/3/2014 Attorneys. Office of Legislative Affairs ...... Attorney Advisor and Intergovern- DJ150011 1/6/2015 mental Liaison. Community Relations Service ...... Senior Counsel ...... DJ150032 1/16/2015 Department of Labor ...... Office of Public Affairs ...... Special Assistant (2) ...... DL140076 7/11/2014 DL150071 6/25/2015 Chief of Staff ...... DL150049 4/13/2015 Press Secretary ...... DL150057 5/1/2015 Office of the Assistant Secretary Senior Policy Advisor (2) ...... DL140081 7/28/2014 for Policy. DL150018 12/11/2014 Associate Deputy Assistant Sec- DL150004 10/23/2014 retary. Office of the Secretary ...... Deputy White House Liaison ...... DL140083 7/29/2014 Special Assistant (6) ...... DL140092 8/27/2014 DL140093 8/28/2014 DL150002 10/16/2014 DL150015 12/2/2014 DL150046 4/8/2015 DL150060 5/18/2015 Advisor ...... DL140091 8/28/2014 Counselor ...... DL140095 9/2/2014 Chief Economist ...... DL140090 8/18/2014 Scheduler ...... DL150012 11/14/2014 Director of Public Engagement ...... DL150017 12/5/2014 Executive Assistant ...... DL150029 2/13/2015 Policy Advisor ...... DL150030 2/13/2015 Director of Scheduling and Ad- DL150048 4/9/2015 vance. Special Advisor ...... DL150045 4/17/2015 Policy Advisor ...... DL150066 6/19/2015 Office of Congressional and Inter- Legislative Officer ...... DL140080 8/5/2014 governmental Affairs. Senior Legislative Officer (2) ...... DL140086 8/5/2014 DL140078 8/6/2014 Regional Representative ...... DL140097 9/11/2014 Deputy Director of Intergovern- DL140103 9/19/2014 mental Affairs.

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Director of Intergovernmental Af- DL140094 9/22/2014 fairs. Chief of Staff and Senior Coun- DL150039 3/17/2015 selor. Legislative Officer (2) ...... DL150038 3/25/2015 DL150067 6/19/2015 Associate Director of Intergovern- DL150055 4/30/2015 mental Affairs. Occupational Safety and Health Chief of Staff ...... DL140089 8/7/2014 Administration. Special Assistant ...... DL150040 3/19/2015 Mine Safety and Health Adminis- Chief of Staff ...... DL140100 9/26/2014 tration. Special Assistant ...... DL150008 10/23/2014 Employment and Training Adminis- Director of Center for Workforce In- DL150010 11/7/2014 tration. dustry Partnerships. Deputy Chief of Staff ...... DL150069 6/26/2015 Women’s Bureau ...... Senior Advisor ...... DL150014 11/20/2014 Policy Advisor ...... DL150032 3/3/2015 Office of the Deputy Secretary ...... Special Assistant ...... DL150024 1/14/2015 Senior Policy Advisor ...... DL150059 5/13/2015 Wage and Hour Division ...... Senior Policy Advisor ...... DL150025 1/23/2015 Senior Advisor ...... DL150056 4/30/2015 Special Assistant ...... DL150061 5/21/2015 Office of the Solicitor ...... Senior Counsel ...... DL150034 3/13/2015 Counsel ...... DL150042 3/31/2015 Special Counsel ...... DL150052 4/17/2015 Employee Benefits Security Admin- Special Assistant ...... DL150050 4/10/2015 istration. Office of Workers Compensation Senior Policy Advisor ...... DL150051 4/17/2015 Programs. National Aeronautics and Space Office of General Counsel ...... Special Projects Coordinator ...... NN140063 8/25/2014 Administration. Office of Legislative and Intergov- Senior Advisor ...... NN140066 9/8/2014 ernmental Affairs. Management Analyst ...... NN150004 10/23/2014 Office International and Inter- International Affairs Specialist ...... NN150005 10/23/2014 agency Relations. Office of Communications ...... Deputy Press Secretary and Stra- NN150058 5/20/2015 tegic Communications Coordi- nator. Social Media Specialist ...... NN150059 5/20/2015 National Endowment for the Arts .... Office of the Chairman ...... Scheduler ...... NA140007 8/18/2014 Scheduler ...... NA140009 8/21/2014 White House Liaison/Advisor ...... NA150002 12/5/2014 National Endowment for the Hu- Office of the Chairman ...... Director of Congressional Affairs ... NH150002 12/12/2014 manities. White House Liaison and Chair- NH150004 12/19/2014 man’s Strategic Scheduler. National Transportation Safety Office of Board Members ...... Special Assistant ...... TB150004 5/1/2015 Board. Special Assistant ...... TB150005 6/15/2015 Occupational Safety and Health Office of Commissioners ...... Confidential Assistant ...... SH150004 6/1/2015 Review Commission. Counsel ...... SH150005 6/29/2015 Office of Government Ethics ...... Office of Government Ethics ...... Confidential Assistant ...... GG140002 7/17/2014 Office of Management and Budget Office of the Director ...... Assistant for Management (4) ...... BO140024 7/7/2014 BO150028 5/5/2015 BO150030 5/20/2015 BO150031 5/20/2015 Advisor and Assistant ...... BO140029 7/18/2014 Confidential Assistant (3) ...... BO150014 2/3/2015 BO150012 2/9/2015 BO150025 4/8/2015 Senior Advisor ...... BO150016 3/17/2015 Office of Information and Regu- Counselor ...... BO140034 9/8/2014 latory Affairs. Confidential Assistant ...... BO150007 12/11/2014 Office of Federal Procurement Pol- Confidential Assistant ...... BO140036 9/29/2014 icy. Office of Communications ...... Press Secretary ...... BO150001 10/6/2014

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Deputy Press Secretary ...... BO150002 10/27/2014 Office of Legislative Affairs ...... Confidential Assistant (2) ...... BO150004 11/17/2014 BO150029 5/20/2015 Legislative Analyst ...... BO150021 3/25/2015 National Security Programs ...... Confidential Assistant ...... BO150022 3/17/2015 Office of E-Government and Infor- Confidential Assistant ...... BO150020 3/25/2015 mation Technology. Natural Resource Programs ...... Confidential Assistant ...... BO150024 4/13/2015 General Counsel ...... Confidential Assistant ...... BO150027 5/5/2015 Office of National Drug Control Pol- Office of the Director ...... Associate Director for Intergovern- QQ140004 7/16/2014 icy. mental Public Affairs. Policy Advisor ...... QQ140005 7/25/2014 Policy and Administrative Coordi- QQ140006 9/9/2014 nator. Policy and Administrative Coordi- QQ150002 1/20/2015 nator. Office of Public Affairs ...... Associate Director, Office of Public QQ140007 9/9/2014 Affairs. Office of Legislative Affairs ...... Program Support Specialist (Cor- QQ150003 6/11/2015 respondence). Office of Personnel Management ... Office of the Director ...... Senior Advisor ...... PM150004 11/14/2014 Director of Advance ...... PM150017 5/5/2015 Office of Congressional Relations .. Intergovernmental Affairs Associate PM150005 2/4/2015 Office of Communications ...... Press Secretary ...... PM150013 4/2/2015 Deputy Director of Communica- PM150018 5/14/2015 tions and Digital Director. Office of the General Counsel ...... Senior Counsel ...... PM150020 6/19/2015 Office of Science and Technology Office of the Director ...... Special Assistant (2) ...... TS140006 8/5/2014 Policy. TS150003 11/25/2014 Confidential Assistant (2) ...... TS150002 10/20/2014 TS150004 1/6/2015 Executive Assistant ...... TS150005 2/5/2015 Office of the United States Trade Office of the Ambassador ...... Assistant United States Trade Rep- TN140007 7/24/2014 Representative. resentative for Intergovernmental Affairs and Public Engagement. Special Assistant (2) ...... TN150003 1/6/2015 TN150002 1/20/2015 Congressional Affairs ...... Senior Advisor ...... TN150008 1/20/2015 Intergovernmental Affairs and Pub- Director for Private Sector Engage- TN150004 1/27/2015 lic Liaison. ment. Public and Media Affairs ...... Deputy Press Secretary ...... TN150010 4/9/2015 Intergovernmental Affairs and Pub- Director for Intergovernmental Af- TN150011 4/27/2015 lic Liaison. fairs and Public Engagement. Official Residence of the Vice Official Residence of the Vice Deputy Residence Manager ...... RV150001 7/24/2014 President. President. Deputy Residence Manager ...... RV150002 6/30/2015 Overseas Private Investment Cor- Office of the Executive Staff ...... Senior Advisor (2) ...... PQ140008 7/10/2014 poration. PQ140010 7/10/2014 Pension Benefit Guaranty Corpora- Deputy Chief Policy Office ...... Confidential Assistant ...... BG140001 9/23/2014 tion. Securities And Exchange Commis- Office of the Chief Accountant ...... Director, Office of the Chief Ac- SE140004 8/18/2014 sion. countant. Office of the Chairman ...... Confidential Assistant ...... SE150003 4/17/2015 Writer-Editor ...... SE150004 6/2/2015 Small Business Administration ...... Office of Government Contracting Senior Advisor ...... SB140029 7/10/2014 and Business Development. Office of Communications and Special Advisor for Stakeholder SB140030 7/10/2014 Public Liaison. Outreach. Deputy Assistant Administrator for SB150008 11/6/2014 Communications and Public Liai- son. Associate Administrator for Com- SB150033 5/14/2015 munications and Public Liaison. Speechwriter ...... SB150038 6/26/2015 Office of the Administrator ...... Policy Advisor ...... SB140031 7/15/2014 Director of Scheduling, Operations, SB140033 7/23/2014 and Advance. Director of Scheduling and Ad- SB140035 9/11/2014 vance.

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Confidential Assistant ...... SB150012 1/23/2015 White House Liaison ...... SB150019 3/12/2015 Special Assistant for Scheduling SB150027 4/9/2015 and Advance. Special Advisor ...... SB150029 5/5/2015 Office of Congressional and Legis- Deputy Associate Administrator for SB140034 7/23/2014 lative Affairs. Congressional and Legislative Affairs (2). SB150040 6/26/2015 Special Advisor ...... SB150004 10/30/2014 Deputy Assistant Administrator for SB150031 5/1/2015 Congressional and Legislative Affairs. Office of International Trade ...... Associate Administrator for Inter- SB140037 9/24/2014 national Trade. Senior Advisor for International SB150017 2/11/2015 Trade. Office of Capital Access ...... Senior Advisor ...... SB150005 10/30/2014 Office of the General Counsel ...... Deputy General Counsel ...... SB150024 3/26/2015 Office of Entrepreneurial Develop- Senior Advisor ...... SB150030 5/29/2015 ment. Office of Faith-Based and Commu- Assistant Administrator for Public SB150036 6/4/2015 nity Initiatives. Engagement. Office of Intergovernmental Affairs Associate Administrator for Inter- SB150037 6/12/2015 governmental Affairs. Department of State ...... Foreign Policy Planning Staff ...... Senior Advisor ...... DS140112 7/8/2014 Staff Assistant ...... DS140130 9/16/2014 Writer-Editor (Speechwriter) ...... DS150035 2/26/2015 Office of the Global Women’s Staff Assistant ...... DS140115 7/18/2014 Issues. Staff Assistant ...... DS150064 4/28/2015 Office of the United States Aids Staff Assistant (2) ...... DS140105 7/24/2014 Coordinator. DS140113 8/1/2014 Senior Advisor ...... DS140114 7/31/2014 Bureau of Western Hemisphere Af- Senior Advisor ...... DS140117 7/29/2014 fairs. Foreign Affairs Officer ...... DS150043 3/17/2015 Bureau of Legislative Affairs ...... Legislative Management Officer (2) DS140118 7/29/2014 DS150099 6/25/2015 Deputy Assistant Secretary ...... DS150081 5/20/2015 Office of Faith Based Community Staff Assistant ...... DS140119 7/31/2014 Initiatives. Office of International Information Staff Assistant ...... DS140123 8/20/2014 Programs. Office of the Under Secretary for Senior Advisor (2) ...... DS140124 8/20/2014 Economic Growth, Energy, and the Environment. DS150083 6/5/2015 Bureau of African Affairs ...... Staff Assistant ...... DS140125 8/29/2014 Office of the Chief of Protocol ...... Protocol Officer (Visits) (2) ...... DS140121 9/2/2014 DS150003 10/3/2014 Protocol Officer (Gifts) ...... DS140122 9/15/2014 Public Affairs Specialist ...... DS150004 10/17/2014 Protocol Officer (Ceremonials) ...... DS150020 1/23/2015 Protocol Officer ...... DS150041 2/6/2015 Bureau of Public Affairs ...... Senior Advisor ...... DS140126 9/5/2014 Staff Assistant (2) ...... DS150009 12/10/2014 DS150063 3/13/2015 Bureau of Economic and Business Staff Assistant ...... DS140128 9/16/2014 Affairs. Special Assistant (2) ...... DS150034 3/2/2015 DS150077 6/15/2015 Deputy Assistant Secretary ...... DS150084 5/21/2015 Office of the Counselor ...... Special Assistant (2) ...... DS140127 9/29/2014 DS150080 6/2/2015 Staff Assistant ...... DS140120 10/16/2014 Bureau of Energy Resources ...... Special Assistant ...... DS140135 9/30/2014 Bureau of Political and Military Af- Staff Assistant ...... DS150002 10/3/2014 fairs.

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Office of the Under Secretary for Special Assistant ...... DS150007 11/10/2014 Management. Staff Assistant ...... DS150074 4/28/2015 Office of the Under Secretary for Senior Advisor ...... DS150008 11/10/2014 Civilian Security, Democracy, and Human Rights. Office of the Deputy Secretary for Senior Advisor ...... DS150013 12/19/2014 Management and Resources. Bureau of Arms Control, Public Affairs Specialist ...... DS150015 1/13/2015 Verification, and Compliance. Office of the Deputy Secretary ...... Senior Advisor ...... DS150021 1/23/2015 Staff Assistant ...... DS150022 1/23/2015 Office of the Secretary ...... Staff Assistant (4) ...... DS150032 1/23/2015 DS150075 5/20/2015 DS150090 6/5/2015 DS150095 6/25/2015 Office of Global Food Security ...... Staff Assistant ...... DS150044 3/6/2015 Office of the Under Secretary for Staff Assistant ...... DS150042 3/25/2015 Civilian Security, Democracy, and Human Rights. Office of the Special Envoy for Cli- Deputy Special Envoy for Climate DS150066 3/30/2015 mate Change. Change. Bureau for Education and Cultural Senior Advisor ...... DS150036 4/8/2015 Affairs. Bureau of International Security Staff Assistant ...... DS150082 5/14/2015 and Nonproliferation. Bureau of Democracy, Human Deputy Assistant Secretary (2) ...... DS150078 5/26/2015 Rights and Labor. DS150096 6/12/2015 Office of the Under Secretary for Senior Advisor ...... DS150098 6/25/2015 Arms Control and International Security Affairs. Trade and Development Agency .... Office of the Director ...... Public Affairs Specialist ...... TD140002 7/15/2014 Department of Transportation...... Office of Assistant Secretary for Special Assistant ...... DT140039 7/3/2014 Budget and Programs. Office of the Secretary...... Director of Scheduling and Ad- DT140041 7/3/2014 vance. Deputy White House Liaison ...... DT140050 8/18/2014 Special Assistant (2) ...... DT150007 11/5/2014 DT150046 4/9/2015 Director of Scheduling ...... DT150028 2/19/2015 Special Assistant for Scheduling DT150047 4/9/2015 and Advance. White House Liaison ...... DT150054 4/29/2015 Director of Advance ...... DT150065 5/28/2015 Immediate Office of the Adminis- Director for Governmental Affairs DT140046 7/22/2014 trator. (2). DT140056 9/9/2014 Associate Administrator for Com- DT140058 9/19/2014 munications and Legislative Af- fairs. Director of Communications ...... DT150018 1/2/2015 Director of External Affairs ...... DT150051 4/21/2015 Associate Administrator for Gov- DT140051 8/18/2014 ernmental, International, and Public Affairs. Director of Governmental, Inter- DT150041 4/1/2015 national and Public Affairs. Senior Advisor ...... DT150055 4/29/2015 Office of the Assistant Secretary Special Assistant ...... DT140049 7/24/2014 for Governmental Affairs. Director of Governmental Affairs .... DT150010 11/13/2014 Associate Director for State and DT150013 11/25/2014 Local Governmental Affairs. Director of State and Local Gov- DT150037 3/4/2015 ernmental Affairs. Office of the General Counsel ...... Associate General Counsel ...... DT140057 9/19/2014 Office of Public Affairs ...... Deputy Director of Public Affairs (2) DT140060 9/19/2014 DT150042 4/1/2015 Deputy Press Secretary ...... DT150017 1/2/2015

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SCHEDULE C—Continued

Authorization Agency name Organization name Position title No. Effective date

Director of Strategic Communica- DT150021 1/6/2015 tions. Chief Speechwriter ...... DT150019 1/7/2015 Press Secretary and Senior Media DT150025 1/23/2015 Advisor. Assistant Press Secretary ...... DT150048 4/9/2015 Director of Public Affairs ...... DT150062 5/20/2015 Office of the Assistant Secretary Special Assistant ...... DT140061 9/30/2014 for Aviation and International Af- fairs. Office of the Assistant Secretary Associate Director for Public En- DT150045 4/9/2015 for Transportation Policy. gagement. Policy Advisor ...... DT150060 5/20/2015 Office of Communications and Leg- Director of Communications ...... DT150067 5/29/2015 islative Affairs. Department of the Treasury ...... Office of the Secretary ...... Associate Director (2) ...... DY140099 7/10/2014 DY150087 4/10/2015 Senior Advisor ...... DY140100 7/10/2014 Counselor (2) ...... DY140104 7/15/2014 DY140120 9/11/2014 Deputy Executive Secretary ...... DY140109 7/25/2014 Special Assistant (3) ...... DY140114 8/6/2014 DY140116 8/20/2014 DY150060 2/20/2015 Deputy White House Liaison ...... DY150059 2/20/2015 Director of Scheduling, Advance DY150103 6/11/2015 and Administration. Office of the Assistant Secretary Special Assistant (2) ...... DY140108 8/4/2014 (Legislative Affairs). DY150030 1/23/2015 Office of the Assistant Secretary Spokesperson (3) ...... DY140113 8/6/2014 (Public Affairs). DY150082 3/13/2015 DY150111 6/26/2015 Senior Advisor ...... DY150008 11/14/2014 Special Assistant ...... DY150009 11/14/2014 Senior Digital Strategy Specialist ... DY150088 4/9/2015 Counselor ...... DY150101 6/2/2015 Office of the Assistant Secretary Senior Advisor ...... DY150014 12/3/2014 for Financial Markets. Office of the Assistant Secretary Special Assistant ...... DY150029 1/23/2015 for Management. Office of the Under Secretary for Senior Advisor ...... DY150074 3/6/2015 Domestic Finance. Senior Advisor of Cybersecurity DY150091 4/30/2015 Strategy and Policy. United States Mint ...... Special Assistant ...... DY150075 3/6/2015 Office of the Under Secretary for Policy Advisor ...... DY150076 3/6/2015 International Affairs. Senior Advisor ...... DY150102 6/4/2015 Office of the Assistant Secretary Special Assistant ...... DY150100 6/2/2015 (Economic Policy). United States International Trade Office of the Chairman ...... Staff Assistant (Economics) ...... TC140015 7/29/2014 Commission. Office of Commissioner Staff Assistant (Confidential) Legal TC150002 6/11/2015 Schmidtlein. Department of Veterans Affairs ...... Office of the Assistant Secretary Special Assistant (2) ...... DV140048 10/3/2014 for Public and Intergovernmental Affairs. DV150037 5/26/2015 Office of the Secretary and Deputy Special Assistant (2) ...... DV140049 10/3/2014 DV150017 3/4/2015 Special Assistant/White House Li- DV150015 2/13/2015 aison. Special Assistant/Deputy Director .. DV150014 3/4/2015 Office of the Assistant Secretary Special Assistant ...... DV150042 6/12/2015 for Congressional and Legisla- tive Affairs.

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Authority: 5 U.S.C. 3301 and 3302; II. Self-Regulatory Organization’s recordkeeping rules imposed upon E.O.10577, 3 CFR, 1954–1958 Comp., p.218. Statement of the Purpose of, and commodity pools. U.S. Office of Personnel Management. Statutory Basis for, the Proposed Rule Exchange Traded Concepts, LLC is the Change investment adviser (the ‘‘Adviser’’) to Beth F. Cobert, the Funds. Vident Investment Advisory, Acting Director. In its filing with the Commission, the LLC is the sub-adviser (the ‘‘Sub- [FR Doc. 2016–01009 Filed 1–19–16; 8:45 am] Exchange included statements Adviser’’) to the Funds. SEI Investments BILLING CODE 6325–39–P concerning the purpose of and basis for Global Funds Services serves as the proposed rule change and discussed administrator for the Trust (the any comments it received on the ‘‘Administrator’’). Brown Brothers proposed rule change. The text of these Harriman & Co. serves as custodian, SECURITIES AND EXCHANGE statements may be examined at the transfer agent, and dividend disbursing COMMISSION places specified in Item IV below. The agent for the Trust. SEI Investments Exchange has prepared summaries, set Distribution Co. (‘‘Distributor’’) serves [Release No. 34–76884; File No. SR–BATS– forth in Sections A, B, and C below, of as the distributor for the Trust. 2015–124] the most significant parts of such BATS Rule 14.11(i)(7) provides that, if statements. the investment adviser to the Self-Regulatory Organizations; BATS investment company issuing Managed A. Self-Regulatory Organization’s Exchange, Inc.; Notice of Filing of a Fund Shares is affiliated with a broker- Statement of the Purpose of, and dealer, such investment adviser shall Proposed Rule Change to Rule 14.11(i), Statutory Basis for, the Proposed Rule Managed Fund Shares, To List and erect a ‘‘fire wall’’ between the Change investment adviser and the broker- Trade Shares of the REX VolMAX Long dealer with respect to access to VIX Weekly Futures Strategy ETF and 1. Purpose information concerning the composition the REX VolMAXX Inverse VIX Weekly The Exchange proposes to list and and/or changes to such investment Futures Strategy ETF of the Exchange trade the Shares under BATS Rule company portfolio.5 In addition, Rule Traded Concepts Trust 14.11(i), which governs the listing and 14.11(i)(7) further requires that January 13, 2016. trading of Managed Fund Shares on the personnel who make decisions on the Exchange.3 The Funds will be actively investment company’s portfolio Pursuant to Section 19(b)(1) of the managed funds. The Shares will be composition must be subject to Securities Exchange Act of 1934 (the offered by the Trust, which was procedures designed to prevent the use ‘‘Act’’),1 and Rule 19b–4 thereunder,2 established as a Delaware statutory trust and dissemination of material notice is hereby given that on December on July 17, 2009. The Trust is registered nonpublic information regarding the 30, 2015, BATS Exchange, Inc. (the with the Commission as an open-end applicable investment company ‘‘Exchange’’ or ‘‘BATS’’) filed with the investment company and has filed a portfolio. Rule 14.11(i)(7) is similar to Securities and Exchange Commission registration statement on behalf of the BATS Rule 14.11(b)(5)(A)(i), however, (‘‘Commission’’) the proposed rule Fund on Form N–1A (‘‘Registration Rule 14.11(i)(7) in connection with the change as described in Items I and II Statement’’) with the Commission.4 The establishment of a ‘‘fire wall’’ between below, which Items have been prepared Adviser is also registered as a the investment adviser and the broker- by the Exchange. The Commission is Commodity Pool Operator. The REX dealer reflects the applicable open-end publishing this notice to solicit VolMAXXTM Long VIX Weekly Futures fund’s portfolio, not an underlying benchmark index, as is the case with comments on the proposed rule change Strategy ETF and the REX VolMAXXTM index-based funds. Neither the Adviser from interested persons. Inverse VIX Weekly Futures Strategy ETF and their subsidiaries, REX nor the Sub-Adviser is or is affiliated I. Self-Regulatory Organization’s VolMAXXTM Long VIX Weekly Futures Statement of the Terms of the Substance 5 An investment adviser to an open-end fund is Strategy Subsidiary I and REX required to be registered under the Investment of the Proposed Rule Change VolMAXXTM Inverse VIX Weekly Advisers Act of 1940 (the ‘‘Advisers Act’’). As a Futures Strategy Subsidiary I, result, the Adviser, the Sub-Adviser, and their The Exchange filed a proposal to list respectively, each a wholly-owned related personnel are subject to the provisions of Rule 204A–1 under the Advisers Act relating to and trade shares of the REX subsidiary of its associated Fund are VolMAXXTM Long VIX Weekly Futures codes of ethics. This Rule requires investment organized under the laws of the Cayman advisers to adopt a code of ethics that reflects the TM Strategy ETF and the REX VolMAXX Islands (each a ‘‘Subsidiary’’ and, fiduciary nature of the relationship to clients as Inverse VIX Weekly Futures Strategy collectively, the ‘‘Subsidiaries’’), will be well as compliance with other applicable securities ETF (each a ‘‘Fund’’ and collectively, laws. Accordingly, procedures designed to prevent subject to regulation by the CFTC and the communication and misuse of non-public the ‘‘Funds’’) of the Exchange Traded additional disclosure, reporting and information by an investment adviser must be Concepts Trust (the ‘‘Trust’’) under consistent with Rule 204A–1 under the Advisers Act. In addition, Rule 206(4)–7 under the Advisers BATS Rule 14.11(i) (‘‘Managed Fund 3 The Commission approved BATS Rule 14.11(i) Act makes it unlawful for an investment adviser to Shares’’). The shares of the Funds are in Securities Exchange Act Release No. 65225 provide investment advice to clients unless such referred to herein as the ‘‘Shares.’’ (August 30, 2011), 76 FR 55148 (September 6, 2011) investment adviser has (i) adopted and (SR–BATS–2011–018). implemented written policies and procedures The text of the proposed rule change 4 See Registration Statement on Form N–1A for reasonably designed to prevent violation, by the is available at the Exchange’s Web site the Trust, dated December 29, 2015 (File Nos. 333– investment adviser and its supervised persons, of at www.batstrading.com, at the 156529 and 811–22263). The descriptions of the the Advisers Act and the Commission rules adopted Fund and the Shares contained herein are based, in thereunder; (ii) implemented, at a minimum, an principal office of the Exchange, and at part, on information in the Registration Statement. annual review regarding the adequacy of the the Commission’s Public Reference The Commission has issued an order granting policies and procedures established pursuant to Room. certain exemptive relief to the Company under the subparagraph (i) above and the effectiveness of their Investment Company Act of 1940 (15 U.S.C. 80a– implementation; and (iii) designated an individual 1) (‘‘1940 Act’’) (the ‘‘Exemptive Order’’). See (who is a supervised person) responsible for 1 15 U.S.C. 78s(b)(1). Investment Company Act Release No. 30445, April administering the policies and procedures adopted 2 17 CFR 240.19b–4. 2, 2013 (File No. 812–13969). under subparagraph (i) above.

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with a broker-dealer. In the event that investment exposure to an actively agreements; 14 commercial paper; 15 U.S. (a) the Adviser becomes a broker-dealer managed portfolio of futures contracts government obligations; 16 and cash or or newly affiliated with a broker-dealer, based on VIX Futures Contracts with cash equivalents 17 to collateralize its or (b) any new adviser or sub-adviser is weekly and monthly expirations.6 exposure to the VIX Futures Contracts a broker-dealer or becomes affiliated According to the Registration Statement, and for investment purposes. with a broker-dealer, it will implement the Fund will obtain such exposure by The Fund expects to gain exposure to a fire wall with respect to its relevant investing, through both long and short certain of these investments by personnel or such broker-dealer affiliate, positions, only in the following investing a portion of its assets in the as applicable, regarding access to instruments: VIX Futures Contracts; 7 Subsidiary. The Subsidiary will be information concerning the composition swap agreements that provide exposure advised by the Adviser.18 The Fund’s and/or changes to the portfolio, and will to VIX Futures Contracts; 8 the securities investment in the Subsidiary is be subject to procedures designed to of other investment companies,9 other intended to provide the Fund with prevent the use and dissemination of pooled investment vehicles,10 and exposure to markets (in general, the material non-public information exchange-traded notes 11 that provide commodity markets) within the limits of regarding such portfolio. exposure to VIX Futures Contracts; current federal income tax laws options on securities, securities indices, applicable to investment companies REX VolMAXX Long VIX Weekly and currencies; 12 repurchase such as the Fund, which limit the Futures Strategy ETF agreements 13 and reverse repurchase ability of investment companies to According to the Registration Statement, the Fund seeks to provide 6 The Fund expects the notional value of its capitalized, and well-established financial investors with long exposure to the exposure to VIX Futures Contracts to be equal to institutions whose condition will be continually implied volatility of the broad-based, approximately 100% of Fund assets at all times and monitored by the Sub-Adviser. It is the current the weighted average of time to expiry of the VIX policy of the Fund not to invest in repurchase large-cap U.S. equity market by Futures Contracts to be less than one month at all agreements that do not mature within seven days obtaining investment exposure to an times. if any such investment, together with any other actively managed portfolio of exchange- 7 Consistent with the definition above, all VIX illiquid assets held by the Fund, amount to more traded futures contracts based on the Futures Contracts held by the Fund will be than 15% of the Fund’s net assets. The investments Chicago Board Options Exchange, exchange-traded. of the Fund in repurchase agreements, at times, may 8 To the extent practicable, the Fund will invest be substantial when, in the view of the Sub- Incorporated (‘‘CBOE’’) Volatility Index in swaps cleared through the facilities of a Adviser, liquidity or other considerations so (the ‘‘VIX Index’’) (‘‘VIX Futures centralized clearing house. To the extent that the warrant. Contracts’’) with weekly and monthly Fund invests in swaps that are not centrally cleared, 14 Reverse repurchase agreements involve the sale expirations. The price at which a VIX the Adviser will also attempt to mitigate the Fund’s of assets with an agreement to repurchase the assets credit risk by transacting only with large, well- at an agreed-upon price, date and interest payment Futures Contract trades represents the capitalized institutions using measures designed to and have the characteristics of borrowing. The Fund implied reading of the VIX Index upon determine the creditworthiness of a counterparty. will establish a segregated account with the Trust’s the expiration of the VIX Futures The Adviser will take various steps to limit custodian bank in which the Fund will maintain Contract. The VIX Index is an index counterparty credit risk, as described in the cash, cash equivalents or other portfolio securities Registration Statement. The Fund’s investment in equal in value to the Fund’s obligations in respect designed to measure the market price of over-the-counter (‘‘OTC’’) derivatives, including of reverse repurchase agreements. The Fund does volatility in large cap U.S. stocks over OTC swaps, will not exceed 20% of its assets. not expect to engage, under normal circumstances, 30 days in the future and is calculated 9 The Fund may invest in the securities of other in reverse repurchase agreements with respect to based on the prices of certain put and investment companies, including affiliated funds more than 331⁄3% of its assets. 15 call options on the S&P 500. The VIX and money market funds, subject to applicable Commercial paper is a short-term obligation limitations under Section 12(d)(1) of the 1940 Act. with a maturity ranging from one to 270 days issued Index is calculated based on the 10 Pooled investment vehicles include only the by banks, corporations and other borrowers. Such premium paid by investors for certain following instruments: Trust Issued Receipts (as investments are unsecured and usually discounted. options linked to the level of the S&P defined in BATS Rule 14.11(f)); Commodity-Based The Funds may invest in commercial paper rated 500. During periods of market Trust Shares (as defined in Rule 14.11(e)(4)); A–1 or A–2 by Standard and Poor’s Ratings Services Currency Trust Shares (as defined in Rule (‘‘S&P’’) or Prime-1 or Prime-2 by Moody’s Investors instability, the implied level of volatility 14.11(e)(5)); Commodity Index Trust Shares (as Service, Inc. (‘‘Moody’s’’). of the S&P 500 typically increases and, defined in Rule 14.11(e)(6)); Trust Units (as defined 16 U.S. government obligations include securities consequently, the prices of options in Rule 14.11(e)(9)); and Paired Class Shares (as issued or guaranteed as to principal and interest by linked to the S&P 500 typically increase defined in NASDAQ Stock Market LLC Rule 5713). the U.S. government, its agencies, or While the Funds may invest in inverse pooled instrumentalities, such as U.S. Treasury obligations, (assuming all other relevant factors investment vehicles, the Funds will not invest in receipts, STRIPS, and U.S. Treasury zero-coupon remain constant or have negligible leveraged (e.g., 2X, –2X, 3X or –3X) pooled bonds. changes). This, in turn, causes the investment vehicles. 17 Cash or cash equivalents includes assets such reading of the VIX Index to increase. 11 An ETN is a senior unsecured debt obligation as U.S. Treasury securities or overnight repurchase Unlike many indexes, the VIX Index designed to track the total return of an underlying agreements. index, benchmark, or strategy, minus investor fees. 18 The Subsidiary is not registered under the 1940 is not an investable index. Rather, the ETNs are registered under the Securities Act of Act and is not directly subject to its investor VIX Index serves as a market volatility 1933 and are redeemable to the issuer. While the protections, except as noted in the Registration forecast. While the Fund generally will Funds may invest in inverse ETNs, the Funds will Statement. However, the Subsidiary is wholly- seek exposure to the VIX Index, the not invest in leveraged (e.g., 2X, –2X, 3X or –3X) owned and controlled by the Fund and is advised ETNs. by the Adviser. Therefore, because of the Fund’s Fund is not an index tracking fund and 12 All options written on indices or securities will ownership and control of the Subsidiary, the will generally seek to enhance its be covered. For all OTC options, the Fund will seek, Subsidiary would not take action contrary to the performance by actively selecting VIX where possible, to use counterparties whose interests of the Fund or its shareholders. The Futures Contracts of varying maturities financial status is such that the risk of default is Fund’s Board of Trustees (‘‘Board’’) has oversight reduced; however, the risk of losses from default is responsibility for the investment activities of the for the Fund and, in fact, can be still possible. The Sub-Adviser will monitor the Fund, including its expected investment in the expected to perform very differently financial standing of counterparties on an ongoing Subsidiary, and the Fund’s role as the sole from the VIX Index over all periods of basis. As stated above, the Fund’s investment in shareholder of the Subsidiary. The Adviser receives time. OTC derivatives, which includes OTC options, will no additional compensation for managing the assets not exceed 20% of its assets. of the Subsidiary. The Subsidiary will also enter Principal Holdings 13 The Fund follows certain procedures designed into separate contracts for the provision of custody, to minimize the risks inherent in repurchase transfer agency, and accounting agent services with The Fund will seek to achieve its agreements. Such procedures include effecting the same or with affiliates of the same service investment objective by obtaining repurchase transactions only with large, well- providers that provide those services to the Fund.

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invest directly in certain futures Fund will monitor its portfolio liquidity Fund is not an index tracking fund and contracts. The Subsidiary will have the on an ongoing basis to determine will generally seek to enhance its same investment objective as the Fund. whether, in light of current performance by actively selecting VIX Except as otherwise noted, references to circumstances, an adequate level of Futures Contracts of varying maturities the Fund’s investments may also be liquidity is being maintained, and will for the Fund and, in fact, can be deemed to include the Fund’s indirect consider taking appropriate steps in expected to perform very differently investments through the Subsidiary. order to maintain adequate liquidity if, from the VIX Index over all periods of The Fund will invest up to 25% of its through a change in values, net assets, time. total assets in the Subsidiary. or other circumstances, more than 15% Principal Holdings The Fund may lend its portfolio of the Fund’s net assets are held in securities in an amount not to exceed illiquid assets. Illiquid assets include The Fund will seek to achieve its 331⁄3% of the value of its total assets via assets subject to contractual or other investment objective by obtaining a securities lending program through a restrictions on resale and other investment exposure to an actively lending agent approved by the Board, to instruments that lack readily available managed portfolio of futures contracts certain creditworthy borrowers desiring markets as determined in accordance based on VIX Futures Contracts with to borrow securities to complete with Commission staff guidance. weekly and monthly expirations.22 transactions and for other purposes. A The Fund’s investments will be According to the Registration Statement, securities lending program allows the consistent with the Fund’s investment the Fund will obtain such exposure by Fund to receive a portion of the income objective and will not be used to investing, through both long and short generated by lending its securities and achieve leveraged or inverse leveraged positions, only in the following investing the respective collateral. The returns (i.e. two times or three times the instruments: VIX Futures Contracts; 23 Fund will receive collateral for each Fund’s benchmark). swap agreements that provide exposure 24 loaned security which is at least equal TM to VIX Futures Contracts; the to the current market value of that REX VolMAXX Inverse VIX Weekly securities of other investment security, marked to market each trading Futures Strategy ETF companies,25 other pooled investment day. According to the Registration vehicles,26 and exchange-traded notes 27 The Fund intends to qualify each year Statement, the Fund seeks to provide that provide exposure to VIX Futures as a regulated investment company (a investors with inverse exposure to the Contracts; options on securities, ‘‘RIC’’) under Subchapter M of the implied volatility of the broad-based, securities indices, and currencies; 28 Internal Revenue Code of 1986, as large-cap U.S. equity market by amended.19 The Fund will invest its obtaining investment exposure to an 22 The Fund expects the notional value of its assets (including via the Subsidiary), actively managed portfolio of exchange- exposure to VIX Futures Contracts to be equal to approximately 100% of Fund assets at the close of and otherwise conduct its operations, in traded VIX Futures Contracts with each trading day and the weighted average of time a manner that is intended to satisfy the weekly and monthly expirations. The to expiry of the VIX Futures Contracts to be less qualifying income, diversification and price at which a VIX Futures Contract than one month at all times. distribution requirements necessary to trades represents the implied reading of 23 Consistent with the definition above, all VIX establish and maintain RIC qualification Futures Contracts held by the Fund will be the VIX Index upon the expiration of the exchange-traded. under Subchapter M. Aside from its VIX Futures Contract. The VIX Index is 24 To the extent practicable, the Fund will invest investments in the Subsidiary, the Fund an index designed to measure the in swaps cleared through the facilities of a will not invest in non-U.S. equity market price of volatility in large cap centralized clearing house. To the extent that the securities or options. U.S. stocks over 30 days in the future Fund invests in swaps that are not centrally cleared, the Adviser will also attempt to mitigate the Fund’s and is calculated based on the prices of Investment Restrictions credit risk by transacting only with large, well- certain put and call options on the S&P capitalized institutions using measures designed to The Fund may hold up to an aggregate 500. The VIX Index is calculated based determine the creditworthiness of a counterparty. amount of 15% of its net assets in on the premium paid by investors for The Adviser will take various steps to limit illiquid assets (calculated at the time of counterparty credit risk, as described in the certain options linked to the level of the Registration Statement. The Fund’s investment in investment) deemed illiquid by the S&P 500. During periods of market over-the-counter (‘‘OTC’’) derivatives, including Adviser 20 under the 1940 Act.21 The instability, the implied level of volatility OTC swaps, will not exceed 20% of its assets. of the S&P 500 typically increases and, 25 The Fund may invest in the securities of other 19 26 U.S.C. 851. consequently, the prices of options investment companies, including affiliated funds 20 In reaching liquidity decisions, the Adviser and money market funds, subject to applicable may consider the following factors: The frequency linked to the S&P 500 typically increase limitations under Section 12(d)(1) of the 1940 Act. of trades and quotes for the security; the number of (assuming all other relevant factors 26 Pooled investment vehicles include only the dealers wishing to purchase or sell the security and remain constant or have negligible following instruments: Trust Issued Receipts (as the number of other potential purchasers; dealer changes). This, in turn, causes the defined in BATS Rule 14.11(f)); Commodity-Based undertakings to make a market in the security; and Trust Shares (as defined in Rule 14.11(e)(4)); the nature of the security and the nature of the reading of the VIX Index to increase. Currency Trust Shares (as defined in Rule marketplace trades (e.g., the time needed to dispose Unlike many indexes, the VIX Index 14.11(e)(5)); Commodity Index Trust Shares (as of the security, the method of soliciting offers, and is not an investable index. Rather, the defined in Rule 14.11(e)(6)); Trust Units (as defined the mechanics of transfer). VIX Index serves as a market volatility in Rule 14.11(e)(9)); and Paired Class Shares (as 21 defined in NASDAQ Stock Market LLC Rule 5713). The Commission has stated that long-standing forecast. While the Fund generally will Commission guidelines have required open-end 27 An ETN is a senior unsecured debt obligation funds to hold no more than 15% of their net assets seek exposure to the VIX Index, the designed to track the total return of an underlying in illiquid securities and other illiquid assets. See index, benchmark, or strategy, minus investor fees. Investment Company Act Release No. 28193 (March disposed of in the ordinary course of business ETNs are registered under the Securities Act of 11, 2008), 73 FR 14618 (March 18, 2008), footnote within seven days at approximately the value 1933 and are redeemable to the issuer. 34. See also, Investment Company Act Release No. ascribed to it by the fund. See Investment Company 28 All options written on indices or securities will 5847 (October 21, 1969), 35 FR 19989 (December Act Release No. 14983 (March 12, 1986), 51 FR be covered. For all OTC options, the Fund will seek, 31, 1970) (Statement Regarding ‘‘Restricted 9773 (March 21, 1986) (adopting amendments to where possible, to use counterparties whose Securities’’); Investment Company Act Release No. Rule 2a–7 under the 1940 Act); Investment financial status is such that the risk of default is 18612 (March 12, 1992), 57 FR 9828 (March 20, Company Act Release No. 17452 (April 23, 1990), reduced; however, the risk of losses from default is 1992) (Revisions of Guidelines to Form N–1A). A 55 FR 17933 (April 30, 1990) (adopting Rule 144A still possible. The Sub-Adviser will monitor the fund’s portfolio security is illiquid if it cannot be under the Securities Act of 1933). Continued

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repurchase agreements 29 and reverse investment in the Subsidiary is Fund will monitor its portfolio liquidity repurchase agreements; 30 commercial intended to provide the Fund with on an ongoing basis to determine paper; 31 U.S. government obligations; 32 exposure to markets (in general, the whether, in light of current and cash or cash equivalents 33 to commodity markets) within the limits of circumstances, an adequate level of collateralize its exposure to the VIX current federal income tax laws liquidity is being maintained, and will Futures Contracts and for investment applicable to investment companies consider taking appropriate steps in purposes. such as the Fund, which limit the order to maintain adequate liquidity if, The Fund expects to gain exposure to ability of investment companies to through a change in values, net assets, certain of these investments by invest directly in certain futures or other circumstances, more than 15% investing a portion of its assets in the contracts. The Subsidiary will have the of the Fund’s net assets are held in Subsidiary. The Subsidiary will be same investment objective as the Fund. illiquid assets. Illiquid assets include advised by the Adviser.34 The Fund’s Except as otherwise noted, references to assets subject to contractual or other the Fund’s investments may also be restrictions on resale and other financial standing of counterparties on an ongoing deemed to include the Fund’s indirect instruments that lack readily available basis. As stated above, the Fund’s investment in OTC derivatives, which includes OTC options, will investments through the Subsidiary. markets as determined in accordance not exceed 20% of its assets. The Fund will invest up to 25% of its with Commission staff guidance. 29 The Fund follows certain procedures designed total assets in the Subsidiary. The Fund’s investments will be to minimize the risks inherent in repurchase The Fund may lend its portfolio consistent with the Fund’s investment agreements. Such procedures include effecting securities in an amount not to exceed objective and will not be used to repurchase transactions only with large, well- 1 capitalized, and well-established financial 33 ⁄3% of the value of its total assets via achieve leveraged or inverse leveraged institutions whose condition will be continually a securities lending program through a returns (i.e. two times or three times the monitored by the Sub-Adviser. It is the current lending agent approved by the Board, to Fund’s benchmark). policy of the Fund not to invest in repurchase certain creditworthy borrowers desiring agreements that do not mature within seven days Net Asset Value if any such investment, together with any other to borrow securities to complete illiquid assets held by the Fund, amount to more transactions and for other purposes. A According to the Registration than 15% of the Fund’s net assets. The investments securities lending program allows the Statement, the net asset value (‘‘NAV’’) of the Fund in repurchase agreements, at times, may be substantial when, in the view of the Sub- Fund to receive a portion of the income of the Shares of each Fund will be Adviser, liquidity or other considerations so generated by lending its securities and calculated by dividing the value of the warrant. investing the respective collateral. The net assets of such Fund (i.e., the value 30 Reverse repurchase agreements involve the sale Fund will receive collateral for each of its total assets less total liabilities) by of assets with an agreement to repurchase the assets loaned security which is at least equal the total number of Shares of the Fund at an agreed-upon price, date and interest payment and have the characteristics of borrowing. The Fund to the current market value of that outstanding. Expenses and fees, will establish a segregated account with the Trust’s security, marked to market each trading including the management and custodian bank in which the Fund will maintain day. administration fees, are accrued daily cash, cash equivalents or other portfolio securities The Fund intends to qualify each year equal in value to the Fund’s obligations in respect and taken into account for purposes of of reverse repurchase agreements. The Fund does as a regulated investment company (a determining NAV. The NAV of the Fund not expect to engage, under normal circumstances, ‘‘RIC’’) under Subchapter M of the is generally determined at 4:15 p.m. in reverse repurchase agreements with respect to Internal Revenue Code of 1986, as Eastern Time each business day when 1 more than 33 ⁄3% of its assets. amended.35 The Fund will invest its the Exchange is open for trading. If the 31 Commercial paper is a short-term obligation with a maturity ranging from one to 270 days issued assets (including via the Subsidiary), Exchange or market on which the by banks, corporations and other borrowers. Such and otherwise conduct its operations, in Fund’s investments are primarily traded investments are unsecured and usually discounted. a manner that is intended to satisfy the closes early, the NAV may be calculated The Funds may invest in commercial paper rated qualifying income, diversification and A–1 or A–2 by Standard and Poor’s Ratings Services prior to its normal calculation time. (‘‘S&P’’) or Prime-1 or Prime-2 by Moody’s Investors distribution requirements necessary to Creation/redemption transaction order Service, Inc. (‘‘Moody’s’’). establish and maintain RIC qualification time cutoffs (as further described below) 32 U.S. government obligations include securities under Subchapter M. Aside from its would also be accelerated. issued or guaranteed as to principal and interest by investments in the Subsidiary, the Fund Securities and other assets are the U.S. government, its agencies, or instrumentalities, such as U.S. Treasury obligations, will not invest in non-U.S. equity generally valued at their market price receipts, STRIPS, and U.S. Treasury zero-coupon securities or options. using information provided by a pricing bonds. service or market quotations. VIX 33 Investment Restrictions Cash or cash equivalents includes assets such Futures Contracts are generally valued as U.S. Treasury securities or overnight repurchase The Fund may hold up to an aggregate agreements. at their settlement price as determined 34 The Subsidiary is not registered under the 1940 amount of 15% of its net assets in Act and is not directly subject to its investor illiquid assets (calculated at the time of in illiquid securities and other illiquid assets. See protections, except as noted in the Registration investment) deemed illiquid by the Investment Company Act Release No. 28193 (March Statement. However, the Subsidiary is wholly- Adviser 36 under the 1940 Act.37 The 11, 2008), 73 FR 14618 (March 18, 2008), footnote owned and controlled by the Fund and is advised 34. See also, Investment Company Act Release No. by the Adviser. Therefore, because of the Fund’s 5847 (October 21, 1969), 35 FR 19989 (December ownership and control of the Subsidiary, the 35 26 U.S.C. 851. 31, 1970) (Statement Regarding ‘‘Restricted Subsidiary would not take action contrary to the 36 In reaching liquidity decisions, the Adviser Securities’’); Investment Company Act Release No. interests of the Fund or its shareholders. The may consider the following factors: The frequency 18612 (March 12, 1992), 57 FR 9828 (March 20, Fund’s Board of Trustees (‘‘Board’’) has oversight of trades and quotes for the security; the number of 1992) (Revisions of Guidelines to Form N–1A). A responsibility for the investment activities of the dealers wishing to purchase or sell the security and fund’s portfolio security is illiquid if it cannot be Fund, including its expected investment in the the number of other potential purchasers; dealer disposed of in the ordinary course of business Subsidiary, and the Fund’s role as the sole undertakings to make a market in the security; and within seven days at approximately the value shareholder of the Subsidiary. The Adviser receives the nature of the security and the nature of the ascribed to it by the fund. See Investment Company no additional compensation for managing the assets marketplace trades (e.g., the time needed to dispose Act Release No. 14983 (March 12, 1986), 51 FR of the Subsidiary. The Subsidiary will also enter of the security, the method of soliciting offers, and 9773 (March 21, 1986) (adopting amendments to into separate contracts for the provision of custody, the mechanics of transfer). Rule 2a–7 under the 1940 Act); Investment transfer agency, and accounting agent services with 37 The Commission has stated that long-standing Company Act Release No. 17452 (April 23, 1990), the same or with affiliates of the same service Commission guidelines have required open-end 55 FR 17933 (April 30, 1990) (adopting Rule 144A providers that provide those services to the Fund. funds to hold no more than 15% of their net assets under the Securities Act of 1933).

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by CBOE. Listed options will generally which cash may be substituted) (i.e., the the Distributor at a time specified by the be valued at the last sale price on the ‘‘Deposit Assets’’), and the ‘‘Cash Adviser. Currently, such orders must be applicable exchange. Non-exchange Component’’ computed as described received in proper form no later than traded derivatives, including OTC- below. Together, the Deposit Assets and 3:00 p.m. Eastern Time on the date such traded options and swaps, will normally the Cash Component constitute the order is placed in order for creation of be valued on the basis of quotations or ‘‘Fund Deposit,’’ which represents the Creation Units to be effected based on equivalent indication of value supplied minimum initial and subsequent the NAV of Shares of the Fund as next by a third-party pricing service or investment amount for a Creation Unit determined on such date after receipt of broker-dealer who makes markets in of the Fund. The specific terms the order in proper form. The such instruments. Repurchase surrounding the creation and ‘‘Settlement Date’’ is generally the third agreements and reverse repurchase redemption of shares are at the business day after the transmittal date. agreements will generally be valued at discretion of the Adviser. On days when the Exchange or the bond bid prices received from independent The Deposit Assets and Fund markets close earlier than normal, the pricing services as of the announced Securities (as defined below), as the Fund may require orders to create or to closing time for trading in such case may be, in connection with a redeem Creation Units to be placed instruments. U.S government purchase or redemption of a Creation earlier in the day. obligations are generally priced at a Unit, generally will correspond pro rata, To be eligible to place orders with the quoted market price from an active to the extent practicable, to the assets Distributor to create a Creation Unit of market, generally the midpoint between held by the Fund. a Fund, an entity must be (i) a the bid/ask quotes. U.S. government The Cash Component will be an ‘‘Participating Party,’’ i.e., a broker- obligations that mature within sixty amount equal to the difference between dealer or other participant in the days may be valued using amortized the NAV of the Shares (per Creation clearing process through the Continuous cost. Money market funds would Unit) and the ‘‘Deposit Amount,’’ which Net Settlement System of the NSCC, a generally be valued at their current Net will be an amount equal to the market clearing agency that is registered with Asset Value per share. Certain short- value of the Deposit Assets, and serve to the Commission; or (ii) a DTC term debt securities will be valued on compensate for any differences between Participant, and, in each case, must the basis of amortized cost. the NAV per Creation Unit and the have executed an agreement with the Exchange-traded securities, including Deposit Amount. Each Fund generally Trust, the Distributor and the those exchange-traded securities of offers Creation Units partially or Administrator with respect to creations other investment companies, other entirely for cash. The Administrator will and redemptions of Creation Units pooled investment vehicles, and make available through the National (‘‘Participant Agreement’’). exchange-traded notes, generally will be Securities Clearing Corporation A standard creation transaction fee valued at the official closing price on (‘‘NSCC’’) on each business day, prior to may be imposed to offset the transfer the listing exchange. Non-exchange the opening of business on the and other transaction costs associated traded securities will be valued at their Exchange, the list of names and the with the issuance of Creation Units. Shares of the Funds may be redeemed net asset value. required number or par value of each only in Creation Units at their NAV next For more information regarding the Deposit Security and the amount of the determined after receipt of a redemption valuation of Fund investments in Cash Component to be included in the calculating the Fund’s NAV, see the request in proper form by the current Fund Deposit (based on Registration Statement. Distributor and only on a business day. information as of the end of the The Administrator will make available The Shares previous business day) for the Fund. through the NSCC, prior to the opening The identity and number or par value The Funds will issue and redeem of business on the Exchange on each of the Deposit Assets may change Shares on a continuous basis at the NAV business day, the designated portfolio of pursuant to changes in the composition per Share only in large blocks of a securities (including any portion of such of each Fund’s portfolio as rebalancing specified number of Shares or multiples securities for which cash may be adjustments and corporate action events thereof (‘‘Creation Units’’) in substituted) that will be applicable occur from time to time. The transactions with authorized (subject to possible amendment or composition of the Deposit Assets may participants who have entered into correction) to redemption requests also change in response to adjustments agreements with the Distributor. The received in proper form on that day to the weighting or composition of the Adviser currently anticipates that a (‘‘Fund Securities’’). The redemption holdings of the Fund. Creation Unit will consist of at least proceeds for a Creation Unit generally Each Fund reserves the right to permit 25,000 Shares, though this number may will consist of a specified amount of or require the substitution of a ‘‘cash in change from time to time, including cash less a redemption transaction fee. lieu’’ amount to be added to the Cash prior to listing of the Shares. The exact The Fund generally will redeem Component to replace any Deposit number of Shares that will constitute a Creation Units entirely for cash. Creation Unit will be disclosed in the Security that may not be available in A standard redemption transaction fee Registration Statement. Once created, sufficient quantity for delivery or that may be imposed to offset transfer and Shares of each Fund may trade on the may not be eligible for transfer through other transaction costs that may be secondary market in amounts less than the Depository Trust Company (‘‘DTC’’) incurred by the Fund. or the clearing process through the Redemption requests for Creation a Creation Unit. 38 Although the Adviser anticipates that NSCC. Units of the Funds must be submitted to purchases and redemptions for Creation Except as noted below, all creation the Distributor by or through an Units will generally be executed on an orders must be placed for one or more authorized participant by a time all-cash basis, the consideration for Creation Units and must be received by specified by the Adviser. Currently, purchase of Creation Units of the Fund such requests must be received no later 38 The Adviser represents that, to the extent the may consist of an in-kind deposit of a Trust permits or requires a ‘‘cash in lieu’’ amount, than 3:00 p.m. Eastern Time on any designated portfolio of securities such transactions will be effected in the same or business day, in order to receive that (including any portion of such assets for equitable manner for all authorized participants. day’s NAV. The authorized participant

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must transmit the request for will include, as applicable: ticker available through issuer Web sites and redemption in the form required by the symbol or other identifier, a description publicly available quotation services Fund to the Distributor in accordance of the holding, identity of the asset upon such as Bloomberg, Markit and with procedures set forth in the which the derivative is based, the strike Thomson Reuters. For VIX Futures authorized Participant Agreement. price for any options, the quantity of Contracts, such intraday information is Additional information regarding the each security or other asset held as available directly from CBOE. Intraday Shares and the Funds, including measured by select metrics, maturity price information is also available investment strategies, risks, creation and date, coupon rate, effective date, market through subscription services, such as redemption procedures, fees and value and percentage weight of the Bloomberg and Thomson Reuters, expenses, portfolio holdings disclosure holding in the portfolio. The Web site which can be accessed by authorized policies, distributions, taxes and reports and information will be publicly participants and other investors. to be distributed to beneficial owners of available at no charge. Information regarding market price the Shares can be found in the In addition, for each Fund, an and volume of the Shares will be Registration Statement or on the Web estimated value, defined in BATS Rule continually available on a real-time site for the Fund, as applicable. 14.11(i)(3)(C) as the ‘‘Intraday Indicative basis throughout the day on brokers’ Availability of Information Value,’’ that reflects an estimated computer screens and other electronic intraday value of the Fund’s portfolio, services. The previous day’s closing Each Fund’s Web site, which will be will be disseminated. Moreover, the price and trading volume information publicly available prior to the public Intraday Indicative Value will be based for the Shares will be generally available offering of Shares, will include a form upon the current value for the daily in the print and online financial of the prospectus for the Fund that may components of the Disclosed Portfolio press. Quotation and last sale be downloaded. The Web sites will and will be updated and widely include additional quantitative information for the Shares will be disseminated by one or more major available on the facilities of the CTA. information updated on a daily basis, market data vendors at least every 15 including, for the respective Fund: (1) seconds during the Exchange’s Regular Initial and Continued Listing The prior business day’s reported NAV, Trading Hours.42 In addition, the The Shares will be subject to BATS the closing market price or the midpoint quotations of certain of the Fund’s of the bid/ask spread at the time of Rule 14.11(i), which sets forth the initial holdings may not be updated for and continued listing criteria applicable calculation of such NAV (the ‘‘Bid/Ask purposes of calculating Intraday Price’’),39 daily trading volume, and a to Managed Fund Shares. The Exchange Indicative Value during U.S. trading represents that, for initial and/or calculation of the premium and hours where the market on which the discount of the closing market price or continued listing, each Fund must be in underlying asset is traded settles prior Bid/Ask Price against the NAV; and (2) compliance with Rule 10A–3 under the to the end of the Exchange’s Regular 43 data in chart format displaying the Act. A minimum of 100,000 Shares of Trading Hours. each Fund will be outstanding at the frequency distribution of discounts and The dissemination of the Intraday premiums of the daily closing price commencement of trading on the Indicative Value, together with the Exchange. The Exchange will obtain a against the NAV, within appropriate Disclosed Portfolio, will allow investors ranges, for each of the four previous representation from the issuer of the to determine the value of the underlying Shares that the NAV will be calculated calendar quarters. Daily trading volume portfolio of each Fund on a daily basis information will be available in the daily and that the NAV and the and provide an estimate of that value financial section of newspapers, through Disclosed Portfolio will be made throughout the trading day. subscription services such as available to all market participants at Intraday price quotations on U.S. the same time. Bloomberg, Thomson Reuters, and government securities, repurchase International Data Corporation, which agreements, and reverse repurchase Trading Halts can be accessed by authorized agreements of the type held by the With respect to trading halts, the participants and other investors, as well Funds are available from major broker- as through other electronic services, Exchange may consider all relevant dealer firms and from third-parties, factors in exercising its discretion to including major public Web sites. On which may provide prices free with a each business day, before halt or suspend trading in the Shares of time delay, or ‘‘live’’ with a paid fee. the Funds. The Exchange will halt commencement of trading in Shares Major broker-dealer firms will also 40 trading in the Shares under the during Regular Trading Hours on the provide intraday quotes on swaps of the Exchange, each Fund will disclose on conditions specified in BATS Rule type held by the Funds. Pricing 11.18. Trading may be halted because of its Web site the identities and quantities information related to exchange-listed of the portfolio instruments (the market conditions or for reasons that, in instruments, including exchange-listed the view of the Exchange, make trading ‘‘Disclosed Portfolio’’) held by the Fund options, securities of other investment that will form the basis for the Fund’s in the Shares inadvisable. These may companies, pooled investment vehicles, include: (1) The extent to which trading calculation of NAV at the end of the and exchange-traded notes, will be business day.41 The Disclosed Portfolio is not occurring in the instruments available directly from the listing composing the Disclosed Portfolio of a exchange. Pricing information related to 39 The Bid/Ask Price of the Fund will be Fund; or (2) whether other unusual determined using the midpoint of the highest bid money market fund shares will be conditions or circumstances detrimental and the lowest offer on the Exchange as of the time to the maintenance of a fair and orderly of calculation of the Fund’s NAV. The records Fund will be able to disclose at the beginning of the relating to Bid/Ask Prices will be retained by the business day the portfolio that will form the basis market are present. Trading in the Fund and its service providers. for the NAV calculation at the end of the business Shares also will be subject to Rule 40 Regular Trading Hours are 9:30 a.m. to 4:00 day. 14.11(i)(4)(B)(iv), which sets forth p.m. Eastern Time. 42 Currently, it is the Exchange’s understanding circumstances under which Shares of a 41 Under accounting procedures to be followed by that several major market data vendors display and/ Fund may be halted. the Fund, trades made on the prior business day or make widely available Intraday Indicative Values (‘‘T’’) will be booked and reflected in NAV on the published via the Consolidated Tape Association current business day (‘‘T+1’’). Accordingly, the (‘‘CTA’’) or other data feeds. 43 See 17 CFR 240.10A–3.

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Trading Rules will discuss the following: (1) The remove impediments to and perfect the The Exchange deems the Shares to be procedures for purchases and mechanism of a free and open market equity securities, thus rendering trading redemptions of Shares in Creation Units and a national market system and, in in the Shares subject to the Exchange’s (and that Shares are not individually general, to protect investors and the existing rules governing the trading of redeemable); (2) BATS Rule 3.7, which public interest. equity securities. BATS will allow imposes suitability obligations on The Exchange believes that the trading in the Shares from 8:00 a.m. Exchange members with respect to proposed rule change is designed to until 5:00 p.m. Eastern Time. The recommending transactions in the prevent fraudulent and manipulative Exchange has appropriate rules to Shares to customers; (3) how acts and practices in that the Shares will facilitate transactions in the Shares information regarding the Intraday be listed and traded on the Exchange during all trading sessions. As provided Indicative Value is disseminated; (4) the pursuant to the initial and continued in BATS Rule 11.11(a), the minimum risks involved in trading the Shares listing criteria in BATS Rule 14.11(i). 45 price variation for quoting and entry of during the Pre-Opening and After The Exchange believes that its 46 orders in Managed Fund Shares traded Hours Trading Sessions when an surveillance procedures are adequate to on the Exchange is $0.01, with the updated Intraday Indicative Value will properly monitor the trading of the exception of securities that are priced not be calculated or publicly Shares on the Exchange during all less than $1.00, for which the minimum disseminated; (5) the requirement that trading sessions and to deter and detect price variation for order entry is members deliver a prospectus to violations of Exchange rules and the $0.0001. investors purchasing newly issued applicable federal securities laws. If the Shares prior to or concurrently with the investment adviser to the investment Surveillance confirmation of a transaction; and (6) company issuing Managed Fund Shares The Exchange believes that its trading information. is affiliated with a broker-dealer, such surveillance procedures are adequate to In addition, the Information Circular investment adviser to the investment properly monitor the trading of the will advise members, prior to the company shall erect a ‘‘fire wall’’ Shares on the Exchange during all commencement of trading, of the between the investment adviser and the trading sessions and to deter and detect prospectus delivery requirements broker-dealer with respect to access to violations of Exchange rules and the applicable to each Fund. Members information concerning the composition applicable federal securities laws. purchasing Shares from the Fund for and/or changes to such investment Trading of the Shares through the resale to investors will deliver a company portfolio. Neither the Adviser Exchange will be subject to the prospectus to such investors. The nor the Sub-Adviser is or is affiliated Exchange’s surveillance procedures for Information Circular will also discuss with a broker-dealer. In the event that derivative products, including Managed any exemptive, no-action, and (a) the Adviser becomes a broker-dealer Fund Shares. The Exchange may obtain interpretive relief granted by the or newly affiliated with a broker-dealer, information regarding trading in the Commission from any rules under the or (b) any new adviser or sub-adviser is Shares, exchange-listed options, Act. a broker-dealer or becomes affiliated exchange listed equity securities, and In addition, the Information Circular with a broker-dealer, it will implement the underlying futures via the will reference that each Fund is subject a fire wall with respect to its relevant Intermarket Surveillance Group (‘‘ISG’’) to various fees and expenses described personnel or such broker-dealer affiliate, from other exchanges who are members in the Registration Statement. The as applicable, regarding access to or affiliates of the ISG or with which the Information Circular will also disclose information concerning the composition Exchange has entered into a the trading hours of the Shares of the and/or changes to the portfolio, and will comprehensive surveillance sharing Funds and the applicable NAV be subject to procedures designed to agreement.44 In addition, the Exchange calculation time for the Shares. The prevent the use and dissemination of is able to access, as needed, trade Information Circular will disclose that material non-public information information for certain fixed income information about the Shares of the regarding such portfolio. The Exchange instruments reported to FINRA’s Trade Funds will be publicly available on the may obtain information regarding Reporting and Compliance Engine Funds’ respective Web site. In addition, trading in the Shares and the underlying (‘‘TRACE’’). The Exchange prohibits the the Information Circular will reference futures via the ISG from other exchanges distribution of material non-public that the Trust is subject to various fees who are members or affiliates of the ISG information by its employees. and expenses described in the or with which the Exchange has entered Registration Statement. into a comprehensive surveillance Information Circular 49 2. Statutory Basis sharing agreement. In addition, the Prior to the commencement of Exchange is able to access, as needed, trading, the Exchange will inform its The Exchange believes that the trade information for certain fixed members in an Information Circular of proposal is consistent with Section 6(b) income instruments reported to FINRA’s 47 the special characteristics and risks of the Act in general and Section TRACE. 48 associated with trading the Shares. 6(b)(5) of the Act in particular in that According to the Registration Specifically, the Information Circular it is designed to prevent fraudulent and Statement, the REX VolMAXX Long VIX manipulative acts and practices, to Weekly Futures Strategy ETF expects 44 For a list of the current members and affiliate promote just and equitable principles of the notional value of its exposure to VIX members of ISG, see www.isgportal.com. The trade, to foster cooperation and Futures Contracts to be equal to Exchange notes that not all components of the coordination with persons engaged in approximately 100% of Fund assets at Disclosed Portfolio for the Fund may trade on facilitating transactions in securities, to markets that are members of ISG or with which the all times and the weighted average of Exchange has in place a comprehensive time to expiry of the VIX Futures surveillance sharing agreement. The Exchange also 45 The Pre-Opening Session is from 8:00 a.m. to Contracts to be less than one month at notes that all of the futures contracts in the 9:30 a.m. Eastern Time. all times. According to the Registration 46 The After Hours Trading Session is from 4:00 Disclosed Portfolio for the Fund will trade on TM markets that are a member of ISG or with which the p.m. to 5:00 p.m. Eastern Time. Statement, the REX VolMAXX Exchange has in place a comprehensive 47 15 U.S.C. 78f. surveillance sharing agreement. 48 15 U.S.C. 78f(b)(5). 49 See note 44, supra.

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Inverse VIX Weekly Futures Strategy time basis throughout the day on ISG from other exchanges that are ETF expects the notional value of its brokers’ computer screens and other members of ISG or with which the exposure to VIX Futures Contracts to be electronic services, and quotation and Exchange has entered into a equal to approximately 100% of Fund last sale information for the Shares will comprehensive surveillance sharing assets at the close of each trading day be available on the facilities of the CTA. agreement as well as trade information and the weighted average of time to The Web sites for the Funds will for certain fixed income instruments as expiry of the VIX Futures Contracts to include a form of the prospectus for the reported to FINRA’s TRACE. In be less than one month at all times. Fund and additional data relating to addition, as noted above, investors will Additionally, each Fund may hold up NAV and other applicable quantitative have ready access to information to an aggregate amount of 15% of its net information. Trading in Shares of the regarding the Fund’s holdings, the assets in illiquid assets (calculated at Fund will be halted under the Intraday Indicative Value, the Disclosed the time of investment). The Fund will conditions specified in BATS Rule Portfolio, and quotation and last sale monitor its portfolio liquidity on an 11.18. Trading may also be halted information for the Shares. ongoing basis to determine whether, in because of market conditions or for For the above reasons, the Exchange light of current circumstances, an reasons that, in the view of the believes that the proposed rule change adequate level of liquidity is being Exchange, make trading in the Shares is consistent with the requirements of maintained, and will consider taking inadvisable. Finally, trading in the Section 6(b)(5) of the Act. appropriate steps in order to maintain Shares will be subject to BATS Rule adequate liquidity if, through a change 14.11(i)(4)(B)(iv), which sets forth B. Self-Regulatory Organization’s in values, net assets, or other circumstances under which Shares of Statement on Burden on Competition circumstances, more than 15% of the the Fund may be halted. In addition, as Fund’s net assets are held in illiquid noted above, investors will have ready The Exchange does not believe that assets. Illiquid assets include assets access to information regarding each the proposed rule change will impose subject to contractual or other Fund’s holdings, the Intraday Indicative any burden on competition that is not restrictions on resale and other Value, the Disclosed Portfolio, and necessary or appropriate in furtherance instruments that lack readily available quotation and last sale information for of the purpose of the Act. The Exchange markets as determined in accordance the Shares. notes that the proposed rule change, with Commission staff guidance. Intraday price quotations on rather will facilitate the listing and The proposed rule change is designed securities, repurchase agreements, and trading of additional actively-managed to promote just and equitable principles reverse repurchase agreements of the exchange-traded products that will of trade and to protect investors and the type held by the Fund are available from enhance competition among both public interest in that the Exchange will major broker-dealer firms and from market participants and listing venues, obtain a representation from the issuer third-parties, which may provide prices to the benefit of investors and the of the Shares that the NAV will be free with a time delay, or ‘‘live’’ with a marketplace. calculated daily and that the NAV and paid fee. Major broker-dealer firms will C. Self-Regulatory Organization’s the Disclosed Portfolio will be made also provide intraday quotes on swaps Statement on Comments on the available to all market participants at of the type held by the Fund. Pricing Proposed Rule Change Received From the same time. In addition, a large information related to exchange-listed Members, Participants, or Others amount of information is publicly instruments, including exchange-listed available regarding each Fund and the options, securities of other investment The Exchange has neither solicited Shares, thereby promoting market companies, pooled investment vehicles, nor received written comments on the transparency. Moreover, the Intraday and exchange-traded notes, will be proposed rule change. Indicative Value will be disseminated available directly from the listing by one or more major market data exchange. Pricing information related to III. Date of Effectiveness of the vendors at least every 15 seconds during money market fund shares will be Proposed Rule Change and Timing for Regular Trading Hours. On each available through issuer Web sites and Commission Action business day, before commencement of publicly available quotation services Within 45 days of the date of trading in Shares during Regular such as Bloomberg, Markit and publication of this notice in the Federal Trading Hours, each Fund will disclose Thomson Reuters. For VIX Futures Register or within such longer period on its Web site the Disclosed Portfolio Contracts, such intraday information is up to 90 days (i) as the Commission may that will form the basis for the Fund’s available directly from CBOE. Intraday calculation of NAV at the end of the price information is also available designate if it finds such longer period business day. Pricing information will through subscription services, such as to be appropriate and publishes its be available on the Fund’s Web site Bloomberg and Thomson Reuters, reasons for so finding or (ii) as to which including: (1) The prior business day’s which can be accessed by authorized the Exchange consents, the Commission reported NAV, the closing market price participants and other investors. will: (a) By order approve or disapprove or the Bid/Ask Price, daily trading The proposed rule change is designed such proposed rule change, or (b) volume, and a calculation of the to perfect the mechanism of a free and institute proceedings to determine premium and discount of the closing open market and, in general, to protect whether the proposed rule change market price or Bid/Ask Price against investors and the public interest in that should be disapproved. the NAV; and (2) data in chart format it will facilitate the listing and trading IV. Solicitation of Comments displaying the frequency distribution of of additional types of actively-managed discounts and premiums of the daily exchange-traded product that will Interested persons are invited to closing price against the NAV, within enhance competition among market submit written data, views, and appropriate ranges, for each of the four participants, to the benefit of investors arguments concerning the foregoing, previous calendar quarters. and the marketplace. As noted above, including whether the proposed rule Additionally, information regarding the Exchange has in place surveillance change is consistent with the Act. market price and trading of the Shares procedures relating to trading in the Comments may be submitted by any of will be continually available on a real- Shares and may obtain information via the following methods:

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Electronic Comments should refer to File Number SR–BATS– appointment costs for options on the • Use the Commission’s Internet 2015–124, and should be submitted on Russell 2000 Index (‘‘RUT options’’) and comment form (http://www.sec.gov/ or before February 10, 2016. P.M.-Settled options on the Standard & rules/sro.shtml); or For the Commission, by the Division of Poor’s 500 (‘‘SPXPM options’’). The text • Send an email to rule-comments@ Trading and Markets, pursuant to delegated of the proposed rule change is provided 50 sec.gov. Please include File Number SR– authority. below. BATS–2015–124 on the subject line. Robert W. Errett, (additions are underlined; deletions Deputy Secretary. Paper Comments are [bracketed]) [FR Doc. 2016–00896 Filed 1–19–16; 8:45 am] * * * * * • Send paper comments in triplicate BILLING CODE 8011–01–P to Secretary, Securities and Exchange Chicago Board Options Exchange, Commission, 100 F Street NE., Incorporated Washington, DC 20549–1090. SECURITIES AND EXCHANGE Rules COMMISSION All submissions should refer to File * * * * * Number SR–BATS–2015–124. This file [Release No. 34–76895; File No. SR–CBOE– number should be included on the 2015–121] Rule 8.3. Appointment of Market- subject line if email is used. To help the Makers Commission process and review your Self-Regulatory Organizations; (a)–(b) No change. Chicago Board Options Exchange, comments more efficiently, please use (c) Market-Maker Appointments. only one method. The Commission will Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Absent an exemption by the Exchange, post all comments on the Commission’s an appointment of a Market-Maker Internet Web site (http://www.sec.gov/ Rule Change To Amend Rule 8.3 confers the right to quote electronically rules/sro.shtml). Copies of the Relating to Appointment Costs and in open outcry in the Market- submission, all subsequent January 13, 2016. Maker’s appointed classes during amendments, all written statements Pursuant to section 19(b)(1) of the with respect to the proposed rule Regular Trading Hours as described Securities Exchange Act of 1934 (the below. Subject to paragraph (e) below, a change that are filed with the 1 2 ‘‘Act’’), and Rule 19b-4 thereunder, Market-Maker may change its appointed Commission, and all written notice is hereby given that on December communications relating to the classes upon advance notification to the 31, 2015, Chicago Board Options Exchange in a form and manner proposed rule change between the Exchange, Incorporated (the ‘‘Exchange’’ prescribed by the Exchange. Commission and any person, other than or ‘‘CBOE’’) filed with the Securities those that may be withheld from the and Exchange Commission (the (i) Hybrid Classes. Subject to public in accordance with the ‘‘Commission’’) the proposed rule paragraphs (c)(iv) and (e) below, a provisions of 5 U.S.C. 552, will be change as described in Items I and II Market-Maker can create a Virtual available for Web site viewing and below, which Items have been prepared Trading Crowd (‘‘VTC’’) appointment, printing in the Commission’s Public by the Exchange. The Exchange filed the which confers the right to quote Reference Room, 100 F Street NE., proposal as a ‘‘non-controversial’’ electronically during Regular Trading Washington, DC 20549 on official proposed rule change pursuant to Hours in an appropriate number of business days between the hours of section 19(b)(3)(A)(iii) of the Act 3 and Hybrid classes (as defined in Rule 10:00 a.m. and 3:00 p.m. Copies of such Rule 19b-4(f)(6) thereunder.4 The 1.1(aaa)) selected from ‘‘tiers’’ that have filing also will be available for Commission is publishing this notice to been structured according to trading inspection and copying at the principal solicit comments on the proposed rule volume statistics, except for the AA tier. office of the Exchange. All comments change from interested persons. received will be posted without change; All classes within a specific tier will be the Commission does not edit personal I. Self-Regulatory Organization’s assigned an ‘‘appointment cost’’ identifying information from Statement of the Terms of Substance of depending upon its tier location. The submissions. You should submit only the Proposed Rule Change following table sets forth the tiers and information that you wish to make The Exchange proposes to amend related appointment costs. available publicly. All submissions CBOE Rule 8.3 relating to the

Appointment Tier Hybrid Option Classes cost

AA ...... • Options on the CBOE Volatility Index (VIX) ...... 499 • Options on the iShares Russell 2000 Index Fund (IWM) ...... 25 • Options on the NASDAQ 100 Index (NDX) ...... 50 • Options on the S&P 100 (OEX) ...... 40 • Options on Standard & Poor’s Depositary Receipts (SPY) ...... 25 • Options on the Russell 2000 Index (RUT) ...... [.25].50 • Options on the S&P 100 (XEO) ...... 10 • Morgan Stanley Retail Index Options (MVR) ...... 25 • Options on the iPath S&P 500 VIX Short-Term Futures Index ETN (VXX) ...... 10 • P.M.-Settled options on the Standard & Poor’s 500 (SPXPM) ...... [1.0].50 A* ...... Hybrid Classes 1–60 ...... 10 B* ...... Hybrid Classes 61–120 ...... 05 C* ...... Hybrid Classes 121–345 ...... 04 D* ...... Hybrid Classes 346–570 ...... 02

50 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. 4 17 CFR 240.19b–4(f)(6). 1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78s(b)(3)(A)(iii).

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Appointment Tier Hybrid Option Classes cost

E* ...... Hybrid Classes 571–999 ...... 01 F* ...... All Remaining Hybrid Classes ...... 001 * Excludes Tier AA.

(ii)—(vi) No change. each of RUT options and SPXPM site or obtain an additional trading (d)—(e) No change. options. permit (if necessary).8 * * * * * The Exchange believes increasing the 2. Statutory Basis The text of the proposed rule change appointment cost for RUT options is is also available on the Exchange’s Web The Exchange believes the proposed reasonable given its increase in trading rule change is consistent with the Act site (http://www.cboe.com/AboutCBOE/ volume on the Exchange and other CBOELegalRegulatoryHome.aspx), at and the rules and regulations competitive forces. For example, when the Exchange’s Office of the Secretary, thereunder applicable to the Exchange classes have higher volume, demand by and at the Commission’s Public and, in particular, the requirements of Reference Room. Market-Makers for appointments to section 6(b) of the Act.9 Specifically, the electronically quote in those classes Exchange believes the proposed rule II. Self-Regulatory Organization’s may increase, and thus it is appropriate change is consistent with the section Statement of the Purpose of, and to charge a higher appointment cost for 6(b)(5) 10 requirements that the rules of Statutory Basis for, the Proposed Rule that class.6 The Exchange notes that an exchange be designed to prevent Change even if a Market-Maker is unwilling to fraudulent and manipulative acts and In its filing with the Commission, the pay the higher appointment cost to practices, to promote just and equitable Exchange included statements maintain an appointment in RUT principles of trade, to foster cooperation concerning the purpose of and basis for options to quote electronically during and coordination with persons engaged the proposed rule change and discussed regular trading hours pursuant to Rule in regulating, clearing, settling, any comments it received on the 8.3(c)(i) (for example, because it would processing information with respect to, proposed rule change. The text of these need an additional trading permit to and facilitating transactions in statements may be examined at the cover the cost or because it would need securities, to remove impediments to places specified in Item IV below. The to eliminate appointments in other and perfect the mechanism of a free and Exchange has prepared summaries, set classes), the Market-Maker can continue open market and a national market forth in sections A, B, and C below, of to have an appointment in the class to system, and, in general, to protect the most significant aspects of such trade open outcry.7 investors and the public interest. statements. Additionally, the Exchange believes the The Exchange believes that decreasing A. Self-Regulatory Organization’s proposed rule change is consistent with the appointment cost for SPXPM 11 Statement of the Purpose of, and the section 6(b)(5) requirement that options is reasonable given its trading the rules of an exchange not be designed Statutory Basis for, the Proposed Rule volume and other competitive forces. Change to permit unfair discrimination between The Exchange believes the proposed customers, issuers, brokers, or dealers. 1. Purpose rule change will foster competition by Rebalancing of appointment costs The purpose of this rule change is to incentivizing more Market-Makers to does not raise any new or unique issues. amend CBOE Rule 8.3 relating to the obtain an appointment in SPXPM due to The Exchange reviews and rebalances appointment costs for options on RUT the lower appointment cost, which may appointment costs for Tier AA classes options and SPXPM options. CBOE increase liquidity in the class, as well as regularly and Tier A through F classes proposes to assign an appointment cost quote electronically in other Hybrid quarterly, both of which may result an of .50 to each of RUT options and option classes using the excess capacity increase in appointment costs of some SPXPM options, effective February 1, resulting from the decreased classes and a decrease in appointment 2016. appointment cost in SPXPM options. costs of other classes. The Exchange While the appointment costs of Tier The Exchange believes that the believes rebalancing appointment costs AA classes are not subject to quarterly appointment cost decrease for SPXPM of Tier AA classes based on trading rebalancing under Rule 8.3(c)(iv), the options will promote competition and volume and other competitive forces Exchange regularly reviews the efficiency. promotes just and equitable principles appointment costs of Tier AA classes to The Exchange will announce the new of trade. The Exchange believes ensure that they continue to be increasing the appointment cost for RUT appointment costs for RUT and SPXPM appropriate.5 The Exchange determines options promotes competition and options via Regulatory Circular at least appointment costs of Tier AA classes efficiency by aligning the appointment 10 business days before February 1, based on several factors, including, but cost with the higher demand for not limited to, competitive forces and 2016, which the Exchange believes appointments in that class and trading volume. After evaluating these provides Market-Makers with sufficient competitive forces related to that class. factors, the Exchange has determined to notice to update their appointments (if assign an appointment cost of .50 to necessary) via the appointments Web 8 The Exchange notes that this timeframe is consistent with the deadline to announce quarterly 5 The Exchange reviews the appointment costs of 6 This is demonstrated by the appointment costs rebalancing under Rule 8.3(c)(iv), which may result classes in Tiers A through F every calendar quarter of classes in Tiers A through F, which are based in an increase in appointment costs of some classes pursuant to an evaluation of trading volume solely on trading volume—classes with higher and a decrease in appointment costs of other statistics. The Exchange announces the quarterly volume have higher appointment costs. classes. rebalance via Regulatory Circular at least 10 7 See Rule 8.3(c)(ii) (which provides all Market- 9 15 U.S.C. 78f(b). business days before the rebalancing takes effect. Makers with an appointment to trade open outcry 10 15 U.S.C. 78f(b)(5). See Rule 8.3(c)(iv). in all Hybrid classes traded on the Exchange). 11 Id.

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The Exchange believes decreasing the Act 12 and Rule 19b–4(f)(6) 13 filing also will be available for appointment cost for SPXPM options thereunder. inspection and copying at the principal promotes competition and efficiency by At any time within 60 days of the office of the Exchange. All comments incentivizing more Market-Makers to filing of the proposed rule change, the received will be posted without change; obtain an appointment in SPXPM due to Commission summarily may the Commission does not edit personal the lower appointment cost, which may temporarily suspend such rule change if identifying information from increase liquidity in the class, as well as it appears to the Commission that such submissions. You should submit only quote electronically in other Hybrid action is necessary or appropriate in the information that you wish to make option classes using the excess capacity public interest, for the protection of available publicly. All submissions resulting from the decreased investors, or otherwise in furtherance of should refer to File Number SR–CBOE– appointment cost in SPXPM options. the purposes of the Act. If the 2015–121 and should be submitted on The Exchange believes this may result Commission takes such action, the or before February 10, 2016. in more liquidity and competitive Commission will institute proceedings For the Commission, by the Division of pricing, which ultimately benefits to determine whether the proposed rule Trading and Markets, pursuant to delegated investors. The proposed rule change change should be approved or authority.14 does not result in unfair discrimination, disapproved. Robert W. Errett, as the revised appointment costs for IV. Solicitation of Comments Deputy Secretary. RUT and SPXPM options will apply to [FR Doc. 2016–00905 Filed 1–19–16; 8:45 am] all Market-Makers. Interested persons are invited to submit written data, views, and BILLING CODE 8011–01–P B. Self-Regulatory Organization’s arguments concerning the foregoing, Statement on Burden on Competition including whether the proposed rule SECURITIES AND EXCHANGE CBOE does not believe that the change is consistent with the Act. COMMISSION proposed rule change will impose any Comments may be submitted by any of burden on competition that is not the following methods: Sunshine Act Meeting necessary or appropriate in furtherance Electronic Comments of the purposes of the Act. CBOE does Notice is hereby given, pursuant to • not believe that the proposed rule Use the Commission’s Internet the provisions of the Government in the change will impose any burden on comment form (http://www.sec.gov/ Sunshine Act, Pub. L. 94–409, that the rules/sro.shtml); or Securities and Exchange Commission intramarket competition that is not • necessary or appropriate in furtherance Send an email to rule-comments@ will hold a Closed Meeting on of the purposes of the Act because it sec.gov. Please include File Number SR– Thursday, January 21, 2016 at 2:00 p.m. will apply to all Market-Makers (and CBOE–2015–121 on the subject line. Commissioners, Counsel to the only Market-Makers can have Paper Comments Commissioners, the Secretary to the Commission, and recording secretaries appointments to quote electronically). • Send paper comments in triplicate will attend the Closed Meeting. Certain CBOE does not believe that the to Secretary, Securities and Exchange staff members who have an interest in proposed rule change will impose any Commission, 100 F Street NE., the matters also may be present. burden on intermarket competition that Washington, DC 20549–1090. is not necessary or appropriate in The General Counsel of the All submissions should refer to File furtherance of the purposes of the Act Commission, or her designee, has Number SR–CBOE–2015–121. This file because the proposed rule change only certified that, in her opinion, one or number should be included on the applies to CBOE’s Market-Maker more of the exemptions set forth in 5 subject line if email is used. To help the appointment process. The Exchange U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) Commission process and review your believes the proposed rule change will and 17 CFR 200.402(a)(3), (5), (7), 9(ii) comments more efficiently, please use promote competition, as discussed and (10), permit consideration of the only one method. The Commission will above. scheduled matter at the Closed Meeting. post all comments on the Commission’s Commissioner Piwowar, as duty C. Self-Regulatory Organization’s Internet Web site (http://www.sec.gov/ officer, voted to consider the items Statement on Comments on the rules/sro.shtml). Copies of the listed for the Closed Meeting in closed Proposed Rule Change Received From submission, all subsequent session. Members, Participants, or Others amendments, all written statements The subject matter of the Closed with respect to the proposed rule The Exchange neither solicited nor Meeting will be: change that are filed with the received comments on the proposed Institution and settlement of injunctive rule change. Commission, and all written communications relating to the actions; III. Date of Effectiveness of the proposed rule change between the Institution and settlement of Proposed Rule Change and Timing for Commission and any person, other than administrative proceedings; Commission Action those that may be withheld from the Consideration of amicus participation; Because the foregoing proposed rule public in accordance with the Post-argument discussion; and change does not: provisions of 5 U.S.C. 552, will be Other matters relating to enforcement A. Significantly affect the protection available for Web site viewing and proceedings. of investors or the public interest; printing in the Commission’s Public At times, changes in Commission B. impose any significant burden on Reference Room, 100 F Street NE., priorities require alterations in the competition; and Washington, DC 20549 on official scheduling of meeting items. C. become operative for 30 days from business days between the hours of For further information and to the date on which it was filed, or such 10:00 a.m. and 3:00 p.m. Copies of the ascertain what, if any, matters have been shorter time as the Commission may added, deleted or postponed, please designate, it has become effective 12 15 U.S.C. 78s(b)(3)(A). pursuant to section 19(b)(3)(A) of the 13 17 CFR 240.19b–4(f)(6). 14 17 CFR 200.30–3(a)(12).

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contact the Office of the Secretary at proposed rule change. The text of these Traders and retire the Series 56 (202) 551–5400. statements may be examined at the examination for Proprietary Traders, Dated: January 14, 2016. places specified in Item IV below. The and to establish S101 as the appropriate Brent J. Fields, Exchange has prepared summaries, set continuing education program for forth in sections A, B, and C below, of Securities Traders and retire the S501 Secretary. the most significant aspects of such continuing education program for [FR Doc. 2016–01130 Filed 1–15–16; 4:15 pm] statements. Proprietary Traders, from and after BILLING CODE 8011–01–P January 4, 2016. The Exchange also A. Self-Regulatory Organization’s amended its rules to provide for Web- Statement of the Purpose of, and based delivery of the continuing SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule education Regulatory Element for COMMISSION Change registered persons from and after [Release No. 34–76892; File No. SR–MIAX– 1. Purpose January 4, 2016.5 2016–01] The purpose of the proposed rule In accordance with MIAX’s amended rules relating to the new Securities Self-Regulatory Organizations; Miami change is to amend the Fee Schedule to delete the Continuing Education Fees Trader registration category, individual International Securities Exchange LLC; Members and associated persons of Notice of Filing and Immediate and the Qualification Examination Fee 6 which relate to the Series 56 registration Members engaged in proprietary Effectiveness of a Proposed Rule trading, the execution of transactions on Change To Amend Its Fee Schedule category under the Regulatory Fees section of the Fee Schedule. The an agency basis, or the direct January 13, 2016. Financial Industry Regulatory Authority supervision of such activities, with Pursuant to the provisions of Section (‘‘FINRA’’) is retiring the Proprietary respect to transactions in equity, 19(b)(1) of the Securities Exchange Act Traders Qualification Examination preferred or convertible debt securities, of 1934 (‘‘Act’’) 1 and Rule 19b–4 (Series 56) and the S501 Proprietary or foreign currency options on the thereunder,2 notice is hereby given that Traders Continuing Education Program Exchange, will be required to register on January 12, 2016, Miami and replacing them with the Securities with the Exchange as Securities Traders International Securities Exchange LLC Trader Qualification Examination and be qualified by passing the new (‘‘MIAX’’ or ‘‘Exchange’’) filed with the (Series 57) and the S101 Continuing Securities Trader qualification Securities and Exchange Commission Education Program, including via Web- examination (Series 57) being (‘‘Commission’’) a proposed rule change based delivery.3 implemented by FINRA, unless as described in Items I, II, and III below, Specifically, the Exchange proposes to grandfathered as provided for in the which Items have been prepared by the delete the (i) $60.00 Continuing Rules. In addition, the Series 57 Exchange. The Commission is Education Fee for Series 56 and (ii) examination replaces the Series 56 publishing this notice to solicit $195.00 Series 56 Examination Fee. The examination for those exchange comments on the proposed rule change Exchange also proposes to delete the registration categories, such as the from interested persons. phrase ‘‘except the Series 56’’ with Proprietary Trader Principal registration respect to the $100.00 Continuing category, where the Series 56 I. Self-Regulatory Organization’s Education Fee for All Registrations examination is currently an acceptable Statement of the Terms of Substance of 7 except the Series 56. The Exchange prerequisite. the Proposed Rule Change further proposes to add a (i) $55.00 The Exchange has further amended its The Exchange is filing a proposal to Continuing Education Fee for All Rules, in consultation with FINRA and amend the MIAX Options Fee Schedule Registrations if Web-based and (ii) the other exchanges, to provide for Web- (‘‘Fee Schedule’’) to eliminate certain $120.00 Series 57 Examination Fee. based delivery of the CE Regulatory Web CRD Fees which relate to Series 56 MIAX is proposing such Fee Schedule Element for registered persons. The and will no longer apply from and after amendments in consultation with personalized S101 CE Program will be January 4, 2016 and to include certain FINRA and the other exchanges, and the required CE Program for all Web CRD Fees which relate to Series 57 anticipates that the other exchanges will registered persons including Securities and Web-based delivery of continuing make corresponding changes to their Traders.8 education that will apply from and after respective fee schedules.4 Proposal January 4, 2016. The text of the proposed rule change Background The Exchange proposes to amend its is available on the Exchange’s Web site MIAX has amended its rules to Fee Schedule to delete the (i) $60.00 at http://www.miaxoptions.com/filter/ establish the Securities Trader and Continuing Education Fee for Series 56, wotitle/rule_filing, at MIAX’s principal Securities Trader Principal registration (ii) $195.00 Series 56 Examination Fee, office, and at the Commission’s Public categories, to establish the Series 57 and (iii) the phrase ‘‘except the Series Reference Room. examination as the appropriate 56’’ with respect to the $100.00 qualification examination for Securities Continuing Education Fee for All II. Self-Regulatory Organization’s

Statement of the Purpose of, and 5 3 See Securities Exchange Act Release Nos. 75783 See Securities Exchange Act Release No. 76691 Statutory Basis for, the Proposed Rule (August 28, 2015), 80 FR 53369 (September 3, 2015) (December 18, 2015), 80 FR 80425 (December 24, Change (approving SR–FINRA–2015–017) and 75581 (July 2015) (SR–MIAX–2015–71). 31, 2015), 80 FR 47018 (August 6, 2015) (approving 6 Other than any person associated with a In its filing with the Commission, the SR–FINRA–2015–015) collectively referred to Member whose trading activities are conducted Exchange included statements herein as the ‘‘FINRA Amendments’’. According to principally on behalf of an investment company concerning the purpose of and basis for the approval orders, FINRA’s expected effective that is registered with the Commission pursuant to the proposed rule change and discussed date for the FINRA Amendments is January 4, 2016. the Investment Company Act of 1940 and that 4 controls, is controlled by or is under common any comments it received on the See Securities Exchange Act Release Nos. 76391 (November 9, 2015), 80 FR 70862 (November 16, control, with the Member. See id. 2015) (SR–FINRA–2015–044) and 75581 (July 31, 7 See supra note 5. These amended rules will 1 15 U.S.C. 78s(b)(1). 2015), 80 FR 47018 (August 6, 2015) (SR–FINRA– become effective as of January 4, 2016. 2 17 CFR 240.19b–4. 2015–015). 8 Id.

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Registrations except the Series 56, since Members and persons associated with arguments concerning the foregoing, such CE fee will become applicable to Members. The proposed deletion of the including whether the proposed rule all registration categories without S501 Continuing Education Fees and change is consistent with the Act. exception. The Exchange further Series 56 Qualification Examination Fee Comments may be submitted by any of proposes to add a (i) $55.00 Continuing is further reasonable because such CE the following methods: Education Fee for All Registrations program and exam will be replaced by Electronic Comments which will be applicable for Web-based the S101 CE program (including via delivery of the CE Regulatory Element Web-based delivery) and Series 57 • Use the Commission’s Internet for registered persons, and (ii) $120.00 Qualification Examination program. In comment form (http://www.sec.gov/ Series 57 Examination Fee which will addition, the Exchange believes that the rules/sro.shtml); or be applicable with respect to the new fees added to the Fee Schedule and • Send an email to rule-comments@ Securities Trader Qualification amended fee are equitably allocated and sec.gov. Please include File Number SR– Examination (Series 57). not unfairly discriminatory as they will MIAX–2016–01 on the subject line. The $100.00 fee charged for apply uniformly to all Members and Paper Comments administration of the S101 CE program persons associated with the Members • applicable to registrants required to take who choose [sic] to take the Series 57 Send paper comments in triplicate examinations other than the Series 56 examination and participate in the to Brent J. Fields, Secretary, Securities will remain in effect, and become continuing education program through and Exchange Commission, 100 F Street applicable to all registrants, if a CE FINRA. NE., Washington, DC 20549–1090. session is conducted at a testing center All submissions should refer to File from January 4, 2016 through no later B. Self-Regulatory Organization’s Number SR–MIAX–2016–01. This file than six months thereafter when the CE Statement on Burden on Competition number should be included on the program will no longer be offered at The Exchange does not believe that subject line if email is used. To help the testing centers. A new $55.00 fee will be the proposed rule change will result in Commission process and review your applicable to all registrants from and any burden on competition that is not comments more efficiently, please use after January 4, 2016 for Web-based necessary or appropriate in furtherance only one method. The Commission will administration of the S101 CE program. of the purposes of the Act. The post all comments on the Commission’s The $195.00 fee currently charged for Exchange further believes that the Internet Web site (http://www.sec.gov/ the Series 56 examination will be proposal does not impose any burden rules/sro.shtml). replaced with a $120.00 fee for the on competition because it believes that Copies of the submission, all Series 57 examination from and after the other exchanges will also be making subsequent amendments, all written January 4, 2016. Therefore, the the same changes to their fee statements with respect to the proposed Exchange is proposing to add the $55.00 schedules.12 rule change that are filed with the Web-based delivery CE fee and $120.00 Commission, and all written Series 57 examination fee to the current C. Self-Regulatory Organization’s communications relating to the Fee Schedule. Additionally, the $60.00 Statement on Comments on the proposed rule change between the fee currently charged for administration Proposed Rule Change Received From Commission and any person, other than of the S501 CE Program applicable to Members, Participants, or Others those that may be withheld from the Series 56 is being retired from and after Written comments were neither public in accordance with the January 4, 2016. Therefore, the solicited nor received. provisions of 5 U.S.C. 552, will be Exchange is proposing to delete both the III. Date of Effectiveness of the available for Web site viewing and $195.00 Series 56 examination fee and Proposed Rule Change and Timing for printing in the Commission’s Public $60.00 S501 CE fee from the current Fee Commission Action Reference Room, 100 F Street NE., Schedule. Washington, DC 20549, on official Since the Series 57 and the S101 CE The foregoing rule change has become business days between the hours of Program will fall within FINRA’s effective pursuant to Section 10:00 a.m. and 3:00 p.m. Copies of the jurisdiction, the related fees will be 19(b)(3)(A)(ii) of the Act,13 and Rule filing also will be available for billed directly through FINRA 19b–4(f)(2) 14 thereunder. At any time inspection and copying at the principal commencing as of January 4, 2016.9 within 60 days of the filing of the office of the Exchange. All comments proposed rule change, the Commission 2. Statutory Basis received will be posted without change; summarily may temporarily suspend the Commission does not edit personal The Exchange believes that its such rule change if it appears to the identifying information from proposal to amend its Fee Schedule is Commission that such action is submissions. You should submit only consistent with Section 6(b) of the Act 10 necessary or appropriate in the public information that you wish to make in general, and furthers the objectives of interest, for the protection of investors, available publicly. Section 6(b)(4) of the Act 11 in or otherwise in furtherance of the All submissions should refer to File particular, in that it is an equitable purposes of the Act. If the Commission Number SR–MIAX–2016–01 and should allocation of reasonable fees and other takes such action, the Commission shall be submitted on or before February 10, charges among Exchange members and institute proceedings to determine 2016. issuers and other persons using its whether the proposed rule should be For the Commission, by the Division of facilities. approved or disapproved. Trading and Markets, pursuant to delegated The Exchange believes that the authority.15 proposal is fair, equitable and not IV. Solicitation of Comments Robert W. Errett, unreasonably discriminatory because Interested persons are invited to the fee change applies equally to all submit written data, views, and Deputy Secretary. [FR Doc. 2016–00971 Filed 1–19–16; 8:45 am] 9 See supra note 4. 12 See supra notes 3 and 4. BILLING CODE 8011–01–P 10 15 U.S.C. 78f(b). 13 15 U.S.C. 78s(b)(3)(A)(ii). 11 15 U.S.C. 78f(b)(4). 14 17 CFR 240.19b–4(f)(2). 15 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE OCC is proposing to: (i) Extend the syndicated credit facility 7) and the Non- COMMISSION existing confirmation (‘‘Existing Bank Liquidity Facility. OCC states that Confirmation’’) 4 for one year under the the Non-Bank Liquidity Facility is [Release No. 34–76821; File No. SR–OCC– Master Repurchase Agreement (‘‘MRA’’) designed to reduce the concentration of 2015–805] with the same terms and conditions; (ii) OCC’s counterparty exposure in its Self-Regulatory Organizations; The enter into a second confirmation overall liquidity plan by diversifying its Options Clearing Corporation; Notice (‘‘Second Confirmation,’’ and lender base among banks and non-bank, of No Objection to Advance Notice collectively with the Existing non-clearing member institutional Filing, as Modified by Amendment Nos. Confirmation, ‘‘Confirmations’’) under investors, such as pension funds or 1, 2 and 3, Concerning The Options the MRA, also on the same terms and insurance companies. Clearing Corporation’s Non-Bank conditions except with a June 2016 The currently-approved Non-Bank Liquidity Facility expiration date; and (iii) maintain, Liquidity Facility is comprised of two between the Confirmations, an aggregate parts: The MRA and the Existing January 4, 2016. commitment amount of no less than $1 Confirmation, which contains certain On November 5, 2015, The Options billion and no greater than $1.5 billion individualized terms and conditions of Clearing Corporation (‘‘OCC’’) filed with under the Non-Bank Liquidity Facility transactions executed between OCC, an the Securities and Exchange with the existing institutional investor institutional investor and its agent. The Commission (‘‘Commission’’) the (‘‘Counterparty’’) and its agent.5 MRA is structured like a typical advance notice SR–OCC–2015–805 According to OCC, the Second repurchase arrangement in which the pursuant to Section 806(e)(1) of the Confirmation has the same terms, buyer (i.e., the Counterparty) purchases Payment, Clearing, and Settlement conditions, operations, and mechanics from OCC, from time to time, United Supervision Act of 2010 (‘‘Payment, as the Existing Confirmation, except for States government securities (‘‘Eligible Clearing and Settlement Supervision the expiration date and commitment Securities’’).8 Act’’) 1 and Rule 19b–4(n)(1)(i) under amount. Under the arrangement, OCC, as the the Securities Exchange Act of 1934 OCC also has requested that the seller, transfers Eligible Securities to the (‘‘Exchange Act’’).2 On November 11, Commission not object to its proposal to buyer in exchange for a payment by the 2015, OCC filed Amendment No.1 to the renew the Existing Confirmation and the buyer to OCC in immediately available advance notice, which amended and Second Confirmation annually on the funds (‘‘Purchase Price’’). The buyer 6 replaced in its entirety the advance same terms and conditions with the will simultaneously agree to transfer the notice as originally submitted on same Counterparty without filing an purchased securities back to OCC at a November 5, 2015. On November 17, advance notice, provided that there has specified later date (‘‘Repurchase Date’’) 2005, OCC filed Amendment No. 2 to been no negative change to the or on OCC’s demand against the transfer the advance notice, which partially Counterparty’s credit profile or the of funds by OCC to the buyer in an amended the advance notice as Counterparty has not experienced a amount equal to the outstanding submitted on November 11, 2015. On material adverse change (as defined Purchase Price plus the accrued and November 24, 2015, OCC filed below) since entering into the unpaid price differential (together, Amendment No. 3 to the advance Confirmations or the latest renewal of ‘‘Repurchase Price’’), which is the interest component of the Repurchase notice, which amends and replaces in the either Confirmation, whichever is Price. its entirety the advance notice as later. The Confirmations establish tailored submitted on November 11, 2015, and Background provisions of the actual repurchase amended on November 17, 2015. The OCC’s overall liquidity plan includes transactions permitted under the MRA. advance notice was published for access to a diverse set of liquidity OCC provides that, by entering into the comment in the Federal Register on funding sources, which include bank Confirmation, the Counterparty is December 18, 2015.3 The Commission borrowing arrangements (i.e., OCC’s obligated to enter repurchase did not receive any comments on the transactions even if OCC experiences a advance notice publication. This 4 The Existing Confirmation is the original $1 material adverse change,9 to make funds publication serves as a notice that the billion Master Confirmation executed under the available to OCC within 60 minutes of Commission does not object to the Master Repurchase Agreement, as described in OCC’s delivery of eligible securities, and changes set forth in the advance notice. Securities Exchange Act Release No. 73979 (January 2, 2015), 80 FR 1062 (January 8, 2015) (SR–OCC– to not rehypothecate purchased I. Description of the Advance Notice 2014–809). securities.10 The Confirmations also set 5 OCC represents that it intends for the OCC filed this advance notice to commitment amount of the extended Existing 7 See Securities Exchange Act Release No. 76062 renew its non-bank liquidity facility Confirmation to be $500 million and the (October 1, 2015), 80 FR 64028 (October 22, 2015) (‘‘Non-Bank Liquidity Facility’’) with commitment amount of the Second Confirmation to (SR–OCC–2015–803). certain proposed changes. Specifically, be $500 million. OCC states that it will have the 8 OCC states that it will use United States flexibility to change the commitment amount of government securities that are included in clearing each Confirmation at each renewal provided that at fund contributions by clearing members and margin 1 12 U.S.C. 5465(e)(1). The Financial Stability all times OCC would maintain the aggregate deposits of any clearing member that has been Oversight Council designated OCC a systemically commitment level between the two Confirmations suspended by OCC for the repurchase important financial market utility (‘‘FMU’’) on July under the Non-Bank Liquidity Facility at no less arrangements. Article VIII, Section 5(e) of OCC’s By- 18, 2012. See Financial Stability Oversight Council than $1 billion and no greater than $1.5 billion. Laws and OCC Rule 1104(b) authorize OCC to 2012 Annual Report, Appendix A, http:// According to OCC, the MRA and any effective obtain funds from third parties through securities www.treasury.gov/initiatives/fsoc/Documents/ Confirmation(s) constitute the Non-Bank Liquidity repurchases using these sources. The officers who 2012%20Annual%20Report.pdf. Therefore, OCC is Facility. may exercise this authority include the Executive required to comply with the Payment, Clearing, and 6 For the purposes of clarity, OCC states that it Chairman and the President. Settlement Supervision Act and file advance will not consider changes to the costs of entering 9 OCC represents that, in this context, a ‘‘material notices with the Commission. See 12 U.S.C. into a Confirmation, or the rate of a transaction adverse change’’ is defined as a change that would 5465(e). permitted under a Confirmation, to be a change to have a materially adverse effect on the business or 2 17 CFR 240.19b–4(n)(1)(i). a term or condition that will require the filing of financial condition of a company. 3 Securities Exchange Act Release No. 76641 a subsequent advance notice filing provide that 10 See Securities Exchange Act Release No. 73979 (December 14, 2015), 80 FR 79114 (December 18, such costs or rate is at the then prevailing market (January 2, 2015), 80 FR 1062 (January 8, 2015) (SR– 2015) (SR–OCC–2015–805). rate. OCC–2014–809).

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forth the terms and maximum dollar which are its syndicated credit facility 11 advance notice, its stated purpose is amounts of the transaction permitted and the Existing Confirmation, currently instructive.12 The stated purpose is to under the MRA. expire each year in October and January, mitigate systemic risk in the financial respectively. OCC believes that system and promote financial stability Extension of the Existing Confirmation staggering the expiration dates of by, among other things, promoting To provide continued access to Confirmations under the Non-Bank uniform risk management standards for liquidity resources, OCC proposes to Liquidity Facility in relationship to each systemically important FMUs and extend the Existing Confirmation under other and in relationship to the other strengthening the liquidity of the Non-Bank Liquidity Facility. OCC liquidity funding source in OCC’s systemically important FMUs.13 Section represents that the extended Existing overall liquidity plan will mitigate the 805(a)(2) of the Payment, Clearing and Confirmation will have the same terms, risk of a precipitous decrease in OCC’s Settlement Supervision Act 14 conditions, operations, and mechanics access to liquidity as a result of a an authorizes the Commission to prescribe as the Existing Confirmation entered unsuccessful renewal of any one risk management standards for the into under the Non-Bank Liquidity funding source. payment, clearing, and settlement Facility, but for the expiration date, activities of designated clearing entities Aggregate Commitment Amount Under which will be January 2017, and the and financial institutions engaged in the Non-Bank Liquidity Facility commitment amount, which will be designated activities for which it is the $500 million. OCC’s current aggregate committed Supervisory Agency or the appropriate According to OCC, the extended funding available under its Non-Bank financial regulator. Section 805(b) of the Existing Confirmation will continue to Liquidity Facility ($1.0 billion) and its Payment, Clearing and Settlement state that OCC is entitled to receive bank syndicated credit facility ($2.0 Supervision Act 15 states that the funds from the Non-Bank Liquidity billion) is $3.0 billion. OCC proposes to objectives and principles for the risk Facility within 60 minutes of requesting maintain the aggregate commitment management standards prescribed under such monies and delivering eligible amount under the Non-Bank Liquidity Section 805(a) shall be to: securities. OCC also states that the buyer Facility at no lower than $1.0 billion • Promote robust risk management; will not be able to rehypothocate and no higher than $1.5 billion, so that • promote safety and soundness; eligible securities sold to it in a Non- the aggregate total funding available is • reduce systemic risks; and Bank Liquidity Facility transaction, and between $3.0 billion and $3.5 billion. • support the stability of the broader OCC will be able to substitute eligible OCC believes that this will provide it financial system. securities held by the buyer. with the flexibility to: (i) React to The Commission has adopted risk Additionally, OCC represents that it will shifting liquidity needs in a swift management standards under Section have early termination rights for any manner within funding parameters 805(a)(2) of the Payment, Clearing and transaction entered into under the Non- approved by the Commission, and (ii) Settlement Supervision Act 16 and the Bank Liquidity Facility as well as have reallocate the amount of funding Exchange Act (‘‘Clearing Agency additional protections in the case of available under the Confirmations at the Standards’’).17 The Clearing Agency ‘‘material adverse changes’’ to OCC. For time either of the Confirmations is to be Standards require registered clearing example, OCC states that it will require renewed to manage liquidity needs and agencies to establish, implement, that material adverse changes to OCC, enhance its ability to ensure continual maintain, and enforce written policies such as the failure of a clearing member, liquidity resources. and procedures that are reasonably will not be deemed a default event. OCC OCC states that it will continue to designed to meet certain minimum believes this provision is important evaluate the aggregate commitment requirements for their operations and because it provides OCC with certainty amount of the Non-Bank Liquidity risk management practices on an of funding, even in adverse or difficult Facility so that OCC’s available liquidity ongoing basis.18 Therefore, it is market conditions. According to OCC, resources remain properly calibrated to appropriate for the Commission to this commitment to provide funding its activities and settlement obligations, review advance notices against these will be a key distinction from ordinary and to the extent: (i) OCC determines its Clearing Agency Standards and the repurchase arrangements and a key liquidity needs merit funding levels objectives and principles of these risk requirement for OCC. below the $1.0 billion or above the $1.5 management standards as described in billion thresholds for the Non-Bank Section 805(b) of the Payment, Clearing Second Confirmation Liquidity Facility, (ii) OCC should seek and Settlement Supervision Act.19 OCC proposes to enter into the to change the terms and conditions of The Commission believes that the Second Confirmation that will permit the Non-Bank Liquidity Facility, or (iii) proposal in the advance notice is transactions of up to $500 million and the Counterparty has experienced a consistent with the Clearing Agency will expire in June 2016. According to negative change to its credit profile or Standards, in particular, Exchange Act OCC, the Second Confirmation will a material adverse change since entering Rule 17Ad–22(d)(11).20 Exchange Act have the same terms, conditions, into the Confirmations or the latest Rule 17Ad–22(d)(11) 21 requires that operations, and mechanics as the renewal of the either Confirmation, OCC Existing Confirmation of the Non-Bank will submit a proposal with the 12 See 12 U.S.C. 5461(b). Liquidity Facility, but for the Commission for approval first. 13 Id. 14 commitment amount and the term. 12 U.S.C. 5464(a)(2). II. Discussion and Commission 15 12 U.S.C. 5464(b). OCC believes that the Second Findings 16 12 U.S.C. 5464(a)(2). Confirmation, with a June 2016 17 See Exchange Act Rule 17Ad–22. 17 CFR expiration date, will help ensure Although the Payment, Clearing and 240.17Ad–22. Securities Exchange Act Release No. continued access to a minimum amount Settlement Supervision Act does not 68080 (October 22, 2012), 77 FR 66220 (November of liquidity to OCC by staggering the specify a standard of review for an 2, 2012) (S7–08–11). 18 Id. expiration of the committed liquidity 11 See Securities Exchange Act Release No. 76062 19 12 U.S.C. 5464(b). funding sources. OCC’s current (October 1, 2015), 80 FR 64028 (October 22, 2015) 20 17 CFR 240.17Ad–22(d)(11). committed liquidity funding sources, (SR–OCC–2015–803). 21 Id.

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registered clearing agencies ‘‘establish, For these reasons, stated above, the II. Self-Regulatory Organization’s implement, maintain and enforce Commission does not object to the Statement of the Purpose of, and written policies and procedures advance notice. Statutory Basis for, the Proposed Rule reasonably designed to, as applicable Change VI. Conclusion . . . establish default procedures that In its filing with the Commission, the ensure that the clearing agency can take It is therefore noticed, pursuant to Exchange included statements timely action to contain losses and Section 806(e)(1)(I) of the Payment, concerning the purpose of and basis for liquidity pressures and to continue Clearing and Settlement Supervision the proposed rule change and discussed meeting its obligations in the event of a Act,24 that the Commission DOES NOT any comments it received on the participant default.’’ The proposal will OBJECT to the proposed change, and proposed rule change. The text of these allow OCC to obtain short-term funds to authorizes OCC to implement the statements may be examined at the address liquidity demands arising out of change in the advance notice (SR–OCC– places specified in Item IV below. The the default or suspension of a clearing 2015–805) as of the date of this notice. Exchange has prepared summaries, set member, in anticipation of a potential By the Commission. default or suspension of clearing forth in sections A, B, and C below, of Robert W. Errett, members or the insolvency of a bank or the most significant aspects of such statements. another securities or commodities Deputy Secretary. clearing organization. The changes [FR Doc. 2016–00976 Filed 1–19–16; 8:45 am] A. Self-Regulatory Organization’s should help OCC minimize losses in the BILLING CODE 8011–01–P Statement of the Purpose of, and event of such a default, suspension, or Statutory Basis for, the Proposed Rule insolvency, by allowing it to obtain Change funds on extremely short notice to SECURITIES AND EXCHANGE ensure clearance and settlement of COMMISSION 1. Purpose transactions in options and other The purpose of the proposed rule contracts without interruption. [Release No. 34–76888; File No. SR–CBOE– change is to extend the contributor 2015–122] Therefore, the Commission believes that compensation structure of the the proposal is consistent with Exchange’s COPS,5 specifically, the Exchange Act Rule 17Ad–22(d)(11).22 Self-Regulatory Organizations; Chicago Board Options Exchange, COPS data revenue-sharing plan. The By ensuring that OCC has continued Incorporated; Notice of Filing and Exchange is not proposing to change the access to its Non-Bank Liquidity Immediate Effectiveness of a Proposed fees for COPS data. Facility, the Commission believes the Rule Change Relating to COPS Background proposal contained in the Advance Notice is consistent with the objectives January 13, 2016. COPS provides market participants and principles described in Section Pursuant to Section 19(b)(1) of the with an ‘‘end-of-day’’ 6 file and 23 805(b) of the Act, including that it is Securities Exchange Act of 1934 (the ‘‘historical’’ 7 files of valuations for consistent with promoting robust risk ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Flexible Exchange (‘‘FLEX’’) 8 options management, and promoting safety and notice is hereby given that on December and certain over-the-counter (‘‘OTC’’) soundness. The Commission believes 31, 2015, Chicago Board Options options (collectively, ‘‘COPS Data’’). that the proposal is consistent with Exchange, Incorporated (the ‘‘Exchange’’ Market Data Express, LLC (‘‘MDX’’), an promoting robust risk management or ‘‘CBOE’’) filed with the Securities affiliate of CBOE, offers COPS Data for because it allows OCC to maintain and Exchange Commission (the sale to all market participants. COPS access to a committed liquidity resource ‘‘Commission’’) the proposed rule Data is available to ‘‘Subscribers’’ for to help meet its settlement obligations change as described in Items I and II internal use and internal distribution in a manner that is timely and does not below, which Items have been prepared only, and to ‘‘Customers’’ who, pursuant increase OCC’s counterparty exposure to by the Exchange. The Exchange filed the to a written vendor agreement between clearing members or clearing member proposal as a ‘‘non-controversial’’ MDX and a Customer, may distribute affiliated commercial banking proposed rule change pursuant to the COPS Data externally (i.e., act as a institutions. In addition, the proposal Section 19(b)(3)(A)(iii) of the Act 3 and will provide OCC the ability to adjust Rule 19b–4(f)(6) thereunder.4 The 5 See Securities Exchange Act Release Nos. 34– the aggregate commitment level of its Commission is publishing this notice to 67813 (September 10, 2012), 77 FR 56903 Non-Bank Liquidity Facility—to no solicit comments on the proposed rule (September 14, 2012) (SR–CBOE–2012–083); 34– lower than $1 billion and no greater 67928 (September 26, 2012), 77 FR 60161 (October change from interested persons. 2, 2012) (SR–CBOE–2012–090); 34–70705 (October than $1.5 billion—to meet changing 17, 2013), 78 FR 63265 (October 23, 2013) (SR– liquidity demands. The Commission I. Self-Regulatory Organization’s CBOE–2013–097); 34–70845 (November 12, 2013), also believes that the proposal is Statement of the Terms of Substance of 78 FR 69168 (November 18, 2013) (SR–CBOE– the Proposed Rule Change 2013–104); 34–72621 (July 16, 2014), 79 FR 42616 consistent with promoting safety and (July 22, 2014) (SR–CBOE–2014–057); 34–74159 soundness of OCC. As stated above, the The Exchange proposes to extend the (January 28, 2015), 80 FR 5863 (February 23, 2015) Non-Bank Liquidity Facility now will (SR–CBOE–2015–007); and 34–74937 (May 12, contributor compensation structure of 2015), 80 FR 28319 (May 18, 2015) (SR–CBOE– include two Confirmations with the Customized Option Pricing Service staggered expiration dates, which 2015–046). (‘‘COPS’’). There is no new proposed 6 ‘‘End of day’’ refers to data that is distributed should mitigate the risk of a precipitous rule text. prior to the opening of the next trading day. decrease in liquidity resources in the 7 ‘‘Historical’’ COPS data consists of COPS data that is over one month old (i.e., copies of the ‘‘end- event OCC is unable to renew any one 24 12 U.S.C. 5465(e)(1)(I). of-day’’ COPS file that are over one month old). of its committed liquidity sources. 1 15 U.S.C. 78s(b)(1). 8 FLEX options are exchange traded options that 2 17 CFR 240.19b–4. provide investors with the ability to customize 22 Id. 3 15 U.S.C. 78s(b)(3)(A)(iii). basic option features including size, expiration 23 12 U.S.C. 5464(b). 4 17 CFR 240.19b–4(f)(6). date, exercise style, and certain exercise prices.

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vendor) and/or use and distribute the participating CBOE TPHs. For each customized options where the strike COPS Data internally. value provided by MDX through COPS, price is expressed in percentage terms COPS Data consists of indicative 9 MDX includes a corresponding (the valuations provided to MDX must values for four categories of indication of the number of TPH also be expressed in percentage terms), ‘‘customized’’ options. The first category contributors that factored into that and (v) exotic options. In addition, of options is all open series of FLEX value. interested CBOE TPHs must participate options listed on any exchange that in a testing phase with MDX. The values offers FLEX options for trading.10 The CBOE TPHs that meet the following objective qualification criteria are submitted by a TPH during the testing second category is OTC options that phase and in live production must meet have the same degree of customization allowed to contribute values to MDX for purposes of producing COPS Data. MDX’s quality control standards as FLEX options. The third category designed to ensure the integrity and includes options with strike prices Interested CBOE TPHs must be approved by the Exchange, have the accuracy of COPS Data. MDX has expressed in percentage terms. Values implemented procedures including for such options are expressed in ability to provide valuations to MDX in a timely manner each day after the close monthly performance reviews to help percentage terms and are theoretical ensure the integrity and accuracy of values.11 The fourth category includes of trading, and sign a services agreement COPS Data. ‘‘exotic’’ options.12 with CBOE. Interested CBOE TPHs must The Exchange uses values produced also have the ability to provide both To help ensure that MDX receives by CBOE Trading Permit Holders indicative and implied volatility numerous values from multiple TPHs (‘‘TPHs’’) to produce COPS Data. valuations on several different types of on a consistent basis, MDX shares Participating CBOE TPHs submit values options, including (i) options on all revenue from the sale of COPS Data to MDX on options series specified by open FLEX series traded on any with participating CBOE TPHs.13 The MDX on a daily basis. These values are exchange that offers FLEX options for amount of revenue that MDX shares generated by the TPHs’ internal pricing trading, (ii) options on any potential with participating TPHs is a percentage models. The valuations that MDX new FLEX options series, (iii) OTC of the total revenue received by MDX ultimately publishes are an average of options that have the same degree of from the sale of COPS Data. The revenue multiple contributions of values from customization as FLEX options, (iv) sharing is based on the following table:

Total revenue Number of participating TPHs share Revenue share per TPH % %

3 ...... 21 7 4 ...... 24 6 5 or more ...... 30 30 divided by the number of partici- pating TPHs.

If only three TPHs participate, MDX Pursuant to that proposed rule change, 2015, COPS revenue would be at a level shares 21% of total revenue with each as of May 1, 2015, all revenue from the such that the COPS contributors would TPH receiving a 7% share. If four TPHs sale of COPS Data was paid to COPS receive a revenue share roughly in line participate, MDX shares 24% of total contributors, with revenue divided with the fixed payments they received revenue with each TPH receiving a 6% equally among COPS contributors. As during the Fixed Payment Period. This share. If five or more TPHs participate, described in that proposed rule change, has not yet occurred. The payments to MDX shares 30% of total revenue MDX would transition back to the COPS contributors are intended to, at a divided equally among the TPHs. There revenue share plan described above on minimum, help COPS contributors are currently three participating TPHs. January 1, 2016. cover their costs of producing valuations for COPS while the Exchange In July 2014, the Exchange submitted Proposal a proposed rule change to, among other continues to grow the COPS business. things, temporarily change the COPS The Exchange proposes to extend the MDX will transition back to the revenue contributor compensation structure current COPS contributor compensation share plan described above on July 1, from a revenue sharing plan to a fixed structure for six months. All revenue 2016. payment structure for a six-month from the sale of COPS Data will 2. Statutory Basis period (‘‘Fixed Payment Period’’).14 In continue to be paid to COPS May 2015, the Exchange submitted a contributors through June 30, 2016. The The Exchange believes the proposed proposed rule change to change the revenue will continue to be divided rule change is consistent with the Act COPS contributor compensation equally among COPS contributors. The and the rules and regulations structure for the remainder of 2015.15 Exchange had hoped that at the end of thereunder applicable to the Exchange

9 ‘‘Indicative’’ values are indications of potential or lack of change, in the marketplace from one day charges a fee per option per day for ‘‘end-of-day’’ market prices only and as such are neither firm nor to the next when values are expressed in percentage COPS data. The amount of the fee is reduced based the basis for a transaction. terms. on the number of options valuations purchased. 10 Current FLEX options open interest spans over 12 Exotic options are options which are generally 14 See Securities Exchange Act Release No. 34– 2,000 series on over 300 different underlying traded OTC and are more complex than standard 72621 (July 16, 2014), 79 FR 42616 (July 22, 2014) securities. options, usually relating to determination of payoff. (SR–CBOE–2014–057). 11 These values are theoretical in that they are An exotic option may also include a non-standard 15 Securities Exchange Act Release No. 34–74937 indications of potential market prices for options underlying instrument, developed for a particular (May 12, 2015), 80 FR 28319 (May 18, 2015) (SR– that have not traded (i.e. do not yet exist). Market client or for a particular market. CBOE–2015–046). The Exchange is not proposing to participants sometimes express option values in 13 The fees that MDX charges for COPS Data are eliminate the revenue share plan, but rather extend percentage terms rather than in dollar terms set forth on the Price List on the MDX Web site its temporary suspension as described in this rule because they find it is easier to assess the change, (www.marketdataexpress.com). MDX currently filing.

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and, in particular, the requirements of C. Self-Regulatory Organization’s proposed rule change to be operative Section 6(b) of the Act.16 Specifically, Statement on Comments on the upon filing.25 the Exchange believes the proposed rule Proposed Rule Change Received From At any time within 60 days of the change is consistent with the Section Members, Participants, or Others filing of the proposed rule change, the 17 Commission summarily may 6(b)(5) requirements that the rules of The Exchange neither solicited nor an exchange be designed to prevent temporarily suspend such rule change if received comments on the proposed it appears to the Commission that such fraudulent and manipulative acts and rule change. practices, to promote just and equitable action is necessary or appropriate in the public interest, for the protection of principles of trade, to foster cooperation III. Date of Effectiveness of the investors, or otherwise in furtherance of and coordination with persons engaged Proposed Rule Change and Timing for Commission Action the purposes of the Act. If the in regulating, clearing, settling, Commission takes such action, the processing information with respect to, Because the foregoing rule does not (i) Commission will institute proceedings and facilitating transactions in significantly affect the protection of to determine whether the proposed rule securities, to remove impediments to investors or the public interest; (ii) change should be approved or and perfect the mechanism of a free and impose any significant burden on disapproved. open market and a national market competition; and (iii) become operative system, and, in general, to protect for 30 days from the date on which it IV. Solicitation of Comments investors and the public interest. was filed, or such shorter time as the Interested persons are invited to Additionally, the Exchange believes the Commission may designate if consistent submit written data, views, and proposed rule change is consistent with with the protection of investors and the arguments concerning the foregoing, the Section 6(b)(5) 18 requirement that public interest, provided that the self- including whether the proposed rule the rules of an exchange not be designed regulatory organization has given the change is consistent with the Act. to permit unfair discrimination between Commission written notice of its intent Comments may be submitted by any of to file the proposed rule change at least customers, issuers, brokers, or dealers. the following methods: five business days prior to the date of The Exchange believes the proposed filing of the proposed rule change or Electronic Comments rule change is not designed to permit such shorter time as designated by the • Use the Commission’s Internet unfair discrimination between CBOE Commission,20 the proposed rule comment form (http://www.sec.gov/ TPHs because all COPS data revenue change has become effective pursuant to rules/sro.shtml); or would be divided equally among TPH Section 19(b)(3)(A) of the Act 21 and • Send an email to rule-comments@ contributors for an additional six Rule 19b–4(f)(6) thereunder.22 sec.gov. Please include File Number SR– months. The Exchange believes the A proposed rule change filed under CBOE–2015–122 on the subject line. proposed rule change is consistent with Rule 19b–4(f)(6) 23 normally does not Paper Comments become operative prior to 30 days after the protection of investors and the • Send paper comments in triplicate the date of the filing. However, pursuant public interest in that it would provide to Secretary, Securities and Exchange to Rule 19b–4(f)(6)(iii),24 the incentive for all of the COPS Commission, 100 F Street NE., Commission may designate a shorter contributors to continue to participate Washington, DC 20549–1090. time if such action is consistent with the in COPS while the Exchange continues All submissions should refer to File to grow the COPS business, thereby protection of investors and the public interest. The Exchange has asked the Number SR–CBOE–2015–122. This file helping to maintain the quality of COPS number should be included on the Data. Commission to waive the 30-day operative delay so that the proposal may subject line if email is used. To help the B. Self-Regulatory Organization’s become operative immediately upon Commission process and review your Statement on Burden on Competition filing. The Exchange believes that the comments more efficiently, please use proposal is consistent with the only one method. The Commission will CBOE does not believe that the protection of investors and the public post all comments on the Commission’s proposed rule change will impose any interest because it help COPS Internet Web site (http://www.sec.gov/ burden on competition that is not contributors cover their costs of rules/sro.shtml). Copies of the necessary or appropriate in furtherance producing valuations for COPS while submission, all subsequent of the purposes of the Act. To the the Exchange continues to grow the amendments, all written statements contrary, the Exchange believes the COPS business, and thereby assist the with respect to the proposed rule proposal is procompetitive in that it will Exchange with maintaining its current change that are filed with the incentivize COPS contributors to roster of TPH contributors. The Commission, and all written communications relating to the continue producing quality valuations Commission believes that it is proposed rule change between the to help keep COPS competitive with consistent with the protection of Commission and any person, other than other similar market data products.19 investors and the public interest to waive the 30-day operative delay so that those that may be withheld from the the proposal may take effect upon filing public in accordance with the and allow the current COPS contributor provisions of 5 U.S.C. 552, will be 16 15 U.S.C. 78f(b). compensation structure to continue available for Web site viewing and 17 15 U.S.C. 78f(b)(5). without interruption. For this reason, printing in the Commission’s Public 18 Id. the Commission designates the Reference Room, 100 F Street NE., 19 Market data vendors including Washington, DC 20549 on official SuperDerivatives, Markit, Prism, and Bloomberg’s 20 The Exchange has fulfilled this requirement. BVAL service produce option value data that is 25 For purposes only of waiving the 30-day 21 similar to COPS Data. The Options Clearing 15 U.S.C. 78s(b)(3)(A). operative delay, the Commission has also Corporation (‘‘OCC’’) also produces FLEX option 22 17 CFR 240.19b–4(f)(6). considered the proposed rule’s impact on value data that is similar to the FLEX option value 23 17 CFR 240.19b–4(f)(6). efficiency, competition, and capital formation. See data that is included in COPS. 24 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f).

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business days between the hours of proposed rule change, or institute I. Self-Regulatory Organization’s 10:00 a.m. and 3:00 p.m. Copies of the proceedings to determine whether these Statement of the Terms of the Substance filing also will be available for proposed rule changes should be of the Proposed Rule Change inspection and copying at the principal disapproved. The 45th day for this filing The Exchange proposes to amend the office of the Exchange. All comments is January 14, 2016. fees for NYSE Arca Options Product, as received will be posted without change; The Commission is extending the 45- set forth on the NYSE Arca Options the Commission does not edit personal day time period for Commission action Proprietary Market Data Fee Schedule identifying information from on the proposed rule change. The (‘‘Fee Schedule’’). The Exchange submissions. You should submit only Commission finds that it is appropriate proposes to establish a multiple data information that you wish to make to designate a longer period within feed fee effective January 1, 2016. available publicly. All submissions which to take action on the proposed Specifically, the Exchange proposes to should refer to File Number SR–CBOE– rule change so that it has sufficient time establish a new monthly fee, the 2015–122 and should be submitted on to consider and take action on the ‘‘Multiple Data Feed Fee,’’ that would or before February 10, 2016. Exchange’s proposed rule change. apply to data recipients that take a data For the Commission, by the Division of Accordingly, pursuant to section feed for NYSE Arca Options Product in Trading and Markets, pursuant to delegated 5 more than two locations. Data recipients authority.26 19(b)(2)(A)(ii)(I) of the Act and for the reasons stated above, the Commission taking NYSE Arca Options Product in Robert W. Errett, designates February 28, 2016 as the date more than two locations would be Deputy Secretary. by which the Commission should either charged $200 per additional location per [FR Doc. 2016–00899 Filed 1–19–16; 8:45 am] approve or disapprove, or institute product per month. The text of the BILLING CODE 8011–01–P proceedings to determine whether to proposed rule change is available on the disapprove, the proposed rulechange Exchange’s Web site at www.nyse.com, (File No. SR–ISE Gemini–2015–17). at the principal office of the Exchange, SECURITIES AND EXCHANGE and at the Commission’s Public COMMISSION For the Commission, by the Division of Reference Room. Trading and Markets, pursuant to delegated [Release No. 34–76894; File No. SR–ISE authority.6 II. Self-Regulatory Organization’s Gemini–2015–17] Robert W. Errett, Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Self-Regulatory Organizations; ISE Deputy Secretary. Change Gemini, LLC; Notice of Designation of [FR Doc. 2016–00904 Filed 1–19–16; 8:45 am] Longer Period for Commission Action BILLING CODE 8011–01–P In its filing with the Commission, the on Proposed Rule Change To Amend self-regulatory organization included Rule 804(g) statements concerning the purpose of, SECURITIES AND EXCHANGE and basis for, the proposed rule change January 13, 2016. COMMISSION and discussed any comments it received On November 12, 2015, ISE Gemini, on the proposed rule change. The text LLC (‘‘Exchange’’) filed with the of those statements may be examined at Securities and Exchange Commission [Release No. 34–76890; File No. SR– NYSEArca–2015–130] the places specified in Item IV below. (‘‘Commission’’), pursuant to Section The Exchange has prepared summaries, 19(b)(1) of the Securities Exchange Act Self-Regulatory Organizations; NYSE set forth in sections A, B, and C below, of 1934 (‘‘Act’’) 1 and Rule 19b–4 Arca, Inc.; Notice of Filing and of the most significant parts of such thereunder,2 a proposed rule change to Immediate Effectiveness of Proposed statements. require clearing member approval before Rule Change To Amend Market Data a market maker could resume trading A. Self-Regulatory Organization’s Fees for the NYSE Arca Options after the activation of a market-wide Statement of the Purpose of, and Product speed bump under Exchange Rule Statutory Basis for, the Proposed Rule Change 804(g). The proposed rule change was January 13, 2016. published for comment in the Federal 1 1. Purpose Register on November 30, 2015.3 The Pursuant to section 19(b)(1) of the The Exchange proposes to amend the Commission has received no comment Securities Exchange Act of 1934 (the 2 3 fees for NYSE Arca Options Product,4 as letters on the proposal. ‘‘Act’’) and Rule 19b–4 thereunder, Section 19(b)(2) of the Act 4 provides notice is hereby given that, on December set forth on the NYSE Arca Options that within 45 days of the publication of 31, 2015, NYSE Arca, Inc. (the Proprietary Market Data Fee Schedule notice of the filing of a proposed rule ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with (‘‘Fee Schedule’’). The Exchange change, or within such longer period up the Securities and Exchange proposes to establish a multiple data to 90 days as the Commission may Commission (the ‘‘Commission’’) the feed fee effective January 1, 2016. designate if it finds such longer period proposed rule change as described in Specifically, the Exchange proposes to to be appropriate and publishes its Items I, II, and III below, which Items establish a new monthly fee, the reasons for so finding or as to which the have been prepared by the self- ‘‘Multiple Data Feed Fee,’’ that would self-regulatory organization consents, regulatory organization. The apply to data recipients that take a data the Commission shall either approve the Commission is publishing this notice to feed for NYSE Arca Options Product in proposed rule change, disapprove the solicit comments on the proposed rule more than two locations. Data recipients change from interested persons. 4 See Securities Exchange Act Release Nos. 76023 26 17 CFR 200.30–3(a)(12). (Sept. 29, 2015), 80 FR 60208 (Oct. 5, 2015) (SR– 1 5 15 U.S.C. 78s(b)(2)(A)(ii)(I). 15 U.S.C. 78s(b)(1). NYSEArca–2015–83). The single fee for the NYSE 6 2 17 CFR 240.19b–4. 17 CFR 200.30–3(a)(31). Arca Options Product set forth on the Fee Schedule 3 See Securities Exchange Act Release No. 76505 1 15 U.S.C. 78s(b)(1). is comprised of three data feeds: Arca Options Top, (November 23, 2015), 80 FR 74824. 2 15 U.S.C. 78a. Arca Options Deep and Arca Options Complex 4 15 U.S.C. 78s(b)(2). 3 17 CFR 240.19b–4. products.

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taking NYSE Arca Options Product in The Exchange notes that NYSE Arca forces as unnecessary regulatory restrictions more than two locations would be Options Product is entirely optional. are removed’ and that the SEC wield its charged $200 per additional location per The Exchange is not required to make regulatory power ‘in those situations where NYSE Arca Options Product available or competition may not be sufficient,’ such as product per month. No new reporting in the creation of a ‘consolidated 5 would be required. to offer any specific pricing alternatives transactional reporting system.’ to any customers, nor is any firm 2. Statutory Basis Id. at 535 (quoting H.R. Rep. No. 94–229 required to purchase NYSE Arca at 92 (1975), as reprinted in 1975 The Exchange believes that the Options Product. Firms that do U.S.C.C.A.N. 323). The court agreed proposed rule change is consistent with purchase NYSE Arca Options Product 6 with the Commission’s conclusion that the provisions of section 6 of the Act, do so for the primary goals of using it ‘‘Congress intended that ‘competitive in general, and sections 6(b)(4) and to increase revenues, reduce expenses, 7 forces should dictate the services and 6(b)(5) of the Act, in particular, in that and in some instances compete directly practices that constitute the U.S. it provides an equitable allocation of with the Exchange (including for order national market system for trading reasonable fees among users and flow); those firms are able to determine equity securities.’ ’’ 12 recipients of the data and is not for themselves whether NYSE Arca As explained below in the Exchange’s designed to permit unfair Options Product or any other similar Statement on Burden on Competition, discrimination among customers, products are attractively priced or not. the Exchange believes that there is issuers, and brokers. Firms that do not wish to purchase substantial evidence of competition in The fees are also equitable and not NYSE Arca Options Product have a the marketplace for proprietary market unfairly discriminatory because they variety of alternative market data data and that the Commission can rely 10 will apply to all data recipients that products from which to choose, or if upon such evidence in concluding that choose to subscribe to NYSE Arca NYSE Arca Options Product does not the fees established in this filing are the Options Product. provide sufficient value to firms as product of competition and therefore The Exchange believes that it is offered based on the uses those firms satisfy the relevant statutory reasonable to require data recipients to have or planned to make of it, such standards.13 In addition, the existence of pay a modest additional fee taking a firms may simply choose to conduct alternatives to these data products, such data feed for a market data product in their business operations in ways that as options data from other sources, as more than two locations, because such do not use NYSE Arca Options Product described below, further ensures that data recipients can derive substantial or use it at different levels or in different the Exchange cannot set unreasonable value from being able to consume the configurations. The Exchange notes that fees, or fees that are unreasonably product in as many locations as they broker-dealers are not required to discriminatory, when vendors and want. In addition, there are purchase proprietary market data to subscribers can select such alternatives. administrative burdens associated with comply with their best execution As the NetCoalition decision noted, tracking each location at which a data obligations.11 the Commission is not required to recipient receives the product. The The decision of the United States undertake a cost-of-service or Multiple Data Feed Fee is designed to Court of Appeals for the District of ratemaking approach. The Exchange encourage data recipients to better Columbia Circuit in NetCoalition v. believes that, even if it were possible as manage their requests for additional SEC, 615 F.3d 525 (D.C. Cir. 2010), a matter of economic theory, cost-based data feeds and to monitor their usage of upheld reliance by the Securities and pricing for proprietary market data data feeds. The proposed fee is designed Exchange Commission (‘‘Commission’’) would be so complicated that it could to apply to data feeds received in more upon the existence of competitive not be done practically or offer any than two locations so that each data market mechanisms to set reasonable significant benefits.14 recipient can have one primary and one and equitably allocated fees for backup data location before having to proprietary market data: 12 NetCoalition, 615 F.3d at 535. pay a multiple data feed fee. The In fact, the legislative history indicates that 13 Section 916 of the Dodd-Frank Wall Street Exchange notes that this pricing is the Congress intended that the market system Reform and Consumer Protection Act of 2010 (the ‘evolve through the interplay of competitive ‘‘Dodd-Frank Act’’) amended paragraph (A) of consistent with similar pricing adopted Section 19(b)(3) of the Act, 15 U.S.C. 78s(b)(3), to in 2013 by the Consolidated Tape make clear that all exchange fees for market data Association (‘‘CTA’’).8 The Exchange PRA Plan at http://www.opradata.com/pdf/fee_ may be filed by exchanges on an immediately schedule.pdf. also notes that the OPRA Plan imposes effective basis. 10 For example, Chicago Board Options Exchange 14 The Exchange believes that cost-based pricing a similar charge of $100 per connection (‘‘CBOE’’) charges, for its ‘‘Complex Order Book would be impractical because it would create for circuit connections in addition to the Feed,’’ a Distributor Fee of $3,000 per month, a enormous administrative burdens for all parties and primary and backup connections.9 Professional User Fee of $25 per month and a Non- the Commission to cost-regulate a large number of Professional User Fee of $1 per month. See the participants and standardize and analyze CBOE ‘‘Complex Order Book Feed’’ product and extraordinary amounts of information, accounts, 5 Data vendors currently report a unique Vendor pricing information, available at https:// and reports. In addition, and as described below, it Account Number for each location at which they www.cboe.org/MDX/CSM/OBOOKMain.aspx. is impossible to regulate market data prices in provide a data feed to a data recipient. The NASDAQ OMX PHLX LLC (‘‘PHLX’’) also offers a isolation from prices charged by markets for other Exchange considers each Vendor Account Number market data product entitled ‘‘PHLX Orders,’’ services that are joint products. Cost-based rate a location. For example, if a data recipient has five which includes order and last sale information for regulation would also lead to litigation and may Vendor Account Numbers, representing five complex strategies and other market data, and distort incentives, including those to minimize locations, for the receipt of the NYSE Arca Options charges a $3,000 internal monthly fee ($3,500 for costs and to innovate, leading to further waste. Product, that data recipient will pay the Multiple external), $2,000 per Distributor and $500 per Under cost-based pricing, the Commission would Data Feed fee with respect to three of the five subscriber. See PHLX ‘‘PHLX Orders’’ market data be burdened with determining a fair rate of return, locations, or $600. product and pricing information, available at http:// and the industry could experience frequent rate 6 15 U.S.C. 78f(b). www.nasdaqtrader.com/ increases based on escalating expense levels. Even 7 15 U.S.C. 78f(b)(4), (5). Micro.aspx?id=PHLXOrders and http:// in industries historically subject to utility 8 See Securities Exchange Act Release No. 70010 www.nasdaqtrader.com/ regulation, cost-based ratemaking has been (July 19, 2013), 78 FR 44984 (July 25, 2013) (SR– Trader.aspx?id=DPPriceListOptions#PHLX, discredited. As such, the Exchange believes that CTA/CQ–2013–04). respectively. cost-based ratemaking would be inappropriate for 9 See ‘‘Direct Access Fee,’’ Options Price 11 See FINRA Regulatory Notice 15–46, ‘‘Best proprietary market data and inconsistent with Reporting Authority Fee Schedule Fee Schedule Execution,’’ November 2015. Congress’s direction that the Commission use its

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For these reasons, the Exchange Similarly, the options markets customers request it, and customers will believes that the proposed fees are vigorously compete with respect to not elect to pay the proposed fees unless reasonable, equitable, and not unfairly options data products.16 NYSE Arca Options Product can discriminatory. Moreover, competitive markets for provide value by sufficiently increasing order flow, executions, and transaction revenues or reducing costs in the B. Self-Regulatory Organization’s reports provide pricing discipline for customer’s business in a manner that Statement on Burden on Competition the inputs of proprietary options data will offset the fees. All of these factors The Exchange does not believe that products and therefore constrain operate as constraints on pricing the proposed rule change will impose markets from overpricing proprietary proprietary data products. any burden on competition that is not options market data. Broker-dealers Joint Product Nature of Exchange necessary or appropriate in furtherance send their order flow to multiple Platform of the purposes of the Act. An venues, rather than providing them all exchange’s ability to price its to a single venue, which in turn Transaction execution and proprietary proprietary market data feed products is reinforces this competitive constraint. data products are complementary in that constrained by actual competition for Options markets, similar to the equities market data is both an input and a the sale of proprietary market data markets, are highly fragmented.17 byproduct of the execution service. In products, the joint product nature of If an exchange succeeds in competing fact, proprietary market data and trade exchange platforms, and the existence of for quotations, order flow, and trade executions are a paradigmatic example alternatives to the Exchange’s executions, then it earns trading of joint products with joint costs. The proprietary data. revenues and increases the value of its decision of whether and on which proprietary options market data platform to post an order will depend The Existence of Actual Competition products because they will contain on the attributes of the platforms where The market for proprietary data greater quote and trade information. the order can be posted, including the products is currently competitive and Conversely, if an exchange is less execution fees, data availability and inherently contestable because there is successful in attracting quotes, order quality, and price and distribution of fierce competition for the inputs flow, and trade executions, then its data products. Without a platform to necessary for the creation of proprietary options market data products may be post quotations, receive orders, and data and strict pricing discipline for the less desirable to customers using them execute trades, exchange data products proprietary products themselves. in support of order routing and trading would not exist. Numerous exchanges compete with decisions in light of the diminished The costs of producing market data each other for options trades and sales content; options data products offered include not only the costs of the data distribution infrastructure, but also the of market data itself, providing ample by competing venues may become costs of designing, maintaining, and opportunities for entrepreneurs who correspondingly more attractive. Thus, operating the exchange’s platform for wish to compete in any or all of those competition for quotations, order flow, posting quotes, accepting orders, and areas, including producing and and trade executions puts significant executing transactions and the cost of distributing their own options market pressure on an exchange to maintain regulating the exchange to ensure its fair data. Proprietary options data products both execution and data fees at operation and maintain investor are produced and distributed by each reasonable levels. confidence. The total return that a individual exchange, as well as other In addition, in the case of products trading platform earns reflects the entities, in a vigorously competitive that are also redistributed through revenues it receives from both products market. Indeed, the U.S. Department of market data vendors, such as Bloomberg and the joint costs it incurs. Justice (‘‘DOJ’’) (the primary antitrust and Thompson Reuters, the vendors Moreover, an exchange’s broker- regulator) has expressly acknowledged themselves provide additional price dealer customers generally view the the aggressive actual competition among discipline for proprietary data products costs of transaction executions and exchanges, including for the sale of because they control the primary means market data as a unified cost of doing proprietary market data. In 2011, the of access to certain end users. These business with the exchange. A broker- DOJ stated that exchanges ‘‘compete vendors impose price discipline based dealer will only choose to direct orders head to head to offer real-time equity upon their business models. For to an exchange if the revenue from the data products. These data products example, vendors that assess a transaction exceeds its cost, including include the best bid and offer of every surcharge on data they sell are able to the cost of any market data that the exchange and information on each refuse to offer proprietary products that 15 broker-dealer chooses to buy in support equity trade, including the last sale.’’ their end users do not or will not of its order routing and trading purchase in sufficient numbers. Vendors decisions. If the costs of the transaction authority to foster the development of the national will not elect to make available NYSE are not offset by its value, then the market system, and that market forces will continue Arca Options Product unless their to provide appropriate pricing discipline. See broker-dealer may choose instead not to Appendix C to NYSE’s comments to the purchase the product and trade away Commission’s 2000 Concept Release on the in the provision of real-time proprietary equity data from that exchange. There is substantial Regulation of Market Information Fees and products.’’). Revenues, which can be found on the Commission’s 16 See, e.g., Securities Exchange Act Release No. evidence of the strong correlation Web site at http://www.sec.gov/rules/concept/ 67466 (July 19, 2012), 77 FR 43629 (July 25, 2012) between order flow and market data s72899/buck1.htm. (SR–Phlx–2012–93), which describes a variety of purchases. For example, in September 15 Press Release, U.S. Department of Justice, options market data products and their pricing. 2015, more than 80% of the transaction Assistant Attorney General Christine Varney Holds 17 See, e.g., Press Release, TABB Says US Equity Conference Call Regarding NASDAQ OMX Group Options Market Makers Need Scalable Technology volume on each of NYSE Arca and Inc. and IntercontinentalExchange Inc. Abandoning to Compete in Today’s Complex Market Structure NYSE Arca’s affiliates New York Stock Their Bid for NYSE Euronext (May 16, 2011), (February 25, 2013), available at http:// Exchange LLC (‘‘NYSE’’) and NYSE available at http://www.justice.gov/iso/opa/atr/ www.tabbgroup.com/ MKT LLC (‘‘NYSE MKT’’) was executed speeches/2011/at-speech-110516.html; see also PageDetail.aspx?PageID=16&ItemID=1231; Complaint in U.S. v. Deutsche Borse AG and NYSE Fragmentation Vexes Options Markets (April 21, by market participants that purchased Euronext, Case No. 11–cv–2280 (D.C. Dist.) ¶ 24 2014), available at http://marketsmedia.com/ one or more proprietary market data (‘‘NYSE and Direct Edge compete head-to-head . . . fragmentation-vexes-options-market/. products (the 20 firms were not the

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same for each market). A supra- attracting order flow, executing and/or constraints with regard to the joint competitive increase in the fees for routing orders, and generating and offering. either executions or market data would selling data about market activity. The Existence of Alternatives create a risk of reducing an exchange’s total return that an exchange earns revenues from both products. reflects the revenues it receives from the The large number of SROs that Other market participants have noted joint products and the total costs of the currently produce proprietary data or that proprietary market data and trade joint products. are currently capable of producing it executions are joint products of a joint As noted above, the level of provides further pricing discipline for 18 platform and have common costs. The competition and contestability in the proprietary data products. Each SRO is currently permitted to produce and sell Exchange agrees with and adopts those market is evident in the numerous proprietary data products, and many discussions and the arguments therein. alternative venues that compete for currently do, including but not limited The Exchange also notes that the order flow, including 13 options self- to the Exchange, NYSE MKT, CBOE, C2 economics literature confirms that there regulatory organization (‘‘SRO’’) Options Exchange, Inc., ISE, ISE is no way to allocate common costs markets. Three of the 13 have launched Gemini, NASDAQ, PHLX, BX, BATS between joint products that would shed operations since December 2012.20 The and Miami Exchange. any light on competitive or efficient Exchange believes that these new 19 The fact that proprietary data from pricing. entrants demonstrate that competition is Analyzing the cost of market data vendors can bypass SROs is significant robust. product production and distribution in in two respects. First, non-SROs can isolation from the cost of all of the Competition among trading platforms compete directly with SROs for the inputs supporting the creation of market can be expected to constrain the production and sale of proprietary data data and market data products will aggregate return that each platform products. By way of example, BATS and inevitably underestimate the cost of the earns from the sale of its joint products, NYSE Arca both published proprietary data and data products because it is but different trading platforms may data on the Internet before registering as impossible to obtain the data inputs to choose from a range of possible, and exchanges. Second, because a single create market data products without a equally reasonable, pricing strategies as order or transaction report can appear in fast, technologically robust, and well- the means of recovering total costs. For an SRO proprietary product, a non-SRO regulated execution system, and system example, some platforms may choose to proprietary product, or both, the amount and regulatory costs affect the price of pay rebates to attract orders, charge of data available via proprietary both obtaining the market data itself and relatively low prices for market data products is greater in size than the creating and distributing market data products (or provide market data actual number of orders and transaction products. It would be equally products free of charge), and charge reports that exist in the marketplace. misleading, however, to attribute all of relatively high prices for accessing Because market data users can find an exchange’s costs to the market data posted liquidity. Other platforms may suitable substitutes for most proprietary portion of an exchange’s joint products. choose a strategy of paying lower market data products, a market that Rather, all of an exchange’s costs are rebates (or no rebates) to attract orders, overprices its market data products incurred for the unified purposes of setting relatively high prices for market stands a high risk that users may data products, and setting relatively low substitute another source of market data 18 See Securities Exchange Act Release No. 72153 prices for accessing posted liquidity. For information for its own. (May 12, 2014), 79 FR 28575, 28578 n.15 (May 16, example, BATS Global Markets In addition to the competition and 2014) (SR–NASDAQ–2014–045) (‘‘[A]ll of the (‘‘BATS’’) and Direct Edge, which price discipline described above, the exchange’s costs are incurred for the unified purposes of attracting order flow, executing and/or previously operated as ATSs and market for proprietary data products is routing orders, and generating and selling data obtained exchange status in 2008 and also highly contestable because market about market activity. The total return that an 2010, respectively, provided certain entry is rapid and inexpensive. The exchange earns reflects the revenues it receives market data at no charge on their Web history of electronic trading is replete from the joint products and the total costs of the joint products.’’). See also Securities Exchange Act sites in order to attract more order flow, with examples of entrants that swiftly Release No. 62907 (Sept. 14, 2010), 75 FR 57314, and used revenue rebates from resulting grew into some of the largest electronic 57317 (Sept. 20, 2010) (SR–NASDAQ–2010–110), additional executions to maintain low trading platforms and proprietary data and Securities Exchange Act Release No. 62908 execution charges for their users.21 In producers: Archipelago, Bloomberg (Sept. 14, 2010), 75 FR 57321, 57324 (Sept. 20, 2010) (SR–NASDAQ–2010–111). this environment, there is no economic Tradebook, Island, RediBook, Attain, 19 See generally Mark Hirschey, Fundamentals of basis for regulating maximum prices for TrackECN, BATS and Direct Edge. As Managerial Economics, at 600 (2009) (‘‘It is one of the joint products in an industry noted above, BATS launched as an ATS important to note, however, that although it is in which suppliers face competitive in 2006 and became an exchange in possible to determine the separate marginal costs of 2008, while Direct Edge began goods produced in variable proportions, it is impossible to determine their individual average 20 See Securities Exchange Act Release Nos. operations in 2007 and obtained costs. This is because common costs are expenses 70050 (July 26, 2013), 78 FR 46622 (August 1, 2013) exchange status in 2010. As noted necessary for manufacture of a joint product. (approving exchange registration for Topaz above, three new options exchanges Common costs of production—raw material and Exchange, LLC) (known as ISE Gemini); 68341 (December 3, 2012), 77 FR 73065 (December 7, have launched operations since equipment costs, management expenses, and other 22 overhead—cannot be allocated to each individual 2012) (approving exchange registration for Miami December 2012. by-product on any economically sound basis.... International Securities Exchange LLC (‘‘Miami In determining the proposed fees, the Any allocation of common costs is wrong and Exchange’’)); and 75650 (August 7, 2015), 80 FR Exchange considered the arbitrary.’’). This is not new economic theory. See, 48600 (August 13, 2015) (establishing rules competitiveness of the market for e.g., F. W. Taussig, ‘‘A Contribution to the Theory governing the trading of options on the EDGX of Railway Rates,’’ Quarterly Journal of Economics options market). proprietary options data and all of the V(4) 438, 465 (July 1891) (‘‘Yet, surely, the division 21 This is simply a securities market-specific implications of that competition. The is purely arbitrary. These items of cost, in fact, are example of the well-established principle that in Exchange believes that it has considered jointly incurred for both sorts of traffic; and I cannot certain circumstances more sales at lower margins all relevant factors and has not share the hope entertained by the statistician of the can be more profitable than fewer sales at higher Commission, Professor Henry C. Adams, that we margins; this example is additional evidence that considered irrelevant factors in order to shall ever reach a mode of apportionment that will market data is an inherent part of a market’s joint lead to trustworthy results.’’). platform. 22 See supra note 20.

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establish fair, reasonable, and not NYSEArca–2015–130 on the subject SECURITIES AND EXCHANGE unreasonably discriminatory fees and an line. COMMISSION equitable allocation of fees among all Paper Comments users. The existence of numerous [Release No. 34–76893; File No. SR–ISE– alternatives to the Exchange’s products, • Send paper comments in triplicate 2015–30] including proprietary data from other to Secretary, Securities and Exchange sources, ensures that the Exchange Self-Regulatory Organizations; Commission, 100 F Street NE., cannot set unreasonable fees, or fees International Securities Exchange, Washington, DC 20549–1090. that are unreasonably discriminatory, LLC; Notice of Designation of Longer when vendors and subscribers can elect All submissions should refer to File No. Period for Commission Action on these alternatives or choose not to SR–NYSEArca–2015–130. This file Proposed Rule Change To Amend Rule purchase a specific proprietary data number should be included on the 804(g) product if the attendant fees are not subject line if email is used. To help the January 13, 2016. justified by the returns that any Commission process and review your On November 10, 2015, International particular vendor or data recipient comments more efficiently, please use Securities Exchange, LLC (‘‘Exchange’’) would achieve through the purchase. only one method. The Commission will filed with the Securities and Exchange C. Self-Regulatory Organization’s post all comments on the Commission’s Commission (‘‘Commission’’), pursuant Statement on Comments on the Internet Web site (http://www.sec.gov/ to section 19(b)(1) of the Securities Proposed Rule Change Received From rules/sro.shtml). Copies of the Exchange Act of 1934 (‘‘Act’’) 1 and Rule Members, Participants, or Others submission, all subsequent 19b–4 thereunder,2 a proposed rule No written comments were solicited amendments, all written statements change to require clearing member or received with respect to the proposed with respect to the proposed rule approval before a market maker could rule change. change that are filed with the resume trading after the activation of a Commission, and all written III. Date of Effectiveness of the market-wide speed bump under communications relating to the Proposed Rule Change and Timing for Exchange Rule 804(g). The proposed Commission Action proposed rule change between the rule change was published for comment Commission and any person, other than in the Federal Register on November 30, The foregoing rule change is effective those that may be withheld from the 2015.3 The Commission has received no upon filing pursuant to section public in accordance with the comment letters on the proposal. 23 19(b)(3)(A) of the Act and provisions of 5 U.S.C. 552, will be Section 19(b)(2) of the Act 4 provides subparagraph (f)(2) of Rule 19b–4 24 available for Web site viewing and that within 45 days of the publication of thereunder, because it establishes a due, printing in the Commission’s Public notice of the filing of a proposed rule fee, or other charge imposed by the Reference Room, 100 F Street NE., change, or within such longer period up Exchange. to 90 days as the Commission may At any time within 60 days of the Washington, DC 20549 on official designate if it finds such longer period filing of such proposed rule change, the business days between the hours of to be appropriate and publishes its Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of such reasons for so finding or as to which the temporarily suspend such rule change if filing also will be available for self-regulatory organization consents, it appears to the Commission that such inspection and copying at the principal the Commission shall either approve the action is necessary or appropriate in the office of the Exchange. All comments proposed rule change, disapprove the public interest, for the protection of received will be posted without change; proposed rule change, or institute investors, or otherwise in furtherance of the Commission does not edit personal proceedings to determine whether these the purposes of the Act. If the identifying information from proposed rule changes should be Commission takes such action, the submissions. You should submit only Commission shall institute proceedings disapproved. The 45th day for this filing information that you wish to make is January 14, 2016. under section 19(b)(2)(B) 25 of the Act to available publicly. All submissions determine whether the proposed rule The Commission is extending the 45- should refer to File No. SR–NYSEArca– day time period for Commission action change should be approved or 2015–130, and should be submitted on disapproved. on the proposed rule change. The or before February 10, 2016. Commission finds that it is appropriate IV. Solicitation of Comments For the Commission, by the Division of to designate a longer period within Interested persons are invited to Trading and Markets, pursuant to delegated which to take action on the proposed submit written data, views, and authority.26 rule change so that it has sufficient time arguments concerning the foregoing, Robert W. Errett, to consider and take action on the Exchange’s proposed rule change. including whether the proposed rule Deputy Secretary. change is consistent with the Act. Accordingly, pursuant to section [FR Doc. 2016–00901 Filed 1–19–16; 8:45 am] Comments may be submitted by any of 19(b)(2)(A)(ii)(I) of the Act 5 and for the the following methods: BILLING CODE 8011–01–P reasons stated above, the Commission designates February 28, 2016 as the date Electronic Comments by which the Commission should either • Use the Commission’s Internet approve or disapprove, or institute comment form (http://www.sec.gov/ proceedings to determine whether to rules/sro.shtml); or • Send an email to rule-comments@ 1 15 U.S.C. 78s(b)(1). sec.gov. Please include File No. SR– 2 17 CFR 240.19b–4. 3 See Securities Exchange Act Release No. 76506 23 15 U.S.C. 78s(b)(3)(A). (November 23, 2015), 80 FR 74829. 24 17 CFR 240.19b–4(f)(2). 4 15 U.S.C. 78s(b)(2). 25 15 U.S.C. 78s(b)(2)(B). 26 17 CFR 200.30–3(a)(12). 5 15 U.S.C. 78s(b)(2)(A)(ii)(I).

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disapprove, the proposed rule change should be disapproved. The 45th day for notify DTC of its refusal to settle on (File No. SR–ISE–2015–30). this filing is January 15, 2016. behalf of a Participant or Participants for For the Commission, by the Division of The Commission is extending this 45- which it is the designated Settling Bank Trading and Markets, pursuant to delegated day time period. The Commission finds will be deemed to have acknowledged authority.6 that it is appropriate to designate a its end-of-day net-net settlement balance Robert W. Errett, longer period within which to take and to make related technical changes Deputy Secretary. action on the proposed rule change so and corrections to the Rules, as more that it has sufficient time to consider the fully described below. The proposed [FR Doc. 2016–00903 Filed 1–19–16; 8:45 am] proposal. rule change was published for comment BILLING CODE 8011–01–P Accordingly, pursuant to section in the Federal Register on November 30, 19(b)(2) of the Act,7 the Commission 2015.6 The Commission did not receive SECURITIES AND EXCHANGE designates February 29, 2016, as the any comment letters on the proposed COMMISSION date by which the Commission should rule change. For the reasons discussed either approve or disapprove or institute below, the Commission is granting proceedings to determine whether to approval of the proposed rule change. [Release No. 34–76891; File No. SR–BATS– disapprove the proposed rule change 2015–102] I. Description of the Proposed Rule (File No. SR–BATS–2015–102). Change Self-Regulatory Organizations; BATS For the Commission, by the Division of The following is a description of the Exchange, Inc.; Notice of Designation Trading and Markets, pursuant to delegated 8 proposed rule change, as provided by of Longer Period for Commission authority. Robert W. Errett. DTC: Action on a Proposed Rule Change To Background. The DTC 7 end-of-day Adopt Rule 11.27 Regarding the Data Deputy Secretary. net settlement structure depends upon Collection Requirements of the Tick [FR Doc. 2016–00902 Filed 1–19–16; 8:45 am] the use of Settling Banks.8 Each Size Pilot Program BILLING CODE 8011–01–P Participant must designate a Settling January 13, 2016. Bank to settle on its behalf. Any On November 13, 2015, BATS Participant that is a bank may settle for SECURITIES AND EXCHANGE itself.9 Today, a Settling Bank that Exchange, Inc. (the ‘‘Exchange’’ or COMMISSION ‘‘BATS’’) filed with the Securities and settles for other Participants must Exchange Commission (‘‘Commission’’), [Release No. 34–76887; File No. SR–DTC– acknowledge its end-of-day net-net 2015–011] pursuant to section 19(b)(1) of the settlement balance for the group of Securities Exchange Act of 1934 Participants for which it settles, or Self-Regulatory Organizations; The notify DTC if it refuses to settle for any (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a Depository Trust Company; Order Participant for which it is the proposed rule change to adopt Exchange Approving Proposed Rule Change designated Settling Bank, by the later of Rule 11.27 to implement the data Regarding the Acknowledgment of 4:15 p.m. and the time that is 30 collection requirements set forth in the End-of-Day Net-Net Settlement minutes after the Settling Bank end-of- Regulation NMS Plan to Implement a Balances by Settling Banks day net-net settlement balances are first Tick Size Pilot Program.3 The proposed made available by DTC rule change was published for comment January 13, 2016. (‘‘Acknowledgment Cutoff Time’’).10 in the Federal Register on December 1, On November 16, 2015, The If a Settling Bank notifies DTC that it 4 2015. The Commission has received Depository Trust Company (‘‘DTC’’) refuses to settle for a Participant, DTC 5 one comment letter on the proposal. filed with the Securities and Exchange would recalculate the Settling Bank’s 6 Section 19(b)(2) of the Act provides Commission (‘‘Commission’’) proposed net-net settlement balance by excluding that, within 45 days of the publication rule change SR–DTC–2015–011 the net settlement balance of the of the notice of the filing of a proposed pursuant to Section 19(b)(1) of the Participant for which the Settling Bank rule change, or within such longer Securities Exchange Act of 1934 refused to settle.11 DTC would then 1 2 period up to 90 days as the Commission (‘‘Act’’), and Rule 19b–4 thereunder, provide the Settling Bank with its may designate if it finds such longer to amend DTC’s Settlement Service adjusted net-net settlement balance 3 period to be appropriate and publishes Guide (‘‘Guide’’) in order to establish (‘‘Post-Refusal Adjusted Balance’’). The its reasons for so finding or as to which a new practice whereby any Settling Settling Bank may not refuse to settle for 4 the self-regulatory organization Bank that (i) fails to affirmatively any other Participant on that day and consents, the Commission shall either acknowledge its end-of-day net-net must immediately respond to DTC to approve the proposed rule change, settlement balance,5 or (ii) does not disapprove the proposed rule change, or 6 See Securities Exchange Act Release No. 76510 institute proceedings to determine 7 Id. (November 23, 2015), 80 FR 74819 (November 30, whether the proposed rule change 8 17 CFR 200.30–3(a)(31). 2015) (SR–DTC–2015–011). 1 15 U.S.C. 78s(b)(1). 7 Terms not otherwise defined herein have the 2 17 CFR 240.19b–4. meaning set forth in the DTC Rules (the ‘‘Rules’’), 6 17 CFR 200.30–3(a)(31). 3 Available at http://www.dtcc.com/∼/media/ available at http://www.dtcc.com/legal/rules-and- 1 15 U.S.C. 78s(b)(1). Files/Downloads/legal/service-guides/ procedures.aspx. 2 17 CFR 240.19b–4. Settlement.pdf for an overview of the end-of-day net 8 See the Guide, supra note 3, pp. 17–18. 3 See Securities Exchange Act Release No. 74892 settlement process. 9 See Rule 9(B), supra note 7. (May 6, 2015), 80 FR 27513 (May 13, 2015) (order 4 A ‘‘Settling Bank’’ is a DTC participant 10 Currently, a Settling Bank that settles only for approving the Tick Size Pilot) (‘‘Approval Order’’). (‘‘Participant’’) that is a bank and that settles for itself may opt out of the requirement to 4 See Securities Exchange Act Release No. 76524 itself and may settle for other Participants, acknowledge its balance, but it cannot refuse to (November 25, 2015), 80 FR 75141. including other bank Participants. settle for itself. 5 See Letter from Mary Lou Von Kaenel, Managing 5 The end-of-day net-net figure is the net of all 11 Any Participant for which its designated Director, Financial Information Forum, to Robert W. Participants’ net balances after cross-endorsement Settling Bank has refused to settle on its behalf Errett, Deputy Secretary, Commission, dated with the National Securities Clearing Corporation remains obligated to DTC for the payment of any December 22, 2015. for which a Settling Bank settles, including its own net debit balance and must make another 6 15 U.S.C. 78s(b)(2). accounts. arrangement to timely pay that amount by Fedwire.

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acknowledge its Post-Refusal Adjusted to its designated Fed Account through acknowledged its net-net settlement Balance. the NSS process. balance or Post-Refusal Adjusted After the Acknowledgment Cutoff DTC will continue to maintain Balance, as applicable. Time and any adjustments, DTC will flexibility and allow for a Settling Bank DTC will update the Guide to clarify prepare and submit to the National to request extra time if the Settling Bank that each Settling Bank must ensure that Settlement Service (‘‘NSS’’) provided by has a reason that it cannot affirmatively it maintains accurate contact details the Federal Reserve Banks (individually acknowledge or refuse its net-net with DTC so that DTC may contact the and collectively, the ‘‘Fed’’) a file (‘‘NSS settlement balance so long as the Settling Bank regarding settlement File’’) reflecting the net debits or credits Settling Bank notifies DTC accordingly issues. Settling Banks must update any from and to all Settling Banks. NSS will at or before the Acknowledgement contact details by contacting their DTC process a debit or credit of each Settling Cutoff Time, or, in the case of a Post- Relationship Manager. Bank’s Fed account (‘‘Fed Account’’), as Refusal Adjusted Balance, it notifies The Fed’s cutoff for NSS processing, applicable.12 DTC immediately where it is unable to unless extended, is 5:30 p.m. In order to Today, failure of a Settling Bank to affirmatively acknowledge its Post- facilitate timely processing of the NSS timely respond to DTC after posting of Refusal Adjusted Balance. In this regard, File, DTC will maintain discretion to final settlement figures creates the Guide will be updated to clarify that exclude a Settling Bank’s balance from uncertainty with respect to timely the Settling Bank is required to notify the NSS File if the Settling Bank (i)(A) completion of settlement at DTC. The DTC of its request for extra time via a does not acknowledge its net-net proposed rule change will address this dedicated DTC Settlement phone settlement balance by the issue as discussed below. ‘‘hotline’’ prior to the Acknowledgment Acknowledgment Cutoff Time, or (B) Proposal. To promote settlement Cutoff Time. In the event that DTC does not immediately acknowledge its certainty, DTC has proposed to treat a provides the Settling Bank with a Post- Post-Refusal Adjusted Balance; and (ii) Settling Bank that fails to timely provide Refusal Adjusted Balance, the Settling is not deemed to have acknowledged its its affirmative acknowledgement of its Bank will be required to notify DTC of net-net settlement balance or Post- end-of-day net-net settlement balance or its request for extra time immediately Refusal Adjusted Balance because it has notify DTC of its refusal to settle for one via the hotline. Any Settling Bank that notified DTC that it is unable to or more Participants for which it is the timely complies with this notification affirmatively acknowledge its net-net designated Settling Bank, as having requirement will not be deemed to have settlement balance or to refuse to settle been deemed to acknowledge its end-of- acknowledged its net-net Settlement on behalf of a Participant. If DTC day net-net settlement balance. Balance or its Post-Refusal Adjusted proceeds to process the NSS File DTC has proposed to modify the Balance.14 excluding the Settling Bank’s debit Guide to provide that a Settling Bank If, after the initial release of final balance, then the Settling Bank must that (i) fails to affirmatively settlement figures, a Settling Bank’s net- pay the debit balance via Fedwire. If acknowledge its end-of-day net-net net settlement balance is adjusted for DTC proceeds to process the NSS File settlement balance, or (ii) does not any reason, other than as a result of the excluding the Settling Bank’s credit notify DTC of its refusal to settle on Settling Bank’s refusal to settle, then the balance, then DTC will pay the credit behalf of a Participant or Participants for Acknowledgment Cutoff Time for that balance via Fedwire after the Settling which it is the designated Settling Bank, Settling Bank will be extended to 30 Bank acknowledges its settlement by the Acknowledgement Cutoff Time, minutes after DTC advises the Settling balance. The text of the Guide will also state will be deemed to have acknowledged Bank of the adjusted net-net settlement that a Settling Bank which settles on its end-of-day net-net settlement balance. DTC will attempt to contact the behalf of others that timely notifies DTC balance.13 The Settling Bank’s balance Settling Bank if DTC does not receive a that it cannot acknowledge or refuse its will then, in the ordinary course of response in the form of (i) an end-of-day net-net settlement balance settlement processing, be debited from acknowledgment or refusal prior to the will not be assessed a flat fee for failure or credited to its Fed Account through Acknowledgment Cutoff Time, (ii) an to acknowledge or notify DTC of its the NSS process. Likewise, DTC has immediate acknowledgment of a Post- refusal to settle. However, such a proposed that the Guide provide that a Refusal Adjusted Balance, or (iii) a Settling Bank will be charged interest Settling Bank that fails to acknowledge notification from the Settling Bank that with respect to any borrowing DTC is immediately upon receipt its Post- it cannot acknowledge or refuse, as required to make to complete settlement Refusal Adjusted Balance, if any, will be described in the preceding paragraph.15 that day for any Participant that the deemed to have acknowledged its Post- Settling Bank settles on behalf of, if the Refusal Adjusted Balance and the Post- If DTC is able to contact the Settling Settling Bank has not timely refused to Refusal Adjusted Balance will then, in Bank and the Settling Bank notifies DTC that it cannot, at that time, acknowledge settle for that Participant. the ordinary course of settlement Additionally, DTC will revise the processing, be debited from or credited or refuse its net-net settlement balance, or Post-Refusal Adjusted Balance, as Guide to: (i) Clarify that it is DTC’s Settlement 12 The Guide currently provides that if NSS is applicable, then the Settling Bank will unavailable then, if instructed by DTC, Settling not be deemed to have acknowledged its Operations group that controls and Banks in a net-net debit balance must remit net-net settlement balance. However, if coordinates the settling of Participant payments to DTC via Fedwire by the later of 5:00 the Settling Bank cannot be reached, the and Settling Bank accounts on DTC’s p.m. or 1 hour after net settlement balances are first Settling Bank will be deemed to have systems; made available. This provision will be clarified to (ii) define the Federal Reserve Banks note an operational detail that all such payments must be remitted prior to the close of Fedwire. 14 If the problem is due to a connectivity issue individually and collectively within the 13 DTC will provide reminders to Settling Banks with DTC, DTC may then direct the Settling Bank Guide’s text as the ‘‘Fed’’ unless when they have not affirmatively acknowledged to submit its acknowledgement/refusal instruction indicated otherwise; their settlement balance. Notwithstanding delivery via email or as otherwise specified by DTC at that (iii) clarify text for descriptive of reminders, once a Settling Bank is deemed to time. have acknowledged its balance, it may not notify 15 DTC uses the most recent contact information purposes, and consistent with the Rules, DTC of a refusal to settle for a Participant for which provided by the Settling Bank to its DTC that Participants make formal it is the designated Settling Bank. Relationship Manager for this purpose. arrangements for a Settling Bank to be

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designated as the Settling Bank to settle (xvi) insert the title of the Guide on by allowing DTC to collect net debits with DTC on the Participant’s behalf; the Guide’s front page. and release net credits within scheduled (iv) clarify that certain online reports Implementation. The effective date of timeframes, which will limit the DTC provides Participants and Settling the proposed rule change will be settlement risk to DTC. As such, the Banks through the processing day reflect announced via a DTC Important Notice. Commission believes that the proposal ‘‘intraday’’ gross debits and credits, and 21 II. Discussion and Commission is consistent with Rule 17Ad–22(d)(5). net debit and credit balances; (v) clarify that a Settling Bank’s end- Findings III. Conclusion of-day net-net settlement balance Section 19(b)(2)(C) of the Act 16 includes the Settling Bank’s own directs the Commission to approve a On the basis of the foregoing, the settlement obligations as a Participant if proposed rule change of a self- Commission finds that the proposal is it settles for itself; regulatory organization if it finds that consistent with the requirements of the (vi) add text for the purpose of such proposed rule change is consistent Act and in particular with the context, consistent with the Rules, that with the requirements of the Act and requirements of Section 17A of the each Participant is obligated to settle rules and regulations thereunder Act 22 and the rules and regulations timely with DTC and if its Settling Bank applicable to such organization. The thereunder. refuses to settle for it then it must make Commission believes the proposal is It is therefore ordered, pursuant to alternative arrangements to make consistent with Section 17A(b)(3)(F) of Section 19(b)(2) of the Act, that 17 18 payment to DTC via Fedwire; the Act and Rule 17Ad–22(d)(5), as proposed rule change SR–DTC–2015– (vii) add text for the purpose of described in detail below. 011 be, and hereby is, approved.23 context, consistent with the Rules, that Consistency with Section 17A(b)(3)(F) a Participant that acts as its own Settling of the Act. Section 17A(b)(3)(F) of the For the Commission, by the Division of Bank may not refuse to settle for itself Act requires, among other things, that Trading and Markets, pursuant to delegated and that it will be in default if it does the rules of a clearing agency be authority.24 not fund its settlement obligation; designed to promote the prompt and Robert W. Errett, (viii) for clarity, change the heading to accurate clearance and settlement of Deputy Secretary. 19 an existing example of how a Settling securities transactions. As described [FR Doc. 2016–00898 Filed 1–19–16; 8:45 am] Bank’s settlement balance is calculated above, the change will reduce delays in BILLING CODE 8011–01–P from ‘‘Settlement Example’’ to the settlement process by allowing DTC ‘‘Example of the Calculation of a DTC to collect net debits and release net Settling Bank’s Net-Net Settlement credits within scheduled timeframes SECURITIES AND EXCHANGE Balance’’; despite the failure of a Settling Bank to COMMISSION (ix) remove the provision from the affirmatively acknowledge its end-of- Guide indicating that that a Settling day net-net settlement balance or notify Bank that settles only for itself will need DTC of its refusal to settle for a [Release No. 34–76886; File No. SR– to affirmatively opt out in order to not Participant for which it is the NASDAQ–2015–166] be required to affirmatively designated Settling Bank on a timely Self-Regulatory Organizations; The acknowledge its settlement balance, and basis. This requirement will reduce NASDAQ Stock Market LLC; Notice of add text simply stating that a Settling uncertainty and associated risks that Filing and Immediate Effectiveness of Bank that settles only for itself will not may currently arise from Failure to be required to acknowledge its Acknowledge, thus facilitating the Proposed Rule Change to Chapter XV, settlement balance; prompt and accurate clearance and Entitled ‘‘Options Pricing’’ (x) clarify the interest charged to settlement of securities transactions. January 13, 2016. Participants for a failure to settle; Consistency with Rule 17Ad–22(d)(5). (xi) delete references to a Settling Rule 17Ad–22(d)(5) under the Act Pursuant to Section 19(b)(1) of the Bank’s failure to timely settle its requires a clearing agency, such as DTC, Securities Exchange Act of 1934 settlement balance from being referred to establish, implement, maintain and (‘‘Act’’),1 and Rule 19b–4 thereunder,2 to as a ‘‘failure to settle’’ and remove enforce written policies and procedures notice is hereby given that on December references to related procedures as being reasonably designed to employ money 30, 2015, The NASDAQ Stock Market ‘‘failure-to-settle’’ procedures, as the settlement arrangements that eliminate LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) filed terminology could be confused with an or strictly limit the clearing agency’s with the Securities and Exchange individual Participant’s failure to meet settlement bank risks and require funds Commission (‘‘SEC’’ or ‘‘Commission’’) its settlement obligation; transfers to the clearing agency to be the proposed rule change as described (xii) rewrite text in the Guide in light 20 final when effected. As described in Items I, II, and III below, which Items of the proposed changes, as applicable, above, the change should reduce DTC’s have been prepared by the Exchange. including Addendum A of the Guide, to credit and liquidity risk by mitigating The Commission is publishing this incorporate proposed changes, the risk that end-of-day net-net debit notice to solicit comments on the consolidate text, clarify text for settlement balances would not be paid readability and eliminate duplication; proposed rule change from interested due to the failure of a Settling Bank to persons. (xiii) clarify certain Settling Bank and respond to DTC after posting of final settlement processing timeframes; settlement figures. The change also 21 Id. (xiv) apply initial capitalization as should create an arrangement that 22 15 U.S.C. 78q–1. appropriate for the terms ‘‘Participant’’ reduces delays in the settlement process and ‘‘Settling Bank’’ where they are 23 In approving the proposed rule change, the Commission considered the proposal’s impact on used as defined terms; 16 15 U.S.C. 78s(b)(2)(C). efficiency, competition, and capital formation. 15 (xv) remove references to Participant 17 15 U.S.C. 78q–1(b)(3)(F). U.S.C. 78c(f). Terminal System (PTS) functions, 18 17 CFR 240.17Ad–22(d)(5). 24 17 CFR 200.30–3(a)(12). which are no longer used for DTC 19 15 U.S.C. 78q–1(b)(3)(F). 1 15 U.S.C. 78s(b)(1). settlement processing; and 20 17 CFR 240.17Ad–22(d)(5). 2 17 CFR 240.19b–4.

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I. Self-Regulatory Organization’s While the changes proposed herein are Note ‘‘c’’ of Chapter XV, Section 2(1) Statement of the Terms of Substance of effective upon filing, the Exchange has The Exchange currently pays the Proposed Rule Change designated the amendments [sic] Customer and Professional Rebates to The Exchange proposes to amend become operative on January 4, 2016. Add Liquidity based on an eight tier Chapter XV, entitled ‘‘Options Pricing,’’ The text of the proposed rule change rebate structure. For purposes of at Section 2, which governs pricing for is available on the Exchange’s Web site qualifying for a Customer and Exchange members using the NASDAQ at http://nasdaq.cchwallstreet.com, at Professional Rebate to Add Liquidity Options Market (‘‘NOM’’), the the principal office of the Exchange, and tier, the Exchange determines the Exchange’s facility for executing and at the Commission’s Public Reference applicable percentage of total industry routing standardized equity and index Room. customer equity and ETF option average options. daily volume by including the The Exchange purposes [sic] to amend II. Self-Regulatory Organization’s Participant’s Penny Pilot and Non- it [sic] Customer,3 Professional 4 and Statement of the Purpose of, and Penny Pilot volume that adds liquidity.7 NOM Market Maker 5 Penny Pilot Statutory Basis for, the Proposed Rule The Exchange proposes, beginning Options 6 Rebate to Add Liquidity tiers. Change January 4, 2016, to amend note ‘‘c,’’ In its filing with the Commission, the which permits Participants that qualify 3 The term ‘‘Customer’’ applies to any transaction for the Tier 8 Customer and Professional that is identified by a Participant for clearing in the Exchange included statements concerning the purpose of and basis for Penny Pilot Options Rebate to Add Customer range at The Options Clearing 8 Corporation that is not for the account of broker or the proposed rule change and discussed Liquidity to achieve a higher rebate. dealer or for the account of a ‘‘Professional’’ (as that any comments it received on the Currently, note ‘‘c’’ states: term is defined in Chapter I, Section 1(a)(48)). proposed rule change. The text of these ‘‘[P]articipants that (1) add Customer, 4 The term ‘‘Professional’’ means any person or Professional, Firm, Non-NOM Market entity that (i) is not a broker or dealer in securities, statements may be examined at the and (ii) places more than 390 orders in listed places specified in Item IV below. The Maker and/or Broker-Dealer liquidity in options per day on average during a calendar month Exchange has prepared summaries, set Penny Pilot Options and/or Non-Penny for its own beneficial account(s). See NOM Rules forth in sections A, B, and C below, of Pilot Options of 1.15% or more of total at Chapter I, Section 1(a)(48). All Professional industry customer equity and ETF orders shall be appropriately marked by the most significant aspects of such Participants. statements. option ADV contracts per day in a 5 A ‘‘Non-NOM Market Maker’’ is a registered month will receive an additional $0.02 market maker on another options exchange that is A. Self-Regulatory Organization’s per contract Penny Pilot Options not a NOM Market Maker. A Non-NOM Market Statement of the Purpose of, and Customer Rebate to Add Liquidity for Maker must append the proper Non-NOM Market Statutory Basis for, the Proposed Rule Maker designation to orders routed to NOM. each transaction which adds liquidity in 6 See Securities Exchange Act Release Nos. 57579 Change Penny Pilot Options in that month; or (March 28, 2008), 73 FR 18587 (April 4, 2008) (SR– 1. Purpose (2) add Customer, Professional, Firm, NASDAQ–2008–026) (notice of filing and Non-NOM Market Maker and/or Broker- immediate effectiveness establishing Penny Pilot); 60874 (October 23, 2009), 74 FR 56682 (November The Exchange proposes certain Dealer liquidity in Penny Pilot Options 2, 2009) (SR–NASDAQ–2009–091) (notice of filing amendments to the NOM transaction and/or Non-Penny Pilot Options of and immediate effectiveness expanding and fees set forth at Chapter XV, Section 2 1.40% or more of total industry extending Penny Pilot); 60965 (November 9, 2009), for executing and routing standardized customer equity and ETF option ADV 74 FR 59292 (November 17, 2009) (SR–NASDAQ– 2009–097) (notice of filing and immediate equity and index options under the contracts per day in a month will effectiveness adding seventy-five classes to Penny Penny Pilot Options program. The receive an additional $0.05 per contract Pilot); 61455 (February 1, 2010), 75 FR 6239 proposed changes are as follows: Penny Pilot Options Customer Rebate to (February 8, 2010) (SR–NASDAQ–2010–013) Add Liquidity for each transaction (notice of filing and immediate effectiveness adding Note ‘‘c’’ of Chapter XV, Section 2(1) seventy-five classes to Penny Pilot); 62029 (May 4, 2010), 75 FR 25895 (May 10, 2010) (SR–NASDAQ– • Proposal to amend note ‘‘c’’ criteria, 7 Tiers 6 and 7 are exceptions because these tiers 2010–053) (notice of filing and immediate at part (2), to decrease the percentage of are calculated based on Total Volume. Total effectiveness adding seventy-five classes to Penny Volume is defined as Customer, Professional, Firm, Pilot); 65969 (December 15, 2011), 76 FR 79268 total industry customer equity and ETF Broker-Dealer, Non-NOM Market Maker, and NOM (December 21, 2011) (SR–NASDAQ–2011–169) option ADV contract per day in a month Market Maker volume in Penny Pilot Options and/ (notice of filing and immediate effectiveness [sic] from 1.40% to 1.30%. or Non-Penny Pilot Options which either adds or extension and replacement of Penny Pilot); 67325 removes liquidity on NOM. See note ‘‘b’’ in Section (June 29, 2012), 77 FR 40127 (July 6, 2012) (SR– • The Exchange is bolding the 2(1) of Chapter XV. The Exchange utilizes data from NASDAQ–2012–075) (notice of filing and numbers and letters in this paragraph The Options Clearing Corporation (‘‘OCC’’) to immediate effectiveness and extension and for ease of reference. determine the total industry customer equity and replacement of Penny Pilot through December 31, ETF options ADV figure. OCC classifies equity and 2012); 68519 (December 21, 2012), 78 FR 136 NOM Market Maker Penny Pilot ETF options volume under the equity options (January 2, 2013) (SR–NASDAQ–2012–143) (notice Options Rebate To Add Liquidity Tiers category. Also, both customer and professional of filing and immediate effectiveness and extension orders that are transacted on options exchanges and replacement of Penny Pilot through June 30, • clear in the customer range at OCC and therefore 2013); 69787 (June 18, 2013), 78 FR 37858 (June 24, Proposal to amend Tier 6 of the both customer and professional volume would be 2013) (SR–NASDAQ–2013–082) (notice of filing NOM Market Maker Penny Pilot included in the total industry figure to calculate and immediate effectiveness and extension and Options Rebate to Add Liquidity to rebate tiers. replacement of Penny Pilot through December 31, remove an existing qualification from 8 Tier 8 of the Customer and Professional Rebate 2013); 71105 (December 17, 2013), 78 FR 77530 to Add Liquidity Tiers currently pays a $0.48 per (December 23, 2013) (SR–NASDAQ–2013–154) Tier 6. contract rebate to Participants that add Customer, (notice of filing and immediate effectiveness and These rule changes are described in Professional, Firm, Non-NOM Market Maker and/or extension and replacement of Penny Pilot through greater detail below. Broker-Dealer liquidity in Penny Pilot Options and/ June 30, 2014); 79 FR 31151 [sic] (May 23, 2014), or Non-Penny Pilot Options above 0.75% or more 79 FR 31151 (May 30, 2014) (SR–NASDAQ–2014– of total industry customer equity and ETF option 056) (notice of filing and immediate effectiveness replacement of Penny Pilot through June 30, 2015) ADV contracts per day in a month or Participant and extension and replacement of Penny Pilot and 75283 (June 24, 2015), 80 FR 37347 (June 30, adds (1) Customer and/or Professional liquidity in through December 31, 2014); 73686 (December 2, 2015) (SR–NASDAQ–2015–063) (notice of filing Penny Pilot Options and/or Non-Penny Pilot 2014) [sic], 79 FR 71477 (November 25, 2014) [sic] and immediate effectiveness and extension and Options of 30,000 or more contracts per day in a (SR–NASDAQ–2014–115) (notice of filing and replacement of Penny Pilot) See also NOM Rules, month and (2) the Participant has certified for the immediate effectiveness and extension and Chapter VI, Section 5. Investor Support Program set forth in Rule 7014.

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which adds liquidity in Penny Pilot NOM Market Maker Penny Pilot 2. Statutory Basis Options in that month; or (3)(a) add Options Rebate To Add Liquidity Tiers The Exchange believes that the Customer, Professional, Firm, Non-NOM The Exchange proposes, beginning proposed rule change is consistent with Market Maker and/or Broker-Dealer Section 6 of the Act,12 in general, and liquidity in Penny Pilot Options and/or January 4, 2016, to amend Tier 6 of the NOM Market Maker Penny Pilot Option with Section 6(b)(4) and 6(b)(5) of the Non-Penny Pilot Options above 0.75% Act,13 in particular, in that it provides of total industry customer equity and Rebate to Add Liquidity to eliminate one of the criteria for qualifying for the for the equitable allocation of reasonable ETF option ADV contracts per day in a $0.42 per contract Tier 6 rebate. dues, fees, and other charges among month and (b) has added liquidity in all members and issuers and other persons Currently, Participants that add NOM securities through one or more of its using any facility or system which the Market Maker liquidity in Penny Pilot Nasdaq Market Center MPIDs that Exchange operates or controls, and is Options and/or Non-Penny Pilot represent 1.10% or more of not designed to permit unfair Options above 0.80% of total industry Consolidated Volume in a month will discrimination between customers, customer equity and ETF option ADV receive an additional $0.03 per contract issuers, brokers, or dealers. Customer contracts per day in a month and qualify volume is important because it Penny Pilot Options Customer Rebate to for the Tier 7 or Tier 8 Customer and/ Add Liquidity for each transaction continues to attract liquidity to the or Professional Rebate to Add Liquidity Exchange, which benefits all market which adds liquidity in Penny Pilot in Penny Pilot Options or Participants Options in a month.’’ 9 participants. Further, with respect to that add NOM Market Maker liquidity Professional liquidity, the Exchange The Exchange proposes to amend the in Penny Pilot Options and/or Non- initially established Professional pricing criteria in note ‘‘c’’ at part (2) to Penny Pilot Options above 0.90% of in order to ‘‘. . . bring additional decrease the percentage of total industry total industry customer equity and ETF revenue to the Exchange.’’ 14 The customer equity and ETF option ADV option ADV contracts per day in a Exchange noted in the Professional contract per day in a month from 1.40% month or Participants that add Filing that it believes ‘‘. . . that the to 1.30%. The Exchange believes that Customer, Professional, Firm, Non-NOM increased revenue from the proposal this decrease will offer Participants an Market Maker, and/or Broker-Dealer would assist the Exchange to recoup opportunity to qualify for the part (2) liquidity in Penny Pilot Options and/or fixed costs.’’ 15 The Exchange noted in incentive and receive a $0.05 per Non-Penny Pilot Options of 1.40% or that filing that it believes that contract 10 additional rebate, in addition more of total industry customer equity establishing separate pricing for a to the Tier 8 rebate, by amending the and ETF option ADV contracts per day Professional, which ranges between that qualification to require less volume.11 in a month receive a $0.42 per contract of a Customer and market maker, The Exchange believes that this NOM Market Maker Penny Pilot accomplishes this objective.16 NOM incentive will continue to encourage Options Rebate to Add Liquidity. Market Makers have obligations to the Participants to add even more liquidity The Exchange proposes to remove the market and regulatory requirements,17 on NOM to earn a higher Tier 8 rebate. option to qualify for the Tier 6 NOM which normally do not apply to other The Exchange is not amending the other Market Maker Penny Pilot Options market participants. A NOM Market criteria, (1) and (3), in note ‘‘c’’ to rebate by adding Customer, Maker has the obligation to make qualify for an additional rebate. Professional, Firm, Non-NOM Market continuous markets, engage in a course of dealings reasonably calculated to The Exchange also proposes to bold Maker, and/or Broker-Dealer liquidity in Penny Pilot Options and/or Non-Penny the numbers and letters that define the 12 Pilot Options of 1.40% or more of total 15 U.S.C. 78f. various parts of note ‘c’’ for ease of 13 15 U.S.C. 78f(b)(4) and (5). reference. industry customer equity and ETF 14 See Securities Exchange Act Release No. 64494 option ADV contracts per day in a (May 13, 2011), 76 FR 29014 (May 19, 2011) (SR– month. With this proposal, Participants NASDAQ–2011–066) (‘‘Professional Filing’’). In this 9 Consolidated Volume means the total will be able to qualify for the Tier 6 filing, the Exchange addressed the perceived consolidated volume reported to all consolidated favorable pricing of Professionals who were transaction reporting plans by all exchanges and NOM Market Maker Rebate by either (1) assessed fees and paid rebates like a Customer prior trade reporting facilities during a month in equity adding NOM Market Maker liquidity in to the filing. The Exchange noted in that filing that securities, excluding executed orders with a size of Penny Pilot Options and/or Non-Penny a Professional, unlike a retail Customer, has access less than one round lot. For purposes of calculating to sophisticated trading systems that contain Consolidated Volume and the extent of an equity Pilot Options above 0.80% of total functionality not available to retail Customers.1 member’s trading activity, expressed as a industry customer equity and ETF 15 See Professional Filing. percentage of or ratio to Consolidated Volume, the option ADV contracts per day in a 16 See Professional Filing. The Exchange also [sic] date of the annual reconstitution of the Russell month and qualifies [sic] for the Tier 7 in the Professional Filing that it believes the role Investments Indexes shall be excluded from both or Tier 8 Customer and/or Professional of the retail Customer in the marketplace is distinct total Consolidated Volume and the member’s from that of the Professional and the Exchange’s fee trading activity. Rebate to Add Liquidity in Penny Pilot proposal at that time accounted for this distinction 10 Note ‘‘c’’ offers three distinct incentives for Options or (2) adding NOM Market by pricing each market participant according to Participants that qualify for the Tier 8 Customer and Maker liquidity in Penny Pilot Options their roles and obligations. Professional Penny Pilot Options Rebate to Add 17 and/or Non-Penny Pilot Options above Pursuant to Chapter VII (Market Participants), Liquidity. The part (2) rebate, as amended, would Section 5 (Obligations of Market Makers), in be paid to Participants that added Customer, 0.90% of total industry customer equity registering as a market maker, an Options Professional, Firm, NOM Market Maker [sic], Non- and ETF option ADV contracts per day Participant commits himself to various obligations. NOM Market Maker and/or Broker-Dealer liquidity in a month. While the Exchange is Transactions of a Market Maker in its market in Penny Pilot Options and/or Non-Penny Pilot eliminating one of the methods to making capacity must constitute a course of Options of 1.30% or more of total industry dealings reasonably calculated to contribute to the customer equity and ETF option ADV contracts per qualify for the Tier 6 NOM Market maintenance of a fair and orderly market, and day in a month. Maker Penny Pilot Options rebate, the Market Makers should not make bids or offers or 11 Only Participants that qualify for the Tier 8 Exchange believes that the rebate tier enter into transactions that are inconsistent with Customer and Professional Penny Pilot Options will continue to incentivize NOM such course of dealings. Further, all Market Makers Rebate to Add Liquidity are eligible for the note ‘‘c’’ are designated as specialists on NOM for all incentives. The incentives are in addition to the Participants to continue to add liquidity purposes under the Act or rules thereunder. See Tier 8 rebate. to NOM. Chapter VII, Section 5.

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contribute to the maintenance of a fair 8 NOM Market Maker [sic] Penny Pilot of the qualifying language in Tier 6 of and orderly market, and not make bids Option rebate is reasonable because the NOM Market Maker Penny Pilot or offers or enter into transactions that additional Participants may qualify for Options Rebate to Add Liquidity will are inconsistent with a [sic] course of this incentive because of the lower uniformly apply to all Participants. No dealings.18 volume requirement. The Exchange Participant will be entitled to the Tier The Commission and the courts have believes that this incentive will 6 NOM Market Maker Penny Pilot repeatedly expressed their preference continue to encourage Participants to Options Rebate to Add Liquidity by for competition over regulatory add even more liquidity on NOM to adding Customer, Professional, Firm, intervention in determining prices, earn a higher rebate. Participants that Non-NOM Market Maker, and/or products, and services in the securities qualify for this incentive would be paid Broker-Dealer liquidity in Penny Pilot markets. In Regulation NMS, for the Tier 8 Customer and Professional Options and/or Non-Penny Pilot example, the Commission indicated that Penny Pilot Options Rebate to Add Options of 1.40% or more of total market forces should generally Liquidity of $0.48 per contract plus the industry customer equity and ETF determine the price of non-core market additional part (2) note ‘‘c’’ rebate of option ADV contracts per day in a data because national market system $0.05 per contract for a total rebate of month. Also, it is important to note that regulation ‘‘has been remarkably $0.53 per contract. NOM Market Makers have obligations to successful in promoting market The Exchange’s proposal to amend the market and regulatory competition in its broader forms that are note ‘‘c,’’ at part (2) to decrease the requirements,25 which normally do not most important to investors and listed percentage of total industry customer apply to other market participants. The companies.’’ 19 Likewise, in equity and ETF option ADV contract per Exchange believes that offering rebates NetCoalition v. NYSE Arca, Inc. 20 day in a month from 1.40% to 1.30% in to these market participants is equitable (‘‘NetCoalition’’) the D.C. Circuit upheld part (2) to qualify for the additional Tier and not unfairly discriminatory in light the Commission’s use of a market-based 8 NOM Market Maker [sic] Penny Pilot of their obligations. approach in evaluating the fairness of Option rebate is equitable and not B. Self-Regulatory Organization’s market data fees against a challenge unfairly discriminatory because, today, Statement on Burden on Competition claiming that Congress mandated a cost- all Participants may qualify for the Tier based approach.21 As the court 8 Customer and Professional Rebate to The Exchange does not believe that emphasized, the Commission ‘‘intended Add Liquidity in Penny Pilot Options the proposed rule change will impose in Regulation NMS that ‘market forces, and therefore are qualified to earn the any burden on competition not necessary or appropriate in furtherance rather than regulatory requirements’ additional note ‘‘c’’ rebates.24 The of the purposes of the Act. In terms of play a role in determining the market Exchange will uniformly pay the Tier 8 inter-market competition, the Exchange data . . . to be made available to and additional note ‘‘c’’ rebates to all 22 notes that it operates in a highly investors and at what cost.’’ Participants that transact the qualifying competitive market in which market Further, ‘‘[n]o one disputes that volume, respectively. participants can readily favor competing competition for order flow is ‘fierce.’ The Exchange’s proposal to bold the venues if they deem fee levels at a . . . As the SEC explained, ‘[i]n the U.S. numbers and letters in note ‘‘c’’ is particular venue to be excessive, or national market system, buyers and reasonable, equitable and not unfairly rebate opportunities available at other sellers of securities, and the broker- discriminatory because it will provide venues to be more favorable. In such an dealers that act as their order-routing an easier point of reference for each environment, the Exchange must agents, have a wide range of choices of criteria and rebate. Also, this proposed continually adjust its fees to remain where to route orders for execution’; amendment is non-substantive. [and] ‘no exchange can afford to take its competitive with other exchanges and market share percentages for granted’ NOM Market Maker Penny Pilot with alternative trading systems that because ‘no exchange possesses a Options Rebate To Add Liquidity Tiers have been exempted from compliance monopoly, regulatory or otherwise, in The Exchange’s proposal to amend with the statutory standards applicable the execution of order flow from broker Tier 6 of the NOM Market Maker Penny to exchanges. Because competitors are dealers’ . . . .’’ 23 Although the court Pilot Options Rebate to Add Liquidity to free to modify their own fees in and the SEC were discussing the cash eliminate one of the criteria to qualify response and because market equities markets, the Exchange believes for the $0.42 per contract Tier 6 rebate participants may readily adjust their that these views apply with equal force is reasonable because, despite the order routing practices, the Exchange to the options markets. elimination of one of the methods to believes that the degree to which fee changes in this market may impose any Note ‘‘c’’ of Chapter XV, Section 2(1) qualify for the Tier 6 NOM Market Maker Penny Pilot Options rebate, the burden on competition is extremely The Exchange’s proposal to amend Exchange believes that the Tier 6 rebate limited. In this instance, the proposed note ‘‘c,’’ at part (2) to decrease the will continue to incentivize Participants amendments to the Customer, percentage of total industry customer to add liquidity to NOM in order to Professional and NOM Market Maker equity and ETF option ADV contract per receive the rebate. Penny Pilot Options Rebate to Add day in a month from 1.40% to 1.30% in The Exchange’s proposal to amend Liquidity tiers do not impose an undue part (2) to qualify for the additional Tier Tier 6 of the NOM Market Maker Penny burden on inter-market competition Pilot Options Rebate to Add Liquidity to 18 Id. because the Exchange’s execution eliminate one of the criteria to qualify 19 Securities Exchange Act Release No. 51808 at services are completely voluntary and for the $0.42 per contract Tier 6 rebate 37499 (June 9, 2005) (‘‘Regulation NMS Adopting subject to extensive competition. Release’’). is equitable and not unfairly 20 NetCoalition v. NYSE Arca, Inc., 615 F.3d 525 discriminatory because the elimination Note ‘‘c’’ of Chapter XV, Section 2(1) (D.C. Cir. 2010). The Exchange’s proposal to amend 21 See NetCoalition, at 534. 24 Note ‘‘c’’ offers three distinct incentives for 22 Id. at 537. Participants that qualify for the Tier 8 Customer and note ‘‘c,’’ at part (2) to decrease the 23 Id. at 539 (quoting ArcaBook Order, 73 FR at Professional Penny Pilot Options Rebate to Add 74782–74783). Liquidity. 25 See note 17 above.

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percentage of total industry customer unfairly discriminatory in light of their Commission, and all written equity and ETF option ADV contract per obligations.26 communications relating to the day in a month from 1.40% to 1.30% to proposed rule change between the C. Self-Regulatory Organization’s qualify for the additional Tier 8 rebate Commission and any person, other than Statement on Comments on the does not impose an undue burden on those that may be withheld from the intra-market competition because, Proposed Rule Change Received From public in accordance with the today, all Participants may qualify for Members, Participants, or Others provisions of 5 U.S.C. 552, will be the Tier 8 Customer and Professional No written comments were either available for Web site viewing and Penny Pilot Options Rebates to Add solicited or received. printing in the Commission’s Public Liquidity and qualify to earn the note III. Date of Effectiveness of the Reference Room, 100 F Street NE., ‘‘c’’ additional rebates. The Exchange Washington, DC 20549 on official Proposed Rule Change and Timing for will uniformly pay the Tier 8 and business days between the hours of Commission Action additional note ‘‘c’’ rebates to all 10:00 a.m. and 3:00 p.m. Copies of the Participants that transact the qualifying The foregoing rule change has become filing also will be available for volume, respectively. effective pursuant to Section inspection and copying at the principal Customer liquidity is critically 19(b)(3)(A)(ii) of the Act.27 office of the Exchange. All comments important to the market and benefits all At any time within 60 days of the received will be posted without change; market participants. Greater customer filing of the proposed rule change, the the Commission does not edit personal liquidity benefits all market participants Commission summarily may identifying information from by providing more trading opportunities temporarily suspend such rule change if submissions. You should submit only and attracting greater participation by it appears to the Commission that such information that you wish to make specialists and market makers. An action is: (i) Necessary or appropriate in available publicly. All submissions increase in the activity of these market the public interest; (ii) for the protection should refer to File Number SR– participants in turn facilitates tighter of investors; or (iii) otherwise in NASDAQ–2015–166, and should be spreads. All Participants are eligible for furtherance of the purposes of the Act. submitted on or before February 10, these rebates if they transact the If the Commission takes such action, the 2016. requisite volume. All Participants are Commission shall institute proceedings For the Commission, by the Division of eligible for the note ‘‘c’’ incentives if to determine whether the proposed rule Trading and Markets, pursuant to delegated they transact the requisite volume. Also, should be approved or disapproved. authority.28 the Exchange believes that encouraging IV. Solicitation of Comments Robert W. Errett, Participants to add Professional Deputy Secretary. liquidity creates competition among Interested persons are invited to options exchanges, because the submit written data, views, and [FR Doc. 2016–00897 Filed 1–19–16; 8:45 am] Exchange believes that the rebates may arguments concerning the foregoing, BILLING CODE 8011–01–P cause market participants to select NOM including whether the proposed rule change is consistent with the Act. as a venue to send Professional order SECURITIES AND EXCHANGE Comments may be submitted by any of flow. COMMISSION The Exchange’s proposal to bold the the following methods: numbers and letters in note ‘‘c’’ do not Electronic Comments Sunshine Act Meeting impose an undue burden on intra- market competition because the • Use the Commission’s Internet Notice is hereby given, pursuant to amendment is non-substantive. comment form (http://www.sec.gov/ the provisions of the Government in the rules/sro.shtml); or Sunshine Act, Public Law 94–409, that NOM Market Maker Penny Pilot • Send an email to rule-comments@ the Securities and Exchange Options Rebate To Add Liquidity Tiers sec.gov. Please include File Number SR– Commission Investor Advisory The Exchange’s proposal to amend NASDAQ–2015–166 on the subject line. Committee will hold a meeting on Tier 6 of the NOM Market Maker Penny Thursday, January 21, 2016, in Multi- Paper Comments Pilot Options Rebate to Add Liquidity to Purpose Room LL–006 at the eliminate one of the criteria to qualify • Send paper comments in triplicate Commission’s headquarters, 100 F for the $0.42 per contract Tier 6 rebate to Secretary, Securities and Exchange Street NE., Washington, DC. The does not impose an undue burden on Commission, 100 F Street NE., meeting will begin at 10:00 a.m. (ET) intra-market competition because the Washington, DC 20549–1090. and will be open to the public. Seating elimination of the qualifying language All submissions should refer to File will be on a first-come, first-served in Tier 6 of the NOM Market Maker Number SR–NASDAQ–2015–166. This basis. Doors will open at 9:00 a.m. Penny Pilot Options Rebate to Add file number should be included on the Visitors will be subject to security Liquidity will uniformly apply to all subject line if email is used. To help the checks. The meeting will be webcast on Participants. No Participant will be Commission process and review your the Commission’s Web site at entitled to the Tier 6 NOM Market comments more efficiently, please use www.sec.gov. Maker Penny Pilot Options Rebate to only one method. The Commission will On December 23, 2015, the Add Liquidity by adding Customer, post all comments on the Commission’s Commission issued notice of the Professional, Firm, Non-NOM Market Internet Web site (http://www.sec.gov/ Committee meeting (Release No. 33– Maker, and/or Broker-Dealer liquidity in rules/sro.shtml). Copies of the 10000), indicating that the meeting is Penny Pilot Options and/or Non-Penny submission, all subsequent open to the public (except during that Pilot Options of 1.40% or more of total amendments, all written statements portion of the meeting reserved for an industry customer equity and ETF with respect to the proposed rule administrative work session during option ADV contracts per day in a change that are filed with the lunch), and inviting the public to month. The Exchange believes that submit written comments to the offering rebates to these market 26 See note 17 above. participants is equitable and not 27 15 U.S.C. 78s(b)(3)(A)(ii). 28 17 CFR 200.30–3(a)(12).

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Committee. This Sunshine Act notice is I. Self-Regulatory Organization’s product per month. No new reporting being issued because a quorum of the Statement of the Terms of the Substance would be required.6 of the Proposed Rule Change Commission may attend the meeting. 2. Statutory Basis The agenda for the meeting includes: The Exchange proposes to amend the The Exchange believes that the remarks from Commissioners; a fees for NYSE Amex Options Product,4 proposed rule change is consistent with discussion of fixed income market as set forth on the NYSE Amex Options the provisions of section 6 of the Act,7 structure and pre-trade price Proprietary Market Data Fee Schedule in general, and sections 6(b)(4) and transparency; a discussion of a draft (‘‘Fee Schedule’’). The Exchange 6(b)(5) of the Act,8 in particular, in that letter from the Investor as Owner proposes to establish a multiple data it provides an equitable allocation of subcommittee regarding Financial feed fee effective January 1, 2016. The reasonable fees among users and Accounting Standards Board proposed text of the proposed rule change is recipients of the data and is not amendments to the Statement of available on the Exchange’s Web site at designed to permit unfair Financial Accounting Concepts and www.nyse.com, at the principal office of discrimination among customers, Notes to Financial Statements the Exchange, and at the Commission’s issuers, and brokers. concerning disclosure materiality; an Public Reference Room. The fees are also equitable and not unfairly discriminatory because they update on crowdfunding rules; a II. Self-Regulatory Organization’s discussion of NASDAQ listing will apply to all data recipients that Statement of the Purpose of, and choose to subscribe to NYSE Amex standards—shareholder approval rules; Statutory Basis for, the Proposed Rule subcommittee reports; and a nonpublic Options Product. Change The Exchange believes that it is administrative work session during reasonable to require data recipients to lunch. In its filing with the Commission, the self-regulatory organization included pay a modest additional fee taking a For further information, please statements concerning the purpose of, data feed for a market data product in contact the Office of the Secretary at and basis for, the proposed rule change more than two locations, because such (202) 551–5400. and discussed any comments it received data recipients can derive substantial Dated: January 14, 2016. on the proposed rule change. The text value from being able to consume the product in as many locations as they Brent J. Fields, of those statements may be examined at want. In addition, there are Secretary. the places specified in Item IV below. The Exchange has prepared summaries, administrative burdens associated with [FR Doc. 2016–01129 Filed 1–15–16; 4:15 pm] set forth in sections A, B, and C below, tracking each location at which a data BILLING CODE 8011–01–P of the most significant parts of such recipient receives the product. The statements. Multiple Data Feed Fee is designed to encourage data recipients to better SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s manage their requests for additional COMMISSION Statement of the Purpose of, and data feeds and to monitor their usage of Statutory Basis for, the Proposed Rule data feeds. The proposed fee is designed [Release No. 34–76889; File No. SR– Change to apply to data feeds received in more NYSEMKT–2015–113] 1. Purpose than two locations so that each data recipient can have one primary and one Self-Regulatory Organizations; NYSE The Exchange proposes to amend the backup data location before having to MKT LLC; Notice of Filing and fees for NYSE Amex Options Product,5 pay a multiple data feed fee. The Immediate Effectiveness of Proposed as set forth on the NYSE Amex Options Exchange notes that this pricing is Rule Change To Amend Market Data Proprietary Market Data Fee Schedule consistent with similar pricing adopted Fees for the NYSE Amex Options (‘‘Fee Schedule’’). The Exchange in 2013 by the Consolidated Tape Product proposes to establish a multiple data Association (‘‘CTA’’).9 The Exchange feed fee effective January 1, 2016. also notes that the OPRA Plan imposes January 13, 2016. Specifically, the Exchange proposes to a similar charge of $100 per connection Pursuant to section 19(b)(1) 1 of the establish a new monthly fee, the for circuit connections in addition to the 10 Securities Exchange Act of 1934 (the ‘‘Multiple Data Feed Fee,’’ that would primary and backup connections. The Exchange notes that NYSE Amex ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 apply to data recipients that take a data Options Product is entirely optional. notice is hereby given that, on December feed for NYSE Amex Options Product in 31, 2015, NYSE MKT LLC (the more than two locations. Data recipients taking NYSE Amex Options Product in 6 Data vendors currently report a unique Vendor ‘‘Exchange’’ or ‘‘NYSE MKT’’) filed with more than two locations would be Account Number for each location at which they the Securities and Exchange provide a data feed to a data recipient. The charged $200 per additional location per Commission (the ‘‘Commission’’) the Exchange considers each Vendor Account Number a location. For example, if a data recipient has five proposed rule change as described in 4 See Securities Exchange Act Release Nos. 76022 Vendor Account Numbers, representing five Items I, II, and III below, which Items (Sept. 29, 2015), 80 FR 60201 (Oct. 5, 2015) (SR– locations, for the receipt of the NYSE Amex Options have been prepared by the self- NYSEMKT–2015–68) (Notice). The single fee for the Product, that data recipient will pay the Multiple Data Feed fee with respect to three of the five regulatory organization. The NYSE Amex Options Product set forth on the Fee Schedule is comprised of three data feeds: Amex locations, or $600. Commission is publishing this notice to Options Top, Amex Options Deep, and Amex 7 15 U.S.C. 78f(b). solicit comments on the proposed rule Options Complex. 8 15 U.S.C. 78f(b)(4), (5). change from interested persons. 5 See Securities Exchange Act Release Nos. 76022 9 See Securities Exchange Act Release No. 70010 (Sept. 29, 2015), 80 FR 60201 (Oct. 5, 2015) (SR– (July 19, 2013), 78 FR 44984 (July 25, 2013) (SR– NYSEMKT–2015–68) (Notice). The single fee for the CTA/CQ–2013–04). NYSE Amex Options Product set forth on the Fee 10 See ‘‘Direct Access Fee,’’ Options Price 1 15 U.S.C. 78s(b)(1). Schedule is comprised of three data feeds: Amex Reporting Authority Fee Schedule Fee Schedule 2 15 U.S.C. 78a. Options Top, Amex Options Deep, and Amex PRA Plan at http://www.opradata.com/pdf/fee_ 3 17 CFR 240.19b–4. Options Complex. schedule.pdf

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The Exchange is not required to make in the creation of a ‘consolidated For these reasons, the Exchange NYSE Amex Options Product available transactional reporting system.’ believes that the proposed fees are or to offer any specific pricing Id. at 535 (quoting H.R. Rep. No. 94–229 reasonable, equitable, and not unfairly alternatives to any customers, nor is any at 92 (1975), as reprinted in 1975 discriminatory. firm required to purchase NYSE Amex U.S.C.C.A.N. 323). The court agreed B. Self-Regulatory Organization’s Options Product. Firms that do with the Commission’s conclusion that Statement on Burden on Competition purchase NYSE Amex Options Product ‘‘Congress intended that ‘competitive do so for the primary goals of using it forces should dictate the services and The Exchange does not believe that to increase revenues, reduce expenses, practices that constitute the U.S. the proposed rule change will impose and in some instances compete directly national market system for trading any burden on competition that is not with the Exchange (including for order equity securities.’ ’’ 13 necessary or appropriate in furtherance flow); those firms are able to determine As explained below in the Exchange’s of the purposes of the Act. An for themselves whether NYSE Amex Statement on Burden on Competition, exchange’s ability to price its Options Product or any other similar the Exchange believes that there is proprietary market data feed products is products are attractively priced or not. substantial evidence of competition in constrained by actual competition for Firms that do not wish to purchase the marketplace for proprietary market the sale of proprietary market data NYSE Amex Options Product have a data and that the Commission can rely products, the joint product nature of variety of alternative market data upon such evidence in concluding that exchange platforms, and the existence of products from which to choose,11 or if the fees established in this filing are the alternatives to the Exchange’s NYSE Amex Options Product does not product of competition and therefore proprietary data. provide sufficient value to firms as satisfy the relevant statutory offered based on the uses those firms standards.14 In addition, the existence of The Existence of Actual Competition. have or planned to make of it, such alternatives to these data products, such The market for proprietary data firms may simply choose to conduct as options data from other sources, as products is currently competitive and their business operations in ways that described below, further ensures that inherently contestable because there is do not use NYSE Amex Options Product the Exchange cannot set unreasonable fierce competition for the inputs or use it at different levels or in different fees, or fees that are unreasonably necessary for the creation of proprietary configurations. The Exchange notes that discriminatory, when vendors and data and strict pricing discipline for the broker-dealers are not required to subscribers can select such alternatives. proprietary products themselves. purchase proprietary market data to As the NetCoalition decision noted, Numerous exchanges compete with comply with their best execution the Commission is not required to each other for options trades and sales obligations.12 undertake a cost-of-service or of market data itself, providing ample The decision of the United States ratemaking approach. The Exchange opportunities for entrepreneurs who Court of Appeals for the District of believes that, even if it were possible as wish to compete in any or all of those Columbia Circuit in NetCoalition v. a matter of economic theory, cost-based areas, including producing and SEC, 615 F.3d 525 (D.C. Cir. 2010), pricing for proprietary market data distributing their own options market upheld reliance by the Securities and would be so complicated that it could data. Proprietary options data products Exchange Commission (‘‘Commission’’) not be done practically or offer any are produced and distributed by each 15 upon the existence of competitive significant benefits. individual exchange, as well as other market mechanisms to set reasonable entities, in a vigorously competitive 13 and equitably allocated fees for NetCoalition, 615 F.3d at 535. market. Indeed, the U.S. Department of proprietary market data: 14 Section 916 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Justice (‘‘DOJ’’) (the primary antitrust In fact, the legislative history indicates that ‘‘Dodd-Frank Act’’) amended paragraph (A) of regulator) has expressly acknowledged the Congress intended that the market system section 19(b)(3) of the Act, 15 U.S.C. 78s(b)(3), to the aggressive actual competition among ‘evolve through the interplay of competitive make clear that all exchange fees for market data exchanges, including for the sale of may be filed by exchanges on an immediately forces as unnecessary regulatory restrictions proprietary market data. In 2011, the are removed’ and that the SEC wield its effective basis. 15 DOJ stated that exchanges ‘‘compete regulatory power ‘in those situations where The Exchange believes that cost-based pricing competition may not be sufficient,’ such as would be impractical because it would create head to head to offer real-time equity enormous administrative burdens for all parties and data products. These data products the Commission to cost-regulate a large number of 11 For example, Chicago Board Options Exchange participants and standardize and analyze include the best bid and offer of every (‘‘CBOE’’) charges, for its ‘‘Complex Order Book extraordinary amounts of information, accounts, exchange and information on each Feed,’’ a Distributor Fee of $3,000 per month, a and reports. In addition, and as described below, it equity trade, including the last sale.’’ 16 Professional User Fee of $25 per month and a Non- is impossible to regulate market data prices in Similarly, the options markets Professional User Fee of $1 per month. See the isolation from prices charged by markets for other CBOE ‘‘Complex Order Book Feed’’ product and services that are joint products. Cost-based rate pricing information, available at https:// regulation would also lead to litigation and may Commission’s 2000 Concept Release on the www.cboe.org/MDX/CSM/OBOOKMain.aspx. distort incentives, including those to minimize Regulation of Market Information Fees and NASDAQ OMX PHLX LLC (‘‘PHLX’’) also offers a costs and to innovate, leading to further waste. Revenues, which can be found on the Commission’s market data product entitled ‘‘PHLX Orders,’’ Under cost-based pricing, the Commission would Web site at http://www.sec.gov/rules/concept/ which includes order and last sale information for be burdened with determining a fair rate of return, s72899/buck1.htm. complex strategies and other market data, and and the industry could experience frequent rate 16 Press Release, U.S. Department of Justice, charges a $3,000 internal monthly fee ($3,500 for increases based on escalating expense levels. Even Assistant Attorney General Christine Varney Holds external), $2,000 per Distributor and $500 per in industries historically subject to utility Conference Call Regarding NASDAQ OMX Group subscriber. See PHLX ‘‘PHLX Orders’’ market data regulation, cost-based ratemaking has been Inc. and IntercontinentalExchange Inc. Abandoning product and pricing information, available at discredited. As such, the Exchange believes that Their Bid for NYSE Euronext (May 16, 2011), http://www.nasdaqtrader.com/ cost-based ratemaking would be inappropriate for available at http://www.justice.gov/iso/opa/atr/ Micro.aspx?id=PHLXOrders and http:// proprietary market data and inconsistent with speeches/2011/at-speech-110516.html; see also www.nasdaqtrader.com/ Congress’s direction that the Commission use its Complaint in U.S. v. Deutsche Borse AG and NYSE Trader.aspx?id=DPPriceListOptions#PHLX, authority to foster the development of the national Euronext, Case No. 11–cv–2280 (D.C. Dist.) ¶ 24 respectively. market system, and that market forces will continue (‘‘NYSE and Direct Edge compete head-to-head . . . 12 See FINRA Regulatory Notice 15–46, ‘‘Best to provide appropriate pricing discipline. See in the provision of real-time proprietary equity data Execution,’’ November 2015. Appendix C to NYSE’s comments to the products.’’).

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vigorously compete with respect to revenues or reducing costs in the create a risk of reducing an exchange’s options data products.17 customer’s business in a manner that revenues from both products. Moreover, competitive markets for will offset the fees. All of these factors Other market participants have noted order flow, executions, and transaction operate as constraints on pricing that proprietary market data and trade reports provide pricing discipline for proprietary data products. executions are joint products of a joint the inputs of proprietary options data platform and have common costs.19 The products and therefore constrain Joint Product Nature of Exchange Exchange agrees with and adopts those markets from overpricing proprietary Platform discussions and the arguments therein. options market data. Broker-dealers Transaction execution and proprietary The Exchange also notes that the send their order flow to multiple data products are complementary in that economics literature confirms that there venues, rather than providing them all market data is both an input and a is no way to allocate common costs to a single venue, which in turn byproduct of the execution service. In between joint products that would shed reinforces this competitive constraint. fact, proprietary market data and trade any light on competitive or efficient Options markets, similar to the equities executions are a paradigmatic example pricing.20 markets, are highly fragmented.18 of joint products with joint costs. The Analyzing the cost of market data If an exchange succeeds in competing decision of whether and on which product production and distribution in for quotations, order flow, and trade platform to post an order will depend isolation from the cost of all of the executions, then it earns trading on the attributes of the platforms where inputs supporting the creation of market revenues and increases the value of its the order can be posted, including the data and market data products will proprietary options market data execution fees, data availability and inevitably underestimate the cost of the products because they will contain quality, and price and distribution of data and data products because it is greater quote and trade information. data products. Without a platform to impossible to obtain the data inputs to Conversely, if an exchange is less post quotations, receive orders, and create market data products without a successful in attracting quotes, order execute trades, exchange data products fast, technologically robust, and well- flow, and trade executions, then its would not exist. regulated execution system, and system options market data products may be and regulatory costs affect the price of The costs of producing market data less desirable to customers using them both obtaining the market data itself and include not only the costs of the data in support of order routing and trading creating and distributing market data distribution infrastructure, but also the decisions in light of the diminished products. It would be equally costs of designing, maintaining, and content; options data products offered misleading, however, to attribute all of operating the exchange’s platform for by competing venues may become an exchange’s costs to the market data posting quotes, accepting orders, and correspondingly more attractive. Thus, portion of an exchange’s joint products. executing transactions and the cost of competition for quotations, order flow, Rather, all of an exchange’s costs are regulating the exchange to ensure its fair and trade executions puts significant incurred for the unified purposes of operation and maintain investor pressure on an exchange to maintain attracting order flow, executing and/or confidence. The total return that a both execution and data fees at routing orders, and generating and trading platform earns reflects the reasonable levels. selling data about market activity. The In addition, in the case of products revenues it receives from both products that are also redistributed through and the joint costs it incurs. 19 See Securities Exchange Act Release No. 72153 market data vendors, such as Bloomberg Moreover, an exchange’s broker- (May 12, 2014), 79 FR 28575, 28578 n.15 (May 16, and Thompson Reuters, the vendors dealer customers generally view the 2014) (SR–NASDAQ–2014–045) (‘‘[A]ll of the costs of transaction executions and exchange’s costs are incurred for the unified themselves provide additional price purposes of attracting order flow, executing and/or discipline for proprietary data products market data as a unified cost of doing routing orders, and generating and selling data because they control the primary means business with the exchange. A broker- about market activity. The total return that an of access to certain end users. These dealer will only choose to direct orders exchange earns reflects the revenues it receives to an exchange if the revenue from the from the joint products and the total costs of the vendors impose price discipline based joint products.’’). See also Securities Exchange Act upon their business models. For transaction exceeds its cost, including Release No. 62907 (Sept. 14, 2010), 75 FR 57314, example, vendors that assess a the cost of any market data that the 57317 (Sept. 20, 2010) (SR–NASDAQ–2010–110), surcharge on data they sell are able to broker-dealer chooses to buy in support and Securities Exchange Act Release No. 62908 of its order routing and trading (Sept. 14, 2010), 75 FR 57321, 57324 (Sept. 20, refuse to offer proprietary products that 2010) (SR–NASDAQ–2010–111). their end users do not or will not decisions. If the costs of the transaction 20 See generally Mark Hirschey, ‘‘Fundamentals of purchase in sufficient numbers. Vendors are not offset by its value, then the Managerial Economics,’’ at 600 (2009) (‘‘It is will not elect to make available NYSE broker-dealer may choose instead not to important to note, however, that although it is Amex Options Product unless their purchase the product and trade away possible to determine the separate marginal costs of goods produced in variable proportions, it is customers request it, and customers will from that exchange. There is substantial impossible to determine their individual average not elect to pay the proposed fees unless evidence of the strong correlation costs. This is because common costs are expenses NYSE Amex Options Product can between order flow and market data necessary for manufacture of a joint product. provide value by sufficiently increasing purchases. For example, in September Common costs of production—raw material and equipment costs, management expenses, and other 2015, more than 80% of the transaction overhead—cannot be allocated to each individual 17 See, e.g., Securities Exchange Act Release No. volume on each of NYSE MKT and by-product on any economically sound basis.... 67466 (July 19, 2012), 77 FR 43629 (July 25, 2012) NYSE MKT’s affiliates New York Stock Any allocation of common costs is wrong and (SR–Phlx–2012–93), which describes a variety of Exchange LLC (‘‘NYSE’’) and NYSE arbitrary.’’). This is not new economic theory. See, options market data products and their pricing. e.g., F.W. Taussig, ‘‘A Contribution to the Theory 18 See, e.g., Press Release, TABB Says US Equity Arca, Inc. (‘‘NYSE Arca’’) was executed of Railway Rates,’’ Quarterly Journal of Economics Options Market Makers Need Scalable Technology by market participants that purchased V(4) 438, 465 (July 1891) (‘‘Yet, surely, the division to Compete in Today’s Complex Market Structure one or more proprietary market data is purely arbitrary. These items of cost, in fact, are (February 25, 2013), available at http://www. products (the 20 firms were not the jointly incurred for both sorts of traffic; and I cannot tabbgroup.com/PageDetail.aspx?PageID=16& share the hope entertained by the statistician of the ItemID=1231; Fragmentation Vexes Options same for each market). A supra- Commission, Professor Henry C. Adams, that we Markets (April 21, 2014), available at http://market competitive increase in the fees for shall ever reach a mode of apportionment that will smedia.com/fragmentation-vexes-options-market/. either executions or market data would lead to trustworthy results.’’).

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total return that an exchange earns Existence of Alternatives equitable allocation of fees among all reflects the revenues it receives from the The large number of SROs that users. The existence of numerous joint products and the total costs of the currently produce proprietary data or alternatives to the Exchange’s products, joint products. are currently capable of producing it including proprietary data from other As noted above, the level of provides further pricing discipline for sources, ensures that the Exchange competition and contestability in the proprietary data products. Each SRO is cannot set unreasonable fees, or fees that are unreasonably discriminatory, market is evident in the numerous currently permitted to produce and sell when vendors and subscribers can elect alternative venues that compete for proprietary data products, and many these alternatives or choose not to order flow, including 13 options self- currently do, including but not limited to the Exchange, NYSE Arca, CBOE, C2 purchase a specific proprietary data regulatory organization (‘‘SRO’’) product if the attendant fees are not Options Exchange, Inc., ISE, ISE markets. Three of the 13 have launched justified by the returns that any 21 Gemini, NASDAQ, PHLX, BX, BATS operations since December 2012. The particular vendor or data recipient and Miami Exchange. Exchange believes that these new would achieve through the purchase. entrants demonstrate that competition is The fact that proprietary data from robust. vendors can bypass SROs is significant C. Self-Regulatory Organization’s in two respects. First, non-SROs can Statement on Comments on the Competition among trading platforms compete directly with SROs for the Proposed Rule Change Received From can be expected to constrain the production and sale of proprietary data Members, Participants, or Others aggregate return that each platform products. By way of example, BATS and No written comments were solicited earns from the sale of its joint products, NYSE Arca both published proprietary but different trading platforms may or received with respect to the proposed data on the Internet before registering as rule change. choose from a range of possible, and exchanges. Second, because a single equally reasonable, pricing strategies as order or transaction report can appear in III. Date of Effectiveness of the the means of recovering total costs. For an SRO proprietary product, a non-SRO Proposed Rule Change and Timing for example, some platforms may choose to proprietary product, or both, the amount Commission Action pay rebates to attract orders, charge of data available via proprietary The foregoing rule change is effective relatively low prices for market data products is greater in size than the upon filing pursuant to section products (or provide market data actual number of orders and transaction 19(b)(3)(A) 24 of the Act and products free of charge), and charge reports that exist in the marketplace. subparagraph (f)(2) of Rule 19b–4 25 relatively high prices for accessing Because market data users can find thereunder, because it establishes a due, posted liquidity. Other platforms may suitable substitutes for most proprietary fee, or other charge imposed by the choose a strategy of paying lower market data products, a market that Exchange. rebates (or no rebates) to attract orders, overprices its market data products At any time within 60 days of the setting relatively high prices for market stands a high risk that users may filing of such proposed rule change, the data products, and setting relatively low substitute another source of market data Commission summarily may prices for accessing posted liquidity. For information for its own. temporarily suspend such rule change if example, BATS Global Markets In addition to the competition and it appears to the Commission that such (‘‘BATS’’) and Direct Edge, which price discipline described above, the action is necessary or appropriate in the previously operated as ATSs and market for proprietary data products is public interest, for the protection of obtained exchange status in 2008 and also highly contestable because market investors, or otherwise in furtherance of 2010, respectively, provided certain entry is rapid and inexpensive. The the purposes of the Act. If the market data at no charge on their Web history of electronic trading is replete Commission takes such action, the sites in order to attract more order flow, with examples of entrants that swiftly Commission shall institute proceedings and used revenue rebates from resulting grew into some of the largest electronic under section 19(b)(2)(B) 26 of the Act to additional executions to maintain low trading platforms and proprietary data determine whether the proposed rule execution charges for their users.22 In producers: Archipelago, Bloomberg change should be approved or this environment, there is no economic Tradebook, Island, RediBook, Attain, disapproved. basis for regulating maximum prices for TrackECN, BATS and Direct Edge. As IV. Solicitation of Comments one of the joint products in an industry noted above, BATS launched as an ATS Interested persons are invited to in which suppliers face competitive in 2006 and became an exchange in submit written data, views, and constraints with regard to the joint 2008, while Direct Edge began arguments concerning the foregoing, offering. operations in 2007 and obtained exchange status in 2010. As noted including whether the proposed rule change is consistent with the Act. 21 above, three new options exchanges See Securities Exchange Act Release Nos. Comments may be submitted by any of 70050 (July 26, 2013), 78 FR 46622 (August 1, 2013) have launched operations since (approving exchange registration for Topaz December 2012.23 the following methods: Exchange, LLC) (known as ISE Gemini); 68341 In determining the proposed fees, the (December 3, 2012), 77 FR 73065 (December 7, Electronic Comments 2012) (approving exchange registration for Miami Exchange considered the • Use the Commission’s Internet International Securities Exchange LLC (‘‘Miami competitiveness of the market for comment form (http://www.sec.gov/ Exchange’’)); and 75650 (August 7, 2015), 80 FR proprietary options data and all of the rules/sro.shtml); or 48600 (August 13, 2015) (establishing rules implications of that competition. The governing the trading of options on the EDGX • Send an email to rule-comments@ options market). Exchange believes that it has considered sec.gov. Please include File No. SR– 22 This is simply a securities market-specific all relevant factors and has not NYSEMKT–2015–113 on the subject example of the well-established principle that in considered irrelevant factors in order to line. certain circumstances more sales at lower margins establish fair, reasonable, and not can be more profitable than fewer sales at higher margins; this example is additional evidence that unreasonably discriminatory fees and an 24 15 U.S.C. 78s(b)(3)(A). market data is an inherent part of a market’s joint 25 17 CFR 240.19b–4(f)(2). platform. 23 See supra note 21. 26 15 U.S.C. 78s(b)(2)(B).

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Paper Comments Incident Period: 12/26/2015 through DEPARTMENT OF STATE • 12/29/2015. Send paper comments in triplicate [Public Notice: 9408] to Secretary, Securities and Exchange Effective Date: 1/11/2016. Physical Loan Application Deadline Commission, 100 F Street NE., U.S. Department of State Advisory Date: 3/11/2016. Washington, DC 20549–1090. Economic Injury (EIDL) Loan Committee on Private International All submissions should refer to File No. Application Deadline Date: 10/11/2016. Law (ACPIL): Public Meeting on Family SR–NYSEMKT–2015–113. This file Law ADDRESSES: Submit completed loan number should be included on the applications to: U.S. Small Business subject line if email is used. To help the The Office of the Assistant Legal Administration, Processing And Commission process and review your Adviser for Private International Law, Disbursement Center, 14925 Kingsport comments more efficiently, please use Department of State, gives notice of a Road, Fort Worth, TX 76155. only one method. The Commission will public meeting to discuss an upcoming post all comments on the Commission’s FOR FURTHER INFORMATION CONTACT: A. meeting at the Hague Conference on Internet Web site (http://www.sec.gov/ Escobar, Office of Disaster Assistance, Private International Law (‘‘Hague rules/sro.shtml). Copies of the U.S. Small Business Administration, Conference’’) on the topic of submission, all subsequent 409 3rd Street SW., Suite 6050, international parentage and surrogacy. amendments, all written statements Washington, DC 20416. The public meeting will take place on with respect to the proposed rule SUPPLEMENTARY INFORMATION: Notice is Tuesday, February 9, 2016 from 1 p.m. change that are filed with the hereby given that as a result of the until 4 p.m. EST. This is not a meeting Commission, and all written Administrator’s disaster declaration, of the full Advisory Committee. communications relating to the applications for disaster loans may be In March 2015, the Council on proposed rule change between the filed at the address listed above or other General Affairs and Policy of the Hague Commission and any person, other than locally announced locations. Conference decided that an Experts’ those that may be withheld from the The following areas have been Group should be convened to explore public in accordance with the determined to be adversely affected by the feasibility of advancing work on provisions of 5 U.S.C. 552, will be the disaster: private international law issues available for Web site viewing and Primary Counties: Cherokee. surrounding the status of children, printing in the Commission’s Public Contiguous Counties: including issues arising from Reference Room, 100 F Street NE., Kansas: Crawford, Labette. international surrogacy arrangements. Missouri: Jasper, Newton. Washington, DC 20549 on official The first meeting of the Experts’ Group Oklahoma: Craig, Ottawa. business days between the hours of will be held February 15–18, 2016, in 10:00 a.m. and 3:00 p.m. Copies of such The Interest Rates are: The Hague. The purpose of the public meeting is filing also will be available for Percent inspection and copying at the principal to obtain the views of concerned office of the Exchange. All comments For Physical Damage: stakeholders on matters that might be received will be posted without change; Homeowners With Credit Avail- addressed at the upcoming Experts’ the Commission does not edit personal able Elsewhere ...... 3.625 Group meeting. Those who cannot identifying information from Homeowners Without Credit attend but wish to comment are submissions. You should submit only Available Elsewhere ...... 1.813 welcome to do so by email to Michael information that you wish to make Businesses With Credit Avail- Coffee at [email protected]. able Elsewhere ...... 6.000 available publicly. All submissions Time and Place: The meeting will take Businesses Without Credit place from 1 p.m. until 4 p.m. EST in should refer to File No. SR–NYSEMKT– Available Elsewhere ...... 4.000 2015–113, and should be submitted on Non-Profit Organizations With Room 9.04, State Department Annex 17, or before February 10, 2016. Credit Available Elsewhere ... 2.625 600 19th Street NW., Washington, DC 20522. Participants should plan to For the Commission, by the Division of Non-Profit Organizations With- Trading and Markets, pursuant to delegated out Credit Available Else- arrive at the North Entrance by 12:40 authority.27 where ...... 2.625 p.m. for visitor screening. If you are For Economic Injury: Robert W. Errett, unable to attend the public meeting and Businesses & Small Agricultural Deputy Secretary. would like to participate from a remote Cooperatives Without Credit location, teleconferencing will be [FR Doc. 2016–00900 Filed 1–19–16; 8:45 am] Available Elsewhere ...... 4.000 available. BILLING CODE 8011–01–P Non-Profit Organizations With- out Credit Available Else- Public Participation: This meeting is where ...... 2.625 open to the public, subject to the capacity of the meeting room. Access to SMALL BUSINESS ADMINISTRATION The number assigned to this disaster the building is strictly controlled. For [Disaster Declaration #14593 and #14594] for physical damage is 14593 6 and for pre-clearance purposes, those planning economic injury is 14594 0. to attend should email [email protected] Kansas Disaster #KS–00095 The States which received an EIDL providing full name, address, date of AGENCY: U.S. Small Business Declaration # are Kansas, Missouri, birth, citizenship, driver’s license or Administration. Oklahoma. passport number, and email address. This information will greatly facilitate ACTION: Notice. (Catalog of Federal Domestic Assistance Numbers 59008) entry into the building. A member of the SUMMARY: This is a notice of an public needing reasonable Dated: January 11, 2016. Administrative declaration of a disaster accommodation should email pil@ for the State of Kansas dated 1/11/2016. Maria Contreras-Sweet, state.gov not later than February 2, Incident: Flooding. Administrator. 2016. Requests made after that date will [FR Doc. 2016–00921 Filed 1–19–16; 8:45 am] be considered, but might not be able to 27 17 CFR 200.30–3(a)(12). BILLING CODE 8025–01–P be fulfilled. If you would like to

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participate by telephone, please email FOR FURTHER INFORMATION CONTACT: For listed in this notice, including requests [email protected] to obtain the call-in further information, including a list of for copies of the proposed collection number and other information. the imported objects, contact the Office instrument and supporting documents, Data from the public is requested of Public Diplomacy and Public Affairs to Sabrina Cook, Bureau of Human pursuant to Public Law 99–399 in the Office of the Legal Adviser, U.S. Resources, Office of Overseas (Omnibus Diplomatic Security and Department of State (telephone: 202– Employment, U.S. Department of State, Antiterrorism Act of 1986), as amended; 632–6471; email: section2459@ Washington, DC 20006, who may be Public Law 107–56 (USA PATRIOT state.gov). The mailing address is U.S. reached on 202–663–2909 or at Act); and Executive Order 13356. The Department of State, L/PD, SA–5, Suite [email protected]. purpose of the collection is to validate 5H03, Washington, DC 20522–0505. SUPPLEMENTARY INFORMATION: the identity of individuals who enter Dated: January 13, 2016. • Title of Information Collection: Department facilities. Mark Taplin, Application for Employment as a The data will be entered into the Deputy Assistant Secretary for Policy, Bureau Locally Employed Staff or Family Visitor Access Control System (VACS– of Educational and Cultural Affairs, Member. D) database. Please see the Security Department of State. • OMB Control Number: 1405–0189. Records System of Records Notice • [FR Doc. 2016–01012 Filed 1–19–16; 8:45 am] Type of Request: Extension of a (State–36) at https://foia.state.gov/_ BILLING CODE 4710–05–P Currently Approved Collection. docs/SORN/State-36.pdf for additional • Originating Office: Bureau of information. Human Resources, Office of Overseas Dated: January 11, 2016. DEPARTMENT OF STATE Employment (HR/OE). • Michael S. Coffee, Form Number: DS–0174. [Public Notice: 9409] • Attorney-Adviser, Office of Private Respondents: Candidates seeking International Law, Office of the Legal Adviser, 60-Day Notice of Proposed Information employment at U.S. Missions abroad, U.S. Department of State. Collection: Application for including family members of Foreign [FR Doc. 2016–01029 Filed 1–19–16; 8:45 am] Employment as a Locally Employed Service, Civil Service, and uniformed service members officially assigned to BILLING CODE 4710–08–P Staff or Family Member the Mission and under Chief of Mission ACTION: Notice of request for public authority. DEPARTMENT OF STATE comment. • Estimated Number of Respondents: 40,000. [Public Notice: 9410] SUMMARY: The Department of State is • Estimated Number of Responses: seeking Office of Management and 40,000. Culturally Significant Objects Imported Budget (OMB) approval for the • Average Time per Response: 1 hour. for Exhibition Determinations: ‘‘Peter information collection described below. • Total Estimated Burden Time: Fischli David Weiss: How to Work In accordance with the Paperwork 40,000 hours. Better’’ Exhibition Reduction Act of 1995, we are • Frequency: On Occasion. SUMMARY: Notice is hereby given of the requesting comments on this collection • Obligation To Respond: Required to following determinations: Pursuant to from all interested individuals and Obtain a Benefit. the authority vested in me by the Act of organizations. The purpose of this We are soliciting public comments to October 19, 1965 (79 Stat. 985; 22 U.S.C. notice is to allow 60 days for public permit the Department to: 2459), Executive Order 12047 of March comment preceding submission of the • Evaluate whether the proposed 27, 1978, the Foreign Affairs Reform and collection to OMB. information collection is necessary for Restructuring Act of 1998 (112 Stat. DATES: The Department will accept the proper functions of the Department. 2681, et seq.; 22 U.S.C. 6501 note, et comments from the public up to March • Evaluate the accuracy of our seq.), Delegation of Authority No. 234 of 21, 2016. estimate of the time and cost burden for October 1, 1999, Delegation of Authority ADDRESSES: You may submit comments this proposed collection, including the No. 236–3 of August 28, 2000 (and, as by any of the following methods: validity of the methodology and appropriate, Delegation of Authority No. • Web: Persons with access to the assumptions used. 257–1 of December 11, 2015), I hereby Internet may comment on this notice by • Enhance the quality, utility, and determine that the objects to be going to www.Regulations.gov. You can clarity of the information to be included in the exhibition ‘‘Peter Fischli search for the document by entering collected. David Weiss: How to Work Better,’’ ‘‘Docket Number: DOS–2015–0075’’ in • Minimize the reporting burden on imported from abroad for temporary the Search field. Then click the those who are to respond, including the exhibition within the United States, are ‘‘Comment Now’’ button and complete use of automated collection techniques of cultural significance. The objects are the comment form. or other forms of information imported pursuant to loan agreements • Email: [email protected]. technology. with the foreign owners or custodians. • Regular Mail: Send written Please note that comments submitted in I also determine that the exhibition or comments to: U.S. Department of response to this Notice are public display of the exhibit objects at the State—SA–44, HR/OE, Suite 1300, record. Before including any detailed Solomon R. Guggenheim Museum, New Attention: Sabrina Cook, 1800 G Street personal information, you should be York, New York, from on about NW., Washington, DC 20006. aware that your comments as submitted, February 5, 2016, until on or about You must include the DS form including your personal information, April 20, 2016, and at possible number (if applicable), information will be available for public review. additional exhibitions or venues yet to collection title, and the OMB control Abstract of proposed collection: be determined, is in the national number in any correspondence. The DS–0174, Application for interest. I have ordered that Public FOR FURTHER INFORMATION CONTACT: Employment as a Locally Employed Notice of these Determinations be Direct requests for additional Staff or Family Member, is needed to published in the Federal Register. information regarding the collection meet information collection

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requirements for recruitments Public Notice of these Determinations state.gov). The mailing address is U.S. conducted at approximately 170 U.S. be published in the Federal Register. Department of State, L/PD, SA–5, Suite embassies and consulates throughout FOR FURTHER INFORMATION CONTACT: For 5H03, Washington, DC 20522–0505. the world. Current employment further information, including a list of Dated: January 12, 2016. application forms do not meet the the imported objects, contact the Office Mark Taplin, unique requirements of Mission of Public Diplomacy and Public Affairs Deputy Assistant Secretary for Policy, Bureau recruitment (e.g., language skills and in the Office of the Legal Adviser, U.S. of Educational and Cultural Affairs, hiring preferences) under the FS Act of Department of State (telephone: 202– Department of State. 1980 and 22 U.S.C. 2669(c). The DS– 632–6471; email: section2459@ [FR Doc. 2016–01002 Filed 1–19–16; 8:45 am] 0174 is needed to improve data state.gov). The mailing address is U.S. BILLING CODE 4710–05–P gathering and to clarify interpretation of Department of State, L/PD, SA–5, Suite candidate responses. 5H03, Washington, DC 20522–0505. Methodology: Dated: January 12. 2016. DEPARTMENT OF STATE Candidates for employment use the Mark Taplin, DS–0174 to apply for Mission- [Public Notice: 9411] Deputy Assistant Secretary for Policy, Bureau advertised positions throughout the of Educational and Cultural Affairs, Culturally Significant Objects Imported world. Mission recruitments generate Department of State. approximately 40,000 applications per for Exhibition Determinations: ‘‘Asia in [FR Doc. 2016–01001 Filed 1–19–16; 8:45 am] Amsterdam’’ Exhibition year. Data that HR and hiring officials BILLING CODE 4710–05–P extract from the DS–0174 determines SUMMARY: Notice is hereby given of the eligibility for employment, following determinations: Pursuant to qualifications for the position, and DEPARTMENT OF STATE the authority vested in me by the Act of selections according to Federal policies. [Public Notice 9412] October 19, 1965 (79 Stat. 985; 22 U.S.C. Dated: January 11, 2016. 2459), Executive Order 12047 of March William E. Schaal, Culturally Significant Objects Imported 27, 1978, the Foreign Affairs Reform and Director, HR/EX, Department of State. for Exhibition Determinations: ‘‘A Restructuring Act of 1998 (112 Stat. [FR Doc. 2016–01021 Filed 1–19–16; 8:45 am] Japanese Constellation: Toyo Ito, 2681, et seq.; 22 U.S.C. 6501 note, et BILLING CODE 4710–15–P SANAA and Beyond’’ Exhibition seq.), Delegation of Authority No. 234 of October 1, 1999, Delegation of Authority SUMMARY: Notice is hereby given of the No. 236–3 of August 28, 2000 (and, as DEPARTMENT OF STATE following determinations: Pursuant to appropriate, Delegation of Authority No. the authority vested in me by the Act of 257–1 of December 11, 2015), I hereby October 19, 1965 (79 Stat. 985; 22 U.S.C. [Public Notice 9413] determine that the objects to be 2459), Executive Order 12047 of March included in the exhibition ‘‘Asia in 27, 1978, the Foreign Affairs Reform and Culturally Significant Objects Imported Amsterdam,’’ imported from abroad for Restructuring Act of 1998 (112 Stat. for Exhibition Determinations: ‘‘Van temporary exhibition within the United 2681, et seq.; 22 U.S.C. 6501 note, et Dyck, Rembrandt, and the Portrait States, are of cultural significance. The seq.), Delegation of Authority No. 234 of Print’’ Exhibition objects are imported pursuant to loan October 1, 1999, Delegation of Authority agreements with the foreign owners or SUMMARY: Notice is hereby given of the No. 236–3 of August 28, 2000 (and, as custodians. I also determine that the following determinations: Pursuant to appropriate, Delegation of Authority No. exhibition or display of the exhibit the authority vested in me by the Act of 257–1 of December 11, 2015), I hereby objects at the Peabody Essex Museum, October 19, 1965 (79 Stat. 985; 22 U.S.C. determine that the objects to be Salem, Massachusetts, from on about 2459), Executive Order 12047 of March included in the exhibition ‘‘A Japanese February 27, 2016, until on or about 27, 1978, the Foreign Affairs Reform and Constellation: Toyo Ito, SANAA and June 5, 2016, and at possible additional Restructuring Act of 1998 (112 Stat. Beyond,’’ imported from abroad for exhibitions or venues yet to be 2681, et seq.; 22 U.S.C. 6501 note, et temporary exhibition within the United determined, is in the national interest. seq.), Delegation of Authority No. 234 of States, are of cultural significance. The I have ordered that Public Notice of October 1, 1999, Delegation of Authority objects are imported pursuant to loan these Determinations be published in No. 236–3 of August 28, 2000 (and, as agreements with the foreign owners or the Federal Register. appropriate, Delegation of Authority No. custodians. I also determine that the FOR FURTHER INFORMATION CONTACT: For 257–1 of December 11, 2015), I hereby exhibition or display of the exhibit further information, including a list of determine that the objects to be objects at The Museum of Modern Art, the imported objects, contact the Office included in the exhibition ‘‘Van Dyck, New York, New York, from on or about of Public Diplomacy and Public Affairs Rembrandt, and the Portrait Print,’’ March 13, 2016, until on or about July in the Office of the Legal Adviser, U.S. imported from abroad for temporary 4, 2016, and at possible additional Department of State (telephone: 202– exhibition within the United States, are exhibitions or venues yet to be 632–6471; email: section2459@ of cultural significance. The objects are determined, is in the national interest. state.gov). The mailing address is U.S. imported pursuant to loan agreements I have ordered that Public Notice of Department of State, L/PD, SA–5, Suite with the foreign owner or custodian. I these Determinations be published in 5H03, Washington, DC 20522–0505. also determine that the exhibition or the Federal Register. display of the exhibit objects at The Art FOR FURTHER INFORMATION CONTACT: For Dated: January 13, 2016. Institute of Chicago, Chicago, Illinois, further information, including a list of Mark Taplin, from on or about March 5, 2016, until the imported objects, contact the Office Deputy Assistant Secretary for Policy, Bureau on or about August 7, 2016, and at of Public Diplomacy and Public Affairs of Educational and Cultural Affairs, possible additional exhibitions or in the Office of the Legal Adviser, U.S. Department of State. venues yet to be determined, is in the Department of State (telephone: 202– [FR Doc. 2016–01007 Filed 1–19–16; 8:45 am] national interest. I have ordered that 632–6471; email: section2459@ BILLING CODE 4710–05–P

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SUSQUEHANNA RIVER BASIN Consumptive Use of Up to 4.0000 mgd; of Up to 4.9990 mgd; Approval Date: COMMISSION Approval Date: December 3, 2015. December 11, 2015. 8. SWEPI LP, Pad ID: Patterson 570, 20. Cabot Oil & Gas Corporation, Pad Projects Approved for Consumptive ABR–201009097.R1, Charleston ID: AbbottD P2, ABR–201512003, Uses of Water Township, Tioga County, Pa.; Bridgewater Township, Susquehanna Consumptive Use of Up to 4.0000 mgd; County, Pa.; Consumptive Use of Up to AGENCY: Susquehanna River Basin Approval Date: December 3, 2015. Commission. 4.2500 mgd; Approval Date: December 9. SWEPI LP, Pad ID: Heath 418, 11, 2015. ACTION: Notice. ABR–201010011.R1, Delmar Township, 21. Cabot Oil & Gas Corporation, Pad SUMMARY: This notice lists the projects Tioga County, Pa.; Consumptive Use of ID: HowellG P1, ABR–201512004, approved by rule by the Susquehanna Up to 4.0000 mgd; Approval Date: Auburn Township, Susquehanna River Basin Commission during the December 3, 2015. County, Pa.; Consumptive Use of Up to 10. SWEPI LP, Pad ID: East Point Fish period set forth in DATES. 4.2750 mgd; Approval Date: December & Game Club 726, ABR–201010014.R1, DATES: December 1–31, 2015. 11, 2015. Liberty Township, Tioga County, Pa.; 22. Cabot Oil & Gas Corporation, Pad ADDRESSES: Susquehanna River Basin Consumptive Use of Up to 4.0000 mgd; ID: Jeffers Farm P5, ABR–201512005, Commission, 4423 North Front Street, Approval Date: December 3, 2015. Harrisburg, PA 17110–1788. Gibson Township, Susquehanna 11. Carrizo (Marcellus), LLC, Pad ID: County, Pa.; Consumptive Use of Up to FOR FURTHER INFORMATION CONTACT: Erickson Family Trust Pad, ABR– 4.2500 mgd; Approval Date: December Jason E. Oyler, General Counsel, 201107009.R1, Woodward Township, 11, 2015. telephone: (717) 238–0423, ext. 1312; Clearfield County, Pa.; Consumptive 23. Cabot Oil & Gas Corporation, Pad fax: (717) 238–2436; email: joyler@ Use of Up to 2.1000 mgd; Approval ID: JonesP P1, ABR–201512006, Forest srbc.net. Regular mail inquiries may be Date: December 8, 2015. Lake Township and Jessup Township, sent to the above address. 12. Carrizo (Marcellus), LLC, Pad ID: Susquehanna County, Pa.; Consumptive SUPPLEMENTARY INFORMATION: This Cowfer B (CC–09) Pad, ABR– Use of Up to 4.2500 mgd; Approval notice lists the projects, described 201107010.R1, Gulich Township, Date: December 11, 2015. below, receiving approval for the Clearfield County, Pa.; Consumptive 24. Chesapeake Appalachia, LLC, Pad consumptive use of water pursuant to Use of Up to 2.1000 mgd; Approval ID: Dziuba, ABR–201103012.R1, the Commission’s approval by rule Date: December 8, 2015. Tuscarora Township, Bradford County, 13. Carrizo (Marcellus), LLC, Pad ID: process set forth in 18 CFR 806.22 (f) for Pa.; Consumptive Use of Up to 7.5000 Hegarty (CC–04) Pad, ABR– the time period specified above: mgd; Approval Date: December 11, 201107013.R1, Beccaria Township, 2015. Approvals by Rule Issued Under 18 Clearfield County, Pa.; Consumptive 25. Chesapeake Appalachia, LLC, Pad CFR 806.22(f): Use of Up to 2.1000 mgd; Approval ID: Burke, ABR–201103019.R1, Wilmot 1. WPX Energy Appalachia, LLC, Pad Date: December 8, 2015. Township, Bradford County, Pa.; ID: Alder Run LP #5H, ABR–201512001, 14. Carrizo (Marcellus), LLC, Pad ID: Consumptive Use of Up to 7.5000 mgd; Cooper Township, Clearfield County, River Hill Power Karthaus Pad, ABR– Approval Date: December 11, 2015. Pa.; Consumptive Use of Up to 4.0000 201107014.R1, Karthaus Township, 26. Chesapeake Appalachia, LLC, Pad mgd; Approval Date: December 3, 2015. Clearfield County, Pa.; Consumptive 2. Chesapeake Appalachia, LLC, Pad Use of Up to 2.1000 mgd; Approval ID: Jones Pad, ABR–201103022.R1, ID: DPH, ABR–201103011.R1, Windham Date: December 8, 2015. Standing Stone Township, Bradford Township, Wyoming County, Pa.; 15. Chief Oil & Gas, LLC, Pad ID: W County, Pa.; Consumptive Use of Up to Consumptive Use of Up to 7.5000 mgd; & L Wilson Drilling Pad #1, ABR– 7.5000 mgd; Approval Date: December Approval Date: December 3, 2015. 201103014.R1, Lemon Township, 11, 2015. 3. SWN Production Company, LLC, Wyoming County, Pa.; Consumptive Use 27. Chesapeake Appalachia, LLC, Pad Pad ID: Depue Well #2H, ABR– of Up to 2.0000 mgd; Approval Date: ID: Sarah, ABR–201103041.R1, Athens 201009098.R1, Franklin Township, December 8, 2015. Township, Bradford County, Pa.; Susquehanna County, Pa.; Consumptive 16. Chief Oil & Gas, LLC, Pad ID: PMG Consumptive Use of Up to 7.5000 mgd; Use of Up to 4.0000 mgd; Approval Annie Drilling Pad #1, ABR– Approval Date: December 11, 2015. Date: December 3, 2015. 201103015.R1, Springville Township, 28. Chesapeake Appalachia, LLC, Pad 4. SWN Production Company, LLC, Susquehanna County, Pa.; Consumptive ID: Barclay, ABR–201103044.R1, Pad ID: Hollenbeck ABR, ABR– Use of Up to 2.0000 mgd; Approval Franklin Township, Bradford County, 201010017.R1, Franklin Township, Date: December 8, 2015. Pa.; Consumptive Use of Up to 7.5000 Susquehanna County, Pa.; Consumptive 17. Chief Oil & Gas, LLC, Pad ID: mgd; Approval Date: December 11, Use of Up to 4.0000 mgd; Approval Noble Drilling Pad #1, ABR– 2015. Date: December 3, 2015. 201104015.R1, Brooklyn Township, 29. Chesapeake Appalachia, LLC, Pad 5. SWEPI LP, Pad ID: Bergey 1, ABR– Susquehanna County, Pa.; Consumptive ID: Hi-Lev, ABR–201103051.R1, Troy 201009056.R1, Gaines Township, Tioga Use of Up to 2.0000 mgd; Approval Township, Bradford County, Pa.; County, Pa.; Consumptive Use of Up to Date: December 8, 2015. Consumptive Use of Up to 7.5000 mgd; 4.9900 mgd; Approval Date: December 18. EOG Resources, Incorporated, Pad Approval Date: December 11, 2015. 3, 2015. ID: NICHOLS 1H Pad, ABR– 30. Chesapeake Appalachia, LLC, Pad 6. SWEPI LP, Pad ID: Spencer 729, 201008090.R1, Smithfield Township, ID: Acton, ABR–201103313.R1, Rome ABR–201009065.R1, Liberty Township, Bradford County, Pa.; Consumptive Use Township, Bradford County, Pa.; Tioga County, Pa.; Consumptive Use of of Up to 4.9990 mgd; Approval Date: Consumptive Use of Up to 7.5000 mgd; Up to 4.0000 mgd; Approval Date: December 8, 2015. Approval Date: December 11, 2015. December 3, 2015. 19. SWN Production Company, LLC, 31. Chief Oil & Gas, LLC, Pad ID: 7. SWEPI LP, Pad ID: Burke 285, Pad ID: WY 09 OTTEN PAD, ABR– Kerrick Drilling Pad #1, ABR– ABR–201009096.R1, Charleston 201512002, Forkston Township, 201103040.R1, Asylum Township, Township, Tioga County, Pa.; Wyoming County, Pa.; Consumptive Use Bradford County, Pa.; Consumptive Use

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of Up to 2.0000 mgd; Approval Date: 44. SWEPI LP, Pad ID: Redl 600, 56. Chesapeake Appalachia, LLC, Pad December 11, 2015. ABR–201010013.R1, Sullivan ID: Crain, ABR–201104028.R1, Rome 32. EOG Resources, Incorporated, Pad Township, Tioga County, Pa.; Township, Bradford County, Pa.; ID: TYLER Pad, ABR–201008153.R1, Consumptive Use of Up to 4.0000 mgd; Consumptive Use of Up to 7.5000 mgd; Springfield Township, Bradford County, Approval Date: December 21, 2015. Approval Date: December 28, 2015. Pa.; Consumptive Use of Up to 4.9990 45. SWEPI LP, Pad ID: Signor 578, 57. Chesapeake Appalachia, LLC, Pad mgd; Approval Date: December 11, ABR–201010023.R1, Charleston ID: MPC New, ABR–201104030.R1, 2015. Township, Tioga County, Pa.; Cherry Township, Sullivan County, Pa.; 33. WPX Energy Appalachia, LLC, Consumptive Use of Up to 4.0000 mgd; Consumptive Use of Up to 7.5000 mgd; Pad ID: Alder Run Land LP 2H, ABR– Approval Date: December 21, 2015. Approval Date: December 28, 2015. 20100454.R1, Cooper Township, 46. SWEPI LP, Pad ID: Harman 565, 58. EXCO Resources (PA), LLC, Pad Clearfield County, Pa.; Consumptive ABR–201010028.R1, Charleston ID: Houseknecht Drilling Pad #1, ABR– Use of Up to 2.0000 mgd; Approval Township, Tioga County, Pa.; 201012014.R1, Davidson Township, Date: December 11, 2015. Consumptive Use of Up to 4.0000 mgd; Sullivan County, Pa.; Consumptive Use 34. EOG Resources, Incorporated, Pad Approval Date: December 21, 2015. of Up to 8.0000 mgd; Approval Date: ID: SGL 90 E Pad, ABR–201512008, 47. SWEPI LP, Pad ID: Hudson 575, December 28, 2015. Lawrence Township, Clearfield County, ABR–201010029.R1, Charleston 59. EXCO Resources (PA), LLC, Pad Pa.; Consumptive Use of Up to 5.0000 Township, Tioga County, Pa.; ID: Doebler Drilling Pad #1, ABR– mgd; Approval Date: December 21, Consumptive Use of Up to 4.0000 mgd; 201012033.R1, Penn Township, 2015. Approval Date: December 21, 2015. Lycoming County, Pa.; Consumptive 35. EOG Resources, Incorporated, Pad 48. XTO Energy Incorporated, Pad ID: Use of Up to 8.0000 mgd; Approval ID: DEMEO 1H Pad, ABR– Renn Unit A, ABR–201103033.R1, Date: December 28, 2015. 201009106.R1, Ridgebury Township, Jordan Township, Lycoming County, 60. Talisman Energy USA Inc., Pad Bradford County, Pa.; Consumptive Use Pa.; Consumptive Use of Up to 4.0000 ID: 05 040 Cook, ABR–201010021.R1, of Up to 4.9990 mgd; Approval Date: mgd; Approval Date: December 21, Orwell Township, Bradford County, Pa.; December 21, 2015. 2015. Consumptive Use of Up to 6.0000 mgd; 49. XTO Energy Incorporated, Pad ID: 36. SWN Production Company, LLC, Approval Date: December 28, 2015. PA TRACT 8524H, ABR–201104023.R1, Pad ID: Tall Maples, ABR– 61. Talisman Energy USA Inc., Pad Chapman Township, Clinton County, 201010056.R1, Elkland Township, ID: 05 022 DeCristo, ABR– Pa.; Consumptive Use of Up to 4.0000 Sullivan County, Pa.; Consumptive Use 201010026.R1, Warren Township, mgd; Approval Date: December 21, of Up to 7.5000 mgd; Approval Date: Bradford County, Pa.; Consumptive Use 2015. December 21, 2015. of Up to 6.0000 mgd; Approval Date: 37. Seneca Resources Corporation, 50. SWEPI LP, Pad ID: Old December 28, 2015. Pad ID: C09–E, ABR–201512009, Possessions Hunting Club 485, ABR– 62. Talisman Energy USA Inc., Pad Shippen Township, Cameron County, 201008117.R1, Sullivan Township, ID: 05 129 Upham R, ABR– Pa.; Consumptive Use of Up to 4.0000 Tioga County, Pa.; Consumptive Use of 201010032.R1, Pike Township, Bradford mgd; Approval Date: December 21, Up to 4.0000 mgd; Approval Date: County, Pa.; Consumptive Use of Up to 2015. December 21, 2015. 38. SWEPI LP, Pad ID: Owlett 843, 51. SWN Production Company, LLC, 6.0000 mgd; Approval Date: December ABR–201009058.R1, Middlebury Pad ID: GU–X SEYMOUR PAD, ABR– 28, 2015. Township, Tioga County, Pa.; 201512010, Stevens Township, Bradford 63. Talisman Energy USA Inc., Pad Consumptive Use of Up to 4.0000 mgd; County; and Rush Township, ID: 05 097 Hartnett, ABR– Approval Date: December 21, 2015. Susquehanna County, Pa.; Consumptive 201010045.R1, Warren Township, 39. SWEPI LP, Pad ID: Seymour 599, Use of Up to 4.9990 mgd; Approval Bradford County, Pa.; Consumptive Use ABR–201009063.R1, Sullivan Date: December 23, 2015. of Up to 6.0000 mgd; Approval Date: Township, Tioga County, Pa.; 52. Carrizo (Marcellus), LLC, Pad ID: December 28, 2015. Consumptive Use of Up to 4.0000 mgd; Baker North, ABR–201012040.R1, Forest 64. Talisman Energy USA Inc., Pad Approval Date: December 21, 2015. Lake Township, Susquehanna County, ID: 05 056 Miller, ABR–201010098.R1, 40. SWEPI LP, Pad ID: Schmelzle 703, Pa.; Consumptive Use of Up to 2.1000 Warren Township, Bradford County, ABR–201009064.R1, Union Township, mgd; Approval Date: December 23, Pa.; Consumptive Use of Up to 6.0000 Tioga County, Pa.; Consumptive Use of 2015. mgd; Approval Date: December 28, Up to 4.0000 mgd; Approval Date: 53. Triana Energy, LLC, Pad ID: 2015. December 21, 2015. Triana-Young Pad A, ABR– 65. Talisman Energy USA Inc., Pad 41. SWEPI LP, Pad ID: Empson 899, 20100677.R1, Hector Township, Potter ID: 05 073 Harvey, ABR–201011031.R1, ABR–201009095.R1, Deerfield County, Pa.; Consumptive Use of Up to Orwell Township, Bradford County, Pa.; Township, Tioga County, Pa.; 6.0000 mgd; Approval Date: December Consumptive Use of Up to 6.0000 mgd; Consumptive Use of Up to 4.0000 mgd; 23, 2015. Approval Date: December 28, 2015. Approval Date: December 21, 2015. 54. Carrizo (Marcellus), LLC, Pad ID: 66. Talisman Energy USA Inc., Pad 42. SWEPI LP, Pad ID: Red Run Giangrieco Pad, ABR–201107011.R1, ID: 05 028 Neville V, ABR– Mountain Inc. 739, ABR–201010006.R1, Forest Lake Township, Susquehanna 201011033.R1, Warren Township, McIntyre Township, Lycoming County, County, Pa.; Consumptive Use of Up to Bradford County, Pa.; Consumptive Use Pa.; Consumptive Use of Up to 4.0000 2.1000 mgd; Approval Date: December of Up to 6.0000 mgd; Approval Date: mgd; Approval Date: December 21, 28, 2015. December 28, 2015. 2015. 55. Chesapeake Appalachia, LLC, Pad 67. Talisman Energy USA Inc., Pad 43. SWEPI LP, Pad ID: Heuer 701, ID: Stempel, ABR–201104020.R1, ID: 05 082 Abell Living Trust, ABR– ABR–201010010.R1, Union Township, Asylum Township, Bradford County, 201011052.R1, Warren Township, Tioga County, Pa.; Consumptive Use of Pa.; Consumptive Use of Up to 7.5000 Bradford County, Pa.; Consumptive Use Up to 4.0000 mgd; Approval Date: mgd; Approval Date: December 28, of Up to 6.0000 mgd; Approval Date: December 21, 2015. 2015. December 28, 2015.

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68. Talisman Energy USA Inc., Pad • Mail: Send comments to Docket unpopulated and access controlled ID: 05 180 Peck Hill Farm, ABR– Operations, M–30; U.S. Department of areas. 201011056.R1, Windham Township, Transportation (DOT), 1200 New Jersey [FR Doc. 2016–00991 Filed 1–19–16; 8:45 am] Bradford County, Pa.; Consumptive Use Avenue SE., Room W12–140, West BILLING CODE 4910–13–P of Up to 6.0000 mgd; Approval Date: Building Ground Floor, Washington, DC December 28, 2015. 20590–0001. 69. Talisman Energy USA Inc., Pad • Hand Delivery or Courier: Take DEPARTMENT OF TRANSPORTATION ID: 05 058 Vough, ABR–201011063.R1, comments to Docket Operations in Orwell Township, Bradford County, Pa.; Room W12–140 of the West Building Federal Aviation Administration Consumptive Use of Up to 6.0000 mgd; Ground Floor at 1200 New Jersey Approval Date: December 28, 2015. Avenue SE., Washington, DC, between 9 Agency Information Collection 70. Talisman Energy USA Inc., Pad a.m. and 5 p.m., Monday through Activities: Requests for Comments; ID: 05 165 Hutchinson, ABR– Friday, except Federal holidays. Clearance of Renewed Approval of 201011064.R1, Warren Township, • Fax: Fax comments to Docket Information Collection: Damage Bradford County, Pa.; Consumptive Use Operations at 202–493–2251. Tolerance and Fatigue Evaluation of Composite Rotorcraft Structures of Up to 6.0000 mgd; Approval Date: Privacy: In accordance with 5 U.S.C. December 28, 2015. 553(c), DOT solicits comments from the 71. Talisman Energy USA Inc., Pad AGENCY: Federal Aviation public to better inform its rulemaking ID: 05 223 Wheaton, ABR– Administration (FAA), DOT. process. DOT posts these comments, 201011072.R1, Windham Township, ACTION: Notice and request for without edit, including any personal Bradford County, Pa.; Consumptive Use comments. information the commenter provides, to of Up to 6.0000 mgd; Approval Date: http://www.regulations.gov, as December 28, 2015. SUMMARY: In accordance with the described in the system of records Paperwork Reduction Act of 1995, FAA Authority: Pub. L. 91–575, 84 Stat. 1509 et notice (DOT/ALL–14 FDMS), which can invites public comments about our seq., 18 CFR parts 806, 807, and 808. be reviewed at http://www.dot.gov/ intention to request the Office of Dated: January 14, 2016. privacy. Management and Budget (OMB) Stephanie L. Richardson, Docket: Background documents or approval to renew an information Secretary to the Commission. comments received may be read at collection. To obtain type certification [FR Doc. 2016–01000 Filed 1–19–16; 8:45 am] http://www.regulations.gov at any time. of a rotorcraft, an applicant must show BILLING CODE 7040–01–P Follow the online instructions for that the rotorcraft complies with accessing the docket or go to the Docket specific certification requirements. To Operations in Room W12–140 of the show compliance, the applicant must DEPARTMENT OF TRANSPORTATION West Building Ground Floor at 1200 submit substantiating data. New Jersey Avenue SE., Washington, DATES: Written comments should be Federal Aviation Administration DC, between 9 a.m. and 5 p.m., Monday submitted by February 19, 2016. through Friday, except Federal holidays. [Summary Notice No. 2016–03] ADDRESSES: Interested persons are FOR FURTHER INFORMATION CONTACT: invited to submit written comments on Petition for Exemption; Summary of Brittany Newton, 202–267–6691, 800 the proposed information collection to Petition Received; Freeport-McMoRan, Independence Avenue SW., the Office of Information and Regulatory Inc. Washington, DC 20591. Affairs, Office of Management and This notice is published pursuant to AGENCY: Federal Aviation Budget. Comments should be addressed 14 CFR 11.85. Administration (FAA), DOT. to the attention of the Desk Officer, Department of Transportation/FAA, and ACTION: Notice. Issued in Washington, DC, on January 13, 2016. sent via electronic mail to oira_ SUMMARY: This notice contains a Lirio Liu, [email protected], or faxed to summary of a petition seeking relief Director, Office of Rulemaking. (202) 395–6974, or mailed to the Office from specified requirements of Title 14 of Information and Regulatory Affairs, of the Code of Federal Regulations. The Petition for Exemption Office of Management and Budget, purpose of this notice is to improve the Docket No.: FAA–2015–0477. Docket Library, Room 10102, 725 17th public’s awareness of, and participation Petitioner: Freeport-McMoRan, Inc. Street NW., Washington, DC 20503. in, the FAA’s exemption process. Section(s) of 14 CFR Affected: 14 CFR FOR FURTHER INFORMATION CONTACT: Neither publication of this notice nor 91.119(c) Ronda Thompson at (202) 267–1416, or the inclusion or omission of information Description of Relief Sought: The by email at: [email protected]. in the summary is intended to affect the petitioner requests an amendment to SUPPLEMENTARY INFORMATION: legal status of the petition or its final Exemption No. 11593 to include Public Comments Invited: You are disposition. exemption from the prohibition in 14 asked to comment on any aspect of this DATES: Comments on this petition must CFR 91.119(c) from operating closer information collection, including (a) identify the petition docket number and than 500 feet to any person, vessel, Whether the proposed collection of must be received on or before February vehicle, or structure. The petitioner information is necessary for FAA’s 9, 2016. requests an amendment to condition performance; (b) the accuracy of the ADDRESSES: Send comments identified number 26 contained in Exemption No. estimated burden; (c) ways for FAA to by docket number FAA–2015–0477 11593 to enable them to operate the enhance the quality, utility and clarity using any of the following methods: Maveric sUAS as close as 50 feet from of the information collection; and (d) • Federal eRulemaking Portal: Go to nonparticipants without barriers or ways that the burden could be http://www.regulations.gov and follow structures present for the purpose of minimized without reducing the quality the online instructions for sending your surveying and mine-related services of the collected information. The agency comments electronically. conducted primarily in remote will summarize and/or include your

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comments in the request for OMB’s ACTION: Notice and request for aeronautics. Aeronautical information is clearance of this information collection. comments. required by the FAA in order to carry OMB Control Number: 2120–0753. out agency missions such as those Title: Damage Tolerance and Fatigue SUMMARY: In accordance with the related to aviation flying safety, flight Evaluation of Composite Rotorcraft Paperwork Reduction Act of 1995, FAA planning, airport engineering and Structures. invites public comments about our federal grants analysis, aeronautical Form Numbers: None. intention to request the Office of chart and flight information Type of Review: Renewal of an Management and Budget (OMB) publications, and the promotion of air information collection. approval to renew an information commerce as required by statute. The Background: The Federal Register collection. Aeronautical information is safety information collected includes, Notice with a 60-day comment period required by the FAA in order to carry but is not limited to, the following: soliciting comments on the following out agency missions such as those Airport name, associated city, airport collection of information was published related to aviation flying safety, flight owner and airport manager, airport on November 10, 2015 (80 FR 69772). planning, airport engineering and latitude, longitude, elevation, runway The ‘‘Damage Tolerance and Fatigue federal grants analysis, aeronautical description, services available, runway Evaluation of Composite Rotorcraft chart and flight information approach light systems, Structures’’ final rule (76 FR 74655) publications, and the promotion of air communications frequency, airport use, revised parts 27 and 29 of Title 14 of the commerce as required by statute. number of operations and based aircraft, Code of Federal Regulations to add new DATES: Written comments should be obstruction data, and pertinent general certification standards for normal and submitted by February 19, 2016. remarks. transport category rotorcraft to address Respondents: Approximately 19,800 advances in structural damage tolerance ADDRESSES: Interested persons are Airport owners/managers and state and fatigue substantiation technology invited to submit written comments on inspectors. for composite rotorcraft structures. To the proposed information collection to Frequency: Information is collected obtain type certification of a rotorcraft, the Office of Information and Regulatory on occasion. an applicant must show that the Affairs, Office of Management and Estimated Average Burden per rotorcraft complies with specific Budget. Comments should be addressed Response: 1 hour. certification requirements. To show to the attention of the Desk Officer, Estimated Total Annual Burden: compliance, the applicant must submit Department of Transportation/FAA, and _ 8,870 hours. substantiating data. FAA engineers or sent via electronic mail to oira designated engineer representatives [email protected], or faxed to Issued in Washington, DC on January 13, from industry review the required data (202) 395–6974, or mailed to the Office 2016. submittals to determine if the rotorcraft of Information and Regulatory Affairs, Ronda Thompson, complies with the applicable minimum Office of Management and Budget, FAA Information Collection Clearance safety requirements for damage Docket Library, Room 10102, 725 17th Officer, Performance, Policy & Records tolerance and fatigue evaluation of Street NW., Washington, DC 20503. Management Branch, ASP–110. composite structures and that the FOR FURTHER INFORMATION CONTACT: [FR Doc. 2016–00975 Filed 1–19–16; 8:45 am] rotorcraft has no unsafe features in the Ronda Thompson at (202) 267–1416, or BILLING CODE 4910–13–P composite structures. by email at: [email protected]. Respondents: Approximately 6 SUPPLEMENTARY INFORMATION: applicants for certification for 10.5 part Public Comments Invited: You are DEPARTMENT OF TRANSPORTATION 27 rotorcraft and 6 part 29 rotorcraft. asked to comment on any aspect of this Federal Aviation Administration Frequency: Information is collected information collection, including (a) on occasion. Whether the proposed collection of Agency Information Collection Estimated Average Burden per information is necessary for FAA’s Response: 54.5 hours. Activities: Requests for Comments; performance; (b) the accuracy of the Clearance of Renewed Approval of Estimated Total Annual Burden: 109 estimated burden; (c) ways for FAA to hours. Information Collection: FAA enhance the quality, utility and clarity Acquisition Management System Issued in Washington, DC, on January 13, of the information collection; and (d) (FAAAMS) 2016. ways that the burden could be Ronda Thompson, minimized without reducing the quality AGENCY: Federal Aviation FAA Information Collection Clearance of the collected information. The agency Administration (FAA), DOT. Officer, Performance, Policy & Records will summarize and/or include your ACTION: Notice and request for Management Branch, ASP–110. comments in the request for OMB’s comments. [FR Doc. 2016–00974 Filed 1–19–16; 8:45 am] clearance of this information collection. BILLING CODE 4910–13–P OMB Control Number: 2120–0015. SUMMARY: In accordance with the Title: FAA Airport Master Record. Paperwork Reduction Act of 1995, FAA Form Numbers: FAA Forms 5010–1, invites public comments about our DEPARTMENT OF TRANSPORTATION 5010–2, 5010–3, 5010–5. intention to request the Office of Type of Review: Renewal of an Management and Budget (OMB) Federal Aviation Administration information collection. approval to renew an information Agency Information Collection Background: The Federal Register collection. The FAA Acquisition Activities: Requests for Comments; Notice with a 60-day comment period Management System establishes policies Clearance of Renewed Approval of soliciting comments on the following and internal procedures for FAA Information Collection: FAA Airport collection of information was published acquisition. The information collection Master Record on November 10, 2015 (80 FR 69771). 49 is necessary to solicit, award, and U.S.C. 329(b) empowers and directs the administer contracts for supplies, AGENCY: Federal Aviation Secretary of Transportation to collect equipment, services, facilities, and real Administration (FAA), DOT. and disseminate information on civil property to fulfill FAA’s mission.

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DATES: Written comments should be Issued in Washington, DC, on January 13, order to inspect and photocopy submitted by February 19, 2016. 2016. comments. ADDRESSES: Interested persons are Ronda Thompson, All comments received, including invited to submit written comments on FAA Information Collection Clearance attachments and other supporting the proposed information collection to Officer, Performance, Policy & Records materials, are part of the public record the Office of Information and Regulatory Management Branch, ASP–110. and subject to public disclosure. Do not Affairs, Office of Management and [FR Doc. 2016–00985 Filed 1–19–16; 8:45 am] include any information in your Budget. Comments should be addressed BILLING CODE 4910–13–P comment or supporting materials that to the attention of the Desk Officer, you consider confidential or Department of Transportation/FAA, and inappropriate for public disclosure. sent via electronic mail to oira_ FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF THE TREASURY [email protected], or faxed to Shaquita Merritt, Clearance Officer, (202) 395–6974, or mailed to the Office Office of the Comptroller of the (202) 649–5490 or, for persons who are of Information and Regulatory Affairs, Currency deaf or hard of hearing, TTY, (202) 649– Office of Management and Budget, 5597, Legislative and Regulatory Docket Library, Room 10102, 725 17th Agency Information Collection Activities Division, Office of the Street NW., Washington, DC 20503. Activities; Information Collection Comptroller of the Currency, 400 7th FOR FURTHER INFORMATION CONTACT: Renewal; Comment Request; Leasing Street SW., Washington, DC 20219. Ronda Thompson at (202) 267–1416, or SUPPLEMENTARY INFORMATION: Under the AGENCY: by email at: [email protected]. Office of the Comptroller of the PRA (44 U.S.C. 3501–3520), Federal SUPPLEMENTARY INFORMATION: Currency (OCC), Treasury. agencies must obtain approval from the Public Comments Invited: You are ACTION: Notice and request for comment. OMB for each collection of information asked to comment on any aspect of this they conduct or sponsor. ‘‘Collection of SUMMARY: The OCC, as part of its information collection, including (a) information’’ is defined in 44 U.S.C. continuing effort to reduce paperwork Whether the proposed collection of 3502(3) and 5 CFR 1320.3(c) to include and respondent burden, invites the information is necessary for FAA’s Agency requests or requirements that general public and other Federal performance; (b) the accuracy of the members of the public submit reports, agencies to take this opportunity to estimated burden; (c) ways for FAA to keep records, or provide information to comment on a continuing information enhance the quality, utility and clarity a third party. Section 3506(c)(2)(A) of collection, as required by the Paperwork of the information collection; and (d) the PRA (44 U.S.C. 3506(c)(2)(A)) Reduction Act of 1995 (PRA). ways that the burden could be requires Federal agencies to provide a In accordance with the requirements minimized without reducing the quality 60-day notice in the Federal Register of the PRA, the OCC may not conduct of the collected information. The agency concerning each proposed collection of or sponsor, and the respondent is not will summarize and/or include your information, including each proposed required to respond to, an information comments in the request for OMB’s extension of an existing collection of collection unless it displays a currently clearance of this information collection. information, before submitting the valid Office of Management and Budget OMB Control Number: 2120–0595. collection to OMB for approval. To Title: FAA Acquisition Management (OMB) control number. comply with this requirement, the OCC System (FAAAMS). The OCC is soliciting comment is publishing notice of the collection of Form Numbers: None. concerning the renewal of its information set forth in this document. Type of Review: Renewal of an information collection titled, ‘‘Leasing.’’ The OCC is proposing to extend OMB information collection. DATES: Comments must be received by Background: The Federal Register approval of the following information March 21, 2016. Notice with a 60-day comment period collection: soliciting comments on the following ADDRESSES: Because paper mail in the Title: Leasing. collection of information was published Washington, DC area and at the OCC is OMB Number: 1557–0206. on November 10, 2015 (80 FR 69771). subject to delay, commenters are Description: This submission covers Section 348 of Public Law 104–50 encouraged to submit comments by an existing regulation and involves no directed FAA to establish an acquisition email, if possible. Comments may be change to the regulation or to the system. The information collection is sent to: Legislative and Regulatory information collection requirements. carried out as an integral part of FAA’s Activities Division, Office of the The OCC requests only that OMB acquisition process. Various portions of Comptroller of the Currency, Attention: approve its burden estimates and extend the AMS describe information needed 1557–0206, 400 7th Street SW., Suite the expiration date. from vendors seeking or already doing 3E–218, mail stop 9W–11, Washington, Under 12 CFR 23.4(c), national banks business with FAA. FAA contracting DC 20219. In addition, comments may must liquidate or release property that offices collect the information to plan, be sent by fax to (571) 465–4326 or by is no longer subject to lease (off-lease solicit, award, administer and close electronic mail to [email protected]. property) within five years from the date individual contracts. The FAA small You may personally inspect and of the lease expiration. If a national business office collects information to photocopy comments at the OCC, 400 bank wishes to extend the five-year promote and increase small business 7th Street SW., Washington, DC 20219. holding period for up to an additional participation in FAA contracts. For security reasons, the OCC requires five years, it must obtain OCC approval. Respondents: Approximately 15,298 that visitors make an appointment to Permitting a national bank to extend the vendors. inspect comments. You may do so by holding period may result in cost Frequency: Information is collected calling (202) 649–6700 or, for persons savings. It also may provide flexibility on occasion. who are deaf or hard of hearing, TTY, for a national bank that experiences Estimated Average Burden per (202) 649–5597. Upon arrival, visitors unusual or unforeseen conditions that Response: 7.5 hours. will be required to present valid would make it imprudent to dispose of Estimated Total Annual Burden: government-issued photo identification the off-lease property prior to the 2,000,719 hours. and submit to security screening in expiration of the five-year holding

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period. Section 23.4(c) requires a Comments submitted in response to Securities of Federal Savings national bank seeking an extension to this notice will be summarized and Associations.’’ provide a clearly convincing included in the submission to OMB. DATES: Comments must be received by demonstration as to why any additional Comments are requested on: March 21, 2016. holding period is necessary. In addition, (a) Whether the information ADDRESSES: Because paper mail in the collections are necessary for the proper a national bank must value off-lease Washington, DC area and at the OCC is property at the lower of current fair performance of the OCC’s functions, subject to delay, commenters are market value or book value promptly including whether the information has encouraged to submit comments by after the property comes off-lease. These practical utility; email, if possible. Comments may be (b) The accuracy of the OCC’s requirements enable the OCC to ensure sent to: Legislative and Regulatory that a national bank is not holding the estimates of the burden of the Activities Division, Office of the property for speculative reasons and information collections, including the Comptroller of the Currency, Attention: that the value of the property is validity of the methodology and 1557–0106, 400 7th Street SW., Suite recorded in accordance with generally assumptions used; 3E–218, mail stop 9W–11, Washington, accepted accounting principles (GAAP). (c) Ways to enhance the quality, DC 20219. In addition, comments may Under 12 CFR 23.6, leases are subject utility, and clarity of the information to be sent by fax to (571) 465–4326 or by to the lending limits prescribed by 12 be collected; electronic mail to [email protected]. (d) Ways to minimize the burden of U.S.C. 84, as implemented by 12 CFR You may personally inspect and part 32, or, if the lessee is an affiliate of information collections on respondents, photocopy comments at the OCC, 400 the national bank, to the restrictions on including through the use of automated 7th Street SW., Washington, DC 20219. transactions with affiliates prescribed by collection techniques or other forms of For security reasons, the OCC requires 12 U.S.C. 371c and 371c–1. Twelve information technology; and that visitors make an appointment to U.S.C. 24 contains two separate (e) Estimates of capital or start up inspect comments. You may do so by provisions authorizing a national bank costs and costs of operation, calling (202) 649–6700 or, for persons to acquire personal property for maintenance, and purchase of services who are deaf or hard of hearing, TTY, purposes of lease financing. Twelve to provide information. (202) 649–5597. Upon arrival, visitors U.S.C. 24(Seventh) authorizes leases of Dated: January 13, 2016. will be required to present valid personal property (Section 24(Seventh) Mary H. Gottlieb, government-issued photo identification Leases) if the lease is a conforming lease Regulatory Specialist, Legislative and and submit to security screening in as defined in 12 CFR 23.2(d)(2) and Regulatory Activities Division. order to inspect and photocopy represents a noncancelable obligation of [FR Doc. 2016–00884 Filed 1–19–16; 8:45 am] comments. the lessee (i.e., the lease serves as the BILLING CODE 4810–33–P All comments received, including functional equivalent of a loan). See 12 attachments and other supporting CFR 23.20. A national bank also may materials, are part of the public record acquire personal property for purposes DEPARTMENT OF THE TREASURY and subject to public disclosure. Do not of lease financing under the authority of include any information in your 12 U.S.C. 24(Tenth) (CEBA Leases). Office of the Comptroller of the comment or supporting materials that Section 23.5 requires that if a national Currency you consider confidential or bank enters into both types of leases, its inappropriate for public disclosure. records must distinguish between the Agency Information Collection FOR FURTHER INFORMATION CONTACT: two types of leases. This information is Activities; Information Collection Shaquita Merritt, Clearance Officer, required to establish that the national Renewal; Comment Request; (202) 649–5490 or, for persons who are bank is complying with the limitations Securities Exchange Act Disclosure deaf or hard of hearing, TTY, (202) 649– and requirements applicable to the two Rules and Securities of Federal 5597, Legislative and Regulatory types of leases. Savings Associations Activities Division, Office of the National banks use the information to AGENCY: Office of the Comptroller of the Comptroller of the Currency, 400 7th ensure their compliance with applicable Currency (OCC), Treasury. Street SW., Washington, DC 20219. Federal banking law and regulations ACTION: Notice and request for comment. SUPPLEMENTARY INFORMATION: Under the and accounting principles. The OCC PRA (44 U.S.C. 3501–3520), Federal uses the information in conducting SUMMARY: The OCC, as part of its agencies must obtain approval from the examinations and as an auditing tool to continuing effort to reduce paperwork OMB for each collection of information verify compliance with laws and and respondent burden, invites the they conduct or sponsor. ‘‘Collection of regulations. In addition, the OCC uses general public and other Federal information’’ is defined in 44 U.S.C. national bank requests for permission to agencies to take this opportunity to 3502(3) and 5 CFR 1320.3(c) to include extend the holding period for off-lease comment on a continuing information Agency requests or requirements that property to ensure national bank collection, as required by the Paperwork members of the public submit reports, compliance with relevant laws and Reduction Act of 1995 (PRA). keep records, or provide information to regulations and to ensure bank safety In accordance with the requirements a third party. Section 3506(c)(2)(A) of and soundness. of the PRA, the OCC may not conduct the PRA (44 U.S.C. 3506(c)(2)(A)) Type of Review: Regular. or sponsor, and respondents are not requires Federal agencies to provide a Affected Public: Individuals; required to respond to, an information 60-day notice in the Federal Register Businesses or other for-profit. collection unless it displays a currently concerning each proposed collection of Estimated Number of Respondents: valid Office of Management and Budget information, including each proposed 345. (OMB) control number. extension of an existing collection of Estimated Total Annual Responses: The OCC is soliciting comment information, before submitting the 345. concerning the renewal of its collection to OMB for approval. To Frequency of Response: On occasion. information collection titled, ‘‘Securities comply with this requirement, the OCC Estimated Total Annual Burden: 678. Exchange Act Disclosure Rules and is publishing notice of the proposed

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collection of information set forth in (d) Ways to minimize the burden of Avenue NW., Washington, DC 20224, this document. information collections on respondents, (202) 317–6853 (not a toll-free number). The OCC is proposing to extend OMB including through the use of automated Christopher T. Kelley, approval of the following information collection techniques or other forms of collection: information technology; and Special Counsel to the Associate Chief Title: Securities Exchange Act (e) Estimates of capital or start up Counsel, (Passthroughs and Special Industries). Disclosure Rules and Securities of costs and costs of operation, Federal Savings Associations. maintenance, and purchase of services [FR Doc. 2016–00894 Filed 1–19–16; 8:45 am] OMB Control No.: 1557–0106. to provide information. BILLING CODE 4830–01–P Description: This submission covers Dated: January 13, 2016. an existing regulation and involves no Mary H. Gottlieb, change to the regulation or to the DEPARTMENT OF THE TREASURY information collection requirements. Regulatory Specialist, Office of the Comptroller of the Currency. Internal Revenue Service The OCC requests only that OMB [FR Doc. 2016–00883 Filed 1–19–16; 8:45 am] approve its revised estimates. Proposed Collection; Comment BILLING CODE 4810–33–P The Securities and Exchange Request for Revenue Procedure 2003– Commission (SEC) is required by statute 39 to collect, in accordance with its DEPARTMENT OF THE TREASURY regulations, certain information and AGENCY: Internal Revenue Service (IRS), documents from any firm that is Internal Revenue Service Treasury. required to register its stock with the ACTION: Notice and request for SEC.1 Federal law requires the OCC to Credit for Indian Coal Production and comments. apply similar regulations to any national Inflation Adjustment Factor for bank or Federal savings association Calendar Year 2015 SUMMARY: The Department of the similarly required to be registered (those Treasury, as part of its continuing effort with a class of equity securities held by AGENCY: Internal Revenue Service (IRS), to reduce paperwork and respondent 2,000 or more shareholders).2 Treasury. burden, invites the general public and 12 CFR part 11 ensures that a national ACTION: Publication of inflation other Federal agencies to take this bank or Federal savings association adjustment factor for Indian coal opportunity to comment on proposed whose securities are subject to production for calendar year 2015 under and/or continuing information registration provides adequate section 45(e)(10)(B) (26 U.S.C. collections, as required by the information about its operations to 45(e)(10)(B)) of the Internal Revenue Paperwork Reduction Act of 1995, current and potential shareholders, Code. Public Law 104–13 (44 U.S.C. depositors, and the public. The OCC 3506(c)(2)(A)). Currently, the IRS is SUMMARY: The 2015 inflation adjustment reviews the information to ensure that it soliciting comments concerning factor is used in determining the Revenue Procedure 2003–39, section complies with Federal law and makes availability of the credit for Indian coal public all information required to be 1031 LKE (Like-Kind Exchanges) Auto production under section 45. Section Leasing Programs. filed under the rule. Investors, 186 of Division Q of the Consolidated DATES: depositors, and the public use the Appropriations Act, 2016 (Pub. L. 114– Written comments should be information to make informed 113) extends the credit period for the received on or before March 21, 2016 to investment decisions. Indian coal production credit from a 9- be assured of consideration. Type of Review: Extension of a year period beginning on January 1, ADDRESSES: Direct all written comments currently approved collection. 2006, to an 11-year period beginning on to Michael A. Joplin, Internal Revenue Affected Public: Individuals; January 1, 2006. This provision is Service, Room 6129, 1111 Constitution Businesses or other for-profit. effective for coal produced in the United Avenue NW., Washington, DC 20224. Frequency of Response: On occasion. FOR FURTHER INFORMATION CONTACT: Estimated Number of Respondents: States or a possession thereof after Requests for additional information or 10. December 31, 2014. copies of the revenue procedure should Estimated Total Annual Burden: 116. DATES: The 2015 inflation adjustment Comments submitted in response to factor applies to calendar year 2015 be directed to Martha R. Brinson, this notice will be summarized and sales of Indian coal produced in the Internal Revenue Service, Room 6129, included in the submission to OMB. United States or a possession thereof. 1111 Constitution Avenue NW., Comments are requested on: Inflation Adjustment Factor: The Washington, DC 20224, or through the (a) Whether the information inflation adjustment factor for calendar Internet at [email protected]. collections are necessary for the proper year 2015 for Indian coal is 1.1772. SUPPLEMENTARY INFORMATION: performance of the OCC’s functions, Credit Amount for Indian Coal: As Title: Section 1031 LKE (Like-Kind including whether the information has required by section 45(e)(10)(B)(ii), the Exchanges) Auto Leasing Programs. practical utility; $2.00 amount in section 45(e)(10)(B)(i) OMB Number: 1545–1834. (b) The accuracy of the OCC’s is adjusted by multiplying such amount Revenue Procedure Number: Revenue estimates of the burden of the by the inflation adjustment factor for the Procedure 2003–39. information collections, including the calendar year. Under the calculation Abstract: Revenue Procedure 2003–39 validity of the methodology and required by section 45(e)(10)(B)(ii), the provides safe harbors for certain aspects assumptions used; credit for Indian coal production for of the qualification under § 1031 of (c) Ways to enhance the quality, calendar year 2015 under section certain exchanges of property pursuant utility, and clarity of the information to 45(e)(10)(B) is $2.354 per ton on the sale to LKE Programs for federal income tax be collected; of Indian coal. purposes. FOR FURTHER INFORMATION CONTACT: Current Actions: There are no changes 1 15 U.S.C. 78m(a)(1). Jennifer A. Records, CC:PSI:6, Internal being made to the revenue procedure at 2 15 U.S.C. 78l(i). Revenue Service, 1111 Constitution this time.

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Type of Review: Extension of a SUMMARY: The Department of the Request for Comments: Comments currently approved collection. Treasury, as part of its continuing effort Submitted In Response To This Notice Affected Public: Business or other for- to reduce paperwork and respondent Will Be summarized and/or included in profit organizations. burden, invites the general public and the request for OMB approval. All Estimated Number of Respondents: other Federal agencies to take this comments will become a matter of 8,600. opportunity to comment on proposed public record. Comments are invited on: Estimated Average Time per and/or continuing information (a) Whether the collection of Respondent: 1 hour. collections, as required by the information is necessary for the proper Estimated Total Annual Burden Paperwork Reduction Act of 1995, performance of the functions of the Hours: 8,600. Public Law 104–13 (44 U.S.C. agency, including whether the The following paragraph applies to all 3506(c)(2)(A)). Currently, the IRS is information shall have practical utility; of the collections of information covered soliciting comments concerning (b) the accuracy of the agency’s estimate by this notice: Revenue Procedure 2006–31, of the burden of the collection of An agency may not conduct or Revocation of Election filed under I.R.C. information; (c) ways to enhance the sponsor, and a person is not required to 83(b). quality, utility, and clarity of the respond to, a collection of information DATES: Written comments should be information to be collected; (d) ways to unless the collection of information received on or before March 21, 2016 to minimize the burden of the collection of displays a valid OMB control number. be assured of consideration. information on respondents, including Books or records relating to a collection ADDRESSES: Direct all written comments through the use of automated collection of information must be retained as long to Michael A. Joplin, Internal Revenue techniques or other forms of information as their contents may become material Service, Room 6129, 1111 Constitution technology; and (e) estimates of capital in the administration of any internal Avenue NW., Washington, DC 20224. or start-up costs and costs of operation, revenue law. Generally, tax returns and FOR FURTHER INFORMATION CONTACT: maintenance, and purchase of services tax return information are confidential, Requests for additional information or to provide information. as required by 26 U.S.C. 6103. copies of the revenue procedure should Approved: January 8, 2016. Request for Comments: Comments be directed to Martha R. Brinson, submitted in response to this notice will Michael A. Joplin, Internal Revenue Service, Room 6129, IRS Reports Clearance Officer. be summarized and/or included in the 1111 Constitution Avenue NW., [FR Doc. 2016–00893 Filed 1–19–16; 8:45 am] request for OMB approval. All Washington, DC 20224, or through the comments will become a matter of Internet at [email protected]. BILLING CODE 4830–01–P public record. Comments are invited on: SUPPLEMENTARY INFORMATION: (a) Whether the collection of Title: Revocation of Election filed DEPARTMENT OF THE TREASURY information is necessary for the proper under I.R.C. 83(b). performance of the functions of the OMB Number: 1545–2018. Internal Revenue Service agency, including whether the Form Number: Rev. Proc. 2006–31. information shall have practical utility; Abstract: This revenue procedure sets Proposed Collection; Comment (b) the accuracy of the agency’s estimate forth the procedures to be followed by Request for Form 6198 of the burden of the collection of individuals who wish to request information; (c) ways to enhance the permission to revoke the election they AGENCY: Internal Revenue Service (IRS), quality, utility, and clarity of the made under section 83(b). Treasury. information to be collected; (d) ways to Current Actions: There are no changes ACTION: Notice and request for minimize the burden of the collection of being made to the revenue procedure at comments. information on respondents, including this time. through the use of automated collection Type of Review: Extension of a SUMMARY: The Department of the techniques or other forms of information currently approved collection. Treasury, as part of its continuing effort technology; and (e) estimates of capital Affected Public: Individuals and to reduce paperwork and respondent or start-up costs and costs of operation, Households, Businesses and other for- burden, invites the general public and maintenance, and purchase of services profit organizations. other Federal agencies to take this to provide information. Estimated Number of Respondents: opportunity to comment on proposed 200. and/or continuing information Approved: January 8, 2016. Estimated Time per Respondent: 2 collections, as required by the Michael A. Joplin, hours. Paperwork Reduction Act of 1995, IRS Reports Clearance Officer. Estimated Total Annual Burden Public Law 104–13 (44 U.S.C. [FR Doc. 2016–00892 Filed 1–19–16; 8:45 am] Hours: 400. 3506(c)(2)(A)). Currently, the IRS is BILLING CODE 4830–01–P The following paragraph applies to all soliciting comments concerning Form of the collections of information covered 6198, At-Risk Limitations. by this notice: DATES: Written comments should be DEPARTMENT OF THE TREASURY An agency may not conduct or sponsor, and a person is not required to received on or before March 21, 2016 to Internal Revenue Service respond to, a collection of information be assured of consideration. unless the collection of information ADDRESSES: Direct all written comments Proposed Collection; Comment displays a valid OMB control number. to Michael A. Joplin, Internal Revenue Request for Revenue Procedure 2006– Books or records relating to a collection Service, Room 6129, 1111 Constitution 31 of information must be retained as long Avenue NW., Washington, DC 20224. AGENCY: Internal Revenue Service (IRS), as their contents may become material FOR FURTHER INFORMATION CONTACT: Treasury. in the administration of any internal Requests for additional information or revenue law. Generally, tax returns and copies of the form and instructions ACTION: Notice and request for tax return information are confidential, should be directed to Martha R. Brinson, comments. as required by 26 U.S.C. 6103. Internal Revenue Service, Room 6129,

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1111 Constitution Avenue NW., An agency may not conduct or information on respondents, including Washington, DC 20224, or through the sponsor, and a person is not required to through the use of automated collection Internet at [email protected]. respond to, a collection of information techniques or other forms of information SUPPLEMENTARY INFORMATION: unless the collection of information technology; and (e) estimates of capital Title: At-Risk Limitations. displays a valid OMB control number. or start-up costs and costs of operation, OMB Number: 1545–0712. Books or records relating to a collection maintenance, and purchase of services Form Number: Form 6198. of information must be retained as long to provide information. Abstract: Internal Revenue Code as their contents may become material section 465 requires taxpayers to limit Approved: January 8, 2016. in the administration of any internal Michael A. Joplin, their at-risk loss to the lesser of the loss revenue law. Generally, tax returns and IRS Reports Clearance Officer. or their amount at risk. Form 6198 is tax return information are confidential, used by taxpayers to determine their as required by 26 U.S.C. 6103. [FR Doc. 2016–00891 Filed 1–19–16; 8:45 am] deductible loss and by IRS to verify the Request For Comments: Comments BILLING CODE 4830–01–P amount deducted. submitted in response to this notice will Current Actions: There are no changes be summarized and/or included in the being made to the form at this time. DEPARTMENT OF THE TREASURY Type of Review: Extension of a request for OMB approval. All currently approved collection. comments will become a matter of United States Mint Affected Public: Business or other for- public record. Comments are invited on: profit organizations, and individuals, (a) Whether the collection of Pricing Changes for 2016 United States not-for-profit institutions, and farms. information is necessary for the proper Mint Products Estimated Number of Respondents: performance of the functions of the AGENCY: United States Mint, Department 230,332. agency, including whether the Estimated Time Per Respondent: 3 information shall have practical utility; of the Treasury. hrs. 58 min. (b) the accuracy of the agency’s estimate ACTION: Notice. Estimated Total Annual Burden of the burden of the collection of Hours: 914,419. information; (c) ways to enhance the SUMMARY: The United States Mint is The following paragraph applies to all quality, utility, and clarity of the announcing pricing changes for some of the collections of information covered information to be collected; (d) ways to 2016 products. Please see the table by this notice: minimize the burden of the collection of below.

Product 2016 Retail price

United States Mint Proof Set® ...... $31.95 United States Mint Silver Proof Set® ...... 52.95 United States Mint Uncirculated Set® ...... 26.95 United States Mint Presidential $1 Coin Proof SetTM ...... 17.95 Presidential $1 Coin Uncirculated SetTM ...... 14.95 Annual Uncirculated Dollar Coin Set ...... 45.95 Presidential $1 Three-Coin Set—P ...... 11.95 Presidential $1 Three-Coin Set—D ...... 11.95

FOR FURTHER INFORMATION CONTACT: Ann ACTION: Notice. Control No. 2900–0377’’ in any Bailey, Products Manager, Numismatic correspondence. and Bullion; United States Mint; 801 9th SUMMARY: In compliance with the Street NW., Washington, DC 20220; or Paperwork Reduction Act (PRA) of 1995 FOR FURTHER INFORMATION CONTACT: call 202–354–7500. (44 U.S.C. 3501–3521), this notice Crystal Rennie, Enterprise Records announces that the Veterans Benefits Service (005R1B), Department of Authority: 31 U.S.C. 5111, 5112, 5132, & Veterans Affairs, 810 Vermont Avenue 9701. Administration (VBA), Department of Veterans Affairs, will submit the NW., Washington, DC 20420, (202) 632– Dated: January 13, 2016. collection of information abstracted 7492 or email [email protected]. Richard A. Peterson, below to the Office of Management and Please refer to ‘‘OMB Control No. 2900– Deputy Director for Manufacturing and Budget (OMB) for review and comment. 0377.’’ Quality, United States Mint. The PRA submission describes the SUPPLEMENTARY INFORMATION: [FR Doc. 2016–00887 Filed 1–19–16; 8:45 am] nature of the information collection and Title: Claim for Repurchase of Loan. BILLING CODE 4810–37–P its expected cost and burden; it includes OMB Control Number: 2900–0377. the actual data collection instrument. Type of Review: Revision of a DATES: Comments must be submitted on DEPARTMENT OF VETERANS currently approved collection. or before February 19, 2016. AFFAIRS Abstract: Under 38 CFR 36.4600(d), ADDRESSES: Submit written comments the holder of a delinquent vendee [OMB Control No. 2900–0377] on the collection of information through account is legally entitled to repurchase Agency Information Collection (Claim www.Regulations.gov, or to Office of of the loan by VA when the loan has for Repurchase of Loan) Activity Under Information and Regulatory Affairs, been continuously in default for 3 OMB Review Office of Management and Budget, Attn: months and the amount of the VA Desk Officer; 725 17th St. NW., delinquency equals or exceeds the sum AGENCY: Veterans Benefits Washington, DC 20503 or sent through of 2 monthly installments. When Administration, Department of Veterans electronic mail to oira_submission@ requesting the repurchase of a loan, the Affairs. omb.eop.gov. Please refer to ‘‘OMB holder uses VA Form 26–8084.

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An agency may not conduct or FOR FURTHER INFORMATION CONTACT: SUMMARY: In compliance with the sponsor, and a person is not required to Crystal Rennie, Enterprise Records Paperwork Reduction Act (PRA) of 1995 respond to a collection of information Service (005R1B), Department of (44 U.S.C. 3501–3521), this notice unless it displays a currently valid OMB Veterans Affairs, 810 Vermont Avenue announces that the Veterans Benefits control number. The Federal Register NW., Washington, DC 20420, (202) 632– Administration (VBA), Department of Notice with a 60-day comment period 7492 or email [email protected]. Veterans Affairs, will submit the soliciting comments on this collection Please refer to ‘‘OMB Control No. 2900– collection of information abstracted of information was published at 80 FR 0518’’ in any correspondence. below to the Office of Management and 26643 on October 21, 2015. SUPPLEMENTARY INFORMATION: Budget (OMB) for review and comment. Affected Public: Individuals or Title: Income Verification (VA Form The PRA submission describes the Households. 21–0161a). nature of the information collection and Estimated Annual Burden: 5 hours. OMB Control Number: 2900–0518. its expected cost and burden; it includes the actual data collection instrument. Estimated Average Burden per Type of Review: Revision of a Respondent: 30 minutes. currently approved collection. DATES: Comments must be submitted on Frequency of Response: One-time. Abstract: VA Form 21–0161a is used or before February 19, 2016. Estimated Number of Respondents: 10 to gather information to determine ADDRESSES: Submit written comments respondents. entitlement to income-dependent on the collection of information through By direction of the Secretary. benefits. The VA compensation and www.Regulations.gov, or to Office of Kathleen M. Manwell, pension programs require the accurate Information and Regulatory Affairs, Program Analyst, VA Privacy Service, Office reporting of income by those who are in Office of Management and Budget, Attn: of Privacy and Records Management, receipt of income-dependent benefits. VA Desk Officer; 725 17th St. NW., Department of Veterans Affairs. This form solicits information from Washington, DC 20503 or sent through _ [FR Doc. 2016–00977 Filed 1–19–16; 8:45 am] employers of beneficiaries who have electronic mail to oira submission@ BILLING CODE 8320–01–P been identified as having inaccurately omb.eop.gov. Please refer to ‘‘OMB reported their income to VA. Control No. 2900–0572’’ in any An agency may not conduct or correspondence. DEPARTMENT OF VETERANS sponsor, and a person is not required to FOR FURTHER INFORMATION CONTACT: AFFAIRS respond to a collection of information Crystal Rennie, Enterprise Records unless it displays a currently valid OMB [OMB Control No. 2900–0518] Service (005R1B), Department of control number. The Federal Register Veterans Affairs, 810 Vermont Avenue Agency Information Collection (Income Notice with a 60-day comment period NW., Washington, DC 20420, (202) 632– Verification) Activity Under OMB soliciting comments on this collection 7492 or email [email protected]. Review of information was published at 80 FR Please refer to ‘‘OMB Control No. 2900– 203 on October 21, 2015. 0572.’’ AGENCY: Affected Public: Individuals or Veterans Benefits SUPPLEMENTARY INFORMATION: Administration, Department of Veterans Households. Title: Application for Benefits for Affairs. Estimated Annual Burden: 15,000. Certain Children with Disabilities Born ACTION: Notice. Estimated Average Burden per of Vietnam and Certain Korea Service Respondent: 30 minutes. Veterans. SUMMARY: In compliance with the Frequency of Response: One time. OMB Control Number: 2900–0572. Paperwork Reduction Act (PRA) of 1995 Estimated Number of Respondents: Type of Review: Revision of a (44 U.S.C. 3501–21), this notice 30,000. currently approved collection. announces that the Veterans Benefits By direction of the Secretary. Abstract: VA Form 21–0304 is used to Administration, Department of Veterans determine the monetary allowance for a Affairs, will submit the collection of Kathleen M. Manwell, child born with Spina Bifida or certain information abstracted below to the Program Analyst, VA Privacy Service, Office birth defects who is the natural child of Office of Management and Budget of Privacy and Records Management, Department of Veterans Affairs. a Vietnam veteran. Without this (OMB) for review and comment. The information, VA would be unable to PRA submission describes the nature of [FR Doc. 2016–00979 Filed 1–19–16; 8:45 am] effectively administer this law. the information collection and its BILLING CODE 8320–01–P An agency may not conduct or expected cost and burden and it sponsor, and a person is not required to includes the actual data collection DEPARTMENT OF VETERANS respond to a collection of information instrument. AFFAIRS unless it displays a currently valid OMB DATES: Comments must be submitted on control number. The Federal Register or before February 19, 2016. [OMB Control No. 2900–0572] Notice with a 60-day comment period ADDRESSES: Submit written comments soliciting comments on this collection Agency Information Collection on the collection of information through of information was published at 80 FR (Application for Benefits for Certain www.Regulations.gov, or to Office of 26647 on October 21, 2015. Children With Disabilities Born of Information and Regulatory Affairs, Affected Public: Individuals or Vietnam and Certain Korea Service Office of Management and Budget, Attn: Households. Veterans) Activity Under OMB Review VA Desk Officer; 725 17th St. NW., Estimated Annual Burden: 72 hours. Washington, DC 20503 or sent through AGENCY: Veterans Benefits Estimated Average Burden per electronic mail to oira_submission@ Administration, Department of Veterans Respondent: 10 minutes. omb.eop.gov. Please refer to ‘‘OMB Affairs. Frequency of Response: One-time. Control No. 2900–0518’’ in any Estimated Number of Respondents: ACTION: Notice. correspondence. 430 respondents.

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By direction of the Secretary. Because the meeting will be held in NEW (Application for Adaptive Sports Kathleen M. Manwell, a Government building, anyone Grant). Program Analyst, VA Privacy Service, Office attending must be prepared to show a SUPPLEMENTARY INFORMATION: Under the of Privacy and Records Management, valid photo government issued ID. PRA of 1995 (Pub. L. 104–13; 44 U.S.C. Department of Veterans Affairs. Please allow a minimum of 15 minutes 3501–21), Federal agencies must obtain [FR Doc. 2016–00980 Filed 1–19–16; 8:45 am] before the meeting begins for this approval from the Office of Management BILLING CODE 8320–01–P process. and Budget (OMB) for each collection of Dated: January 13, 2016. information they conduct or sponsor. Jelessa Burney, This request for comment is being made DEPARTMENT OF VETERANS pursuant to Section 3506(c)(2)(A) of the AFFAIRS Federal Advisory Committee Management Officer. PRA. MyVA Federal Advisory Committee; [FR Doc. 2016–00934 Filed 1–19–16; 8:45 am] With respect to the following Notice of Meeting BILLING CODE P collection of information, VBA invites comments on: (1) Whether the proposed The Department of Veterans Affairs collection of information is necessary (VA) gives notice under the Federal DEPARTMENT OF VETERANS for the proper performance of VBA’s Advisory Committee Act, 5 U.S.C. AFFAIRS functions, including whether the App.2., that the MyVA Advisory information will have practical utility; Committee (MVAC) will meet February [OMB Control No. 2900–NEW] (2) the accuracy of VBA’s estimate of the 1–2, 2016, at the Department of Veterans burden of the proposed collection of Agency Information Collection Affairs, Board of Veterans Appeals’ information; (3) ways to enhance the (Application for Adaptive Sports Grant, Conference Room, 425 I Street NW., 4th quality, utility, and clarity of the VA Form 10096) Activity Under OMB Floor, Room 4E.400, Washington, DC information to be collected; and (4) Review 20001. ways to minimize the burden of the The purpose of the Committee is to AGENCY: National Veterans Sports collection of information on advise the Secretary, through the Programs and Special Events, Office of respondents, including through the use Executive Director, MyVA Task Force Public and Intergovernmental Affairs, of automated collection techniques or Office regarding the My VA initiative Department of Veterans Affairs. the use of other forms of information and VA’s ability to rebuild trust with ACTION: Notice. technology. Veterans and other stakeholders, Title: Application for Adaptive Sports improve service delivery with a focus SUMMARY: In compliance with the Grant. on Veteran outcomes, and set the course Paperwork Reduction Act (PRA) of 1995 OMB Control Number: 2900–NEW. for longer-term excellence and reform of (44 U.S.C. 3501–3521), this notice Type of Review: New Collection. VA. announces that the National Veterans Abstract: Legal authority for this data On February 1, from 9:00 a.m. to 5:45 Sports Programs and Special Events collection is found under 38 U.S.C. p.m., the Committee will meet to (NVSPSE), Office of Public and 521A that authorizes and mandates the discuss the progress on, and the Intergovernmental Affairs (OPIA), collection of data during the grant integration of, the work in the five key Department of Veterans Affairs, will application, implementation to include MyVA work streams—Veteran submit the collection of information quarterly and annual reporting, and Experience (explaining the efforts abstracted below to the Office of closeout phases of the adaptive sports conducted to improve the Veteran’s Management and Budget (OMB) for grant. Mandated collection of data experience), Employees Experience, review and comment. The PRA allows measurement and evaluation of Support Services Excellence (such as submission describes the nature of the the adaptive sports grant program, the information technology, human information collection and its expected goal of which is providing adaptive resources, and finance), Performance cost and burden; it includes the actual sport opportunities for disabled veterans Improvement (projects undertaken to data collection instrument. and members of the Armed Forces. date and those upcoming), and VA DATES: Comments must be submitted on The information will be used by VA Strategic Partnerships. or before February 19, 2016. to evaluate multiple criteria to confirm On February 2, from 8:00 a.m. to 3:30 grantee eligibility, to score grantee ADDRESSES: p.m., the Committee will meet to Submit written comments proposals according to application discuss and recommend areas for on the collection of information through criteria, and to ensure program efficacy improvement on VA’s work to date, www.Regulations.gov, or to Office of and appropriate use of grant funds. The plans for the future, and integration of Information and Regulatory Affairs, application information will indicate the MyVA efforts. This session is open Office of Management and Budget, Attn: whether and to what extent a grant to the public. No time will be allocated VA Desk Officer; 725 17th St. NW., program is likely to be successful in Washington, DC 20503 or sent through at this meeting for receiving oral _ meeting the program’s intent for presentations from the public. However, electronic mail to oira submission@ providing adaptive sports opportunities the public may submit written omb.eop.gov. Please refer to ‘‘OMB for disabled veterans and members of statements for the Committee’s review Control No. 2900–NEW (Application for the Armed Forces. to Debra Walker, Designated Federal Adaptive Sports Grant)’’ in any An agency may not conduct or Officer, MyVA Program Management correspondence. sponsor, and a person is not required to Office, Department of Veterans Affairs, FOR FURTHER INFORMATION CONTACT: respond to a collection of information 1800 G Street NW., Room 880–40, Crystal Rennie, Enterprise Records unless it displays a currently valid OMB Washington, DC 20420, or email at Service (005R1B), Department of control number. The Federal Register [email protected]. Any member of Veterans Affairs, 810 Vermont Avenue Notice with a 60-day comment period the public wishing to attend the meeting NW., Washington, DC 20420, (202) 632– soliciting comments on this collection or seeking additional information 7492 or email [email protected]. of information was published on should contact Ms. Walker. Please refer to ‘‘OMB Control No. 2900– September 30, 2015 at 80FR 58814.

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Affected Public: Private Sector. Type of Review: Revision of a its expected cost and burden; it includes Estimated Annual Burden: 2,133 currently approved collection. the actual data collection instrument. burden hours. Abstract: VA has instructed lenders DATES: Estimated Average Burden per that they may not close any proposed Comments must be submitted on Respondent: 20 minutes. loan until they have evidence from VA or before February 19, 2016. Frequency of Response: Quarterly. that there is no debt, or if a debt exists, ADDRESSES: Submit written comments Estimated Number of Respondents: an acceptable repayment plan has been on the collection of information through 250. agreed to by the veteran, or payments www.Regulations.gov, or to Office of By direction of the Secretary. under a plan already in effect are Information and Regulatory Affairs, Kathleen M. Manwell, current. VA Form 26–8937 is designed Office of Management and Budget, Attn: to assist lenders and VA in the Program Analyst, VA Privacy Service, Office VA Desk Officer; 725 17th St. NW., of Privacy and Records Management, completion of debt checks in a uniform Washington, DC 20503 or sent through Department of Veterans Affairs. manner. The form restricts information electronic mail to oira_submission@ requested to only that needed for the [FR Doc. 2016–00983 Filed 1–19–16; 8:45 am] omb.eop.gov. Please refer to ‘‘OMB debt check and also eliminates BILLING CODE 8320–01–P Control No. 2900–0704’’ in any unlimited versions of lender-designed correspondence. forms. DEPARTMENT OF VETERANS An agency may not conduct or FOR FURTHER INFORMATION CONTACT: AFFAIRS sponsor, and a person is not required to Crystal Rennie, Enterprise Records respond to a collection of information Service (005R1B), Department of [OMB Control No. 2900–0406] unless it displays a currently valid OMB Veterans Affairs, 810 Vermont Avenue control number. The Federal Register NW., Washington, DC 20420, (202) 632– Agency Information Collection Notice with a 60-day comment period 7492 or email [email protected]. (Verification of VA Benefits) Activity soliciting comments on this collection Under OMB Review Please refer to ‘‘OMB Control No. 2900– of information was published at 80 FR 0704.’’ AGENCY: Veterans Benefits 26645 on October 21, 2015. SUPPLEMENTARY INFORMATION: Administration, Department of Veterans Affected Public: Individuals or Affairs. Households. Title: VA/DOD Joint Disability Estimated Annual Burden: 10,000 ACTION: Notice. Evaluation Claim. hours. OMB Control Number: 2900–0704. SUMMARY: In compliance with the Estimated Average Burden per Type of Review: Revision of a Paperwork Reduction Act (PRA) of 1995 Respondent: 5 minutes. currently approved collection. (44 U.S.C. 3501–3521), this notice Frequency of Response: One-time. announces that the Veterans Benefits Estimated Number of Respondents: Abstract: VA Form 21–0819 is used to Administration (VBA), Department of 120,000 respondents. determine an injured or ill Global War Veterans Affairs, will submit the By direction of the Secretary. on Terrorism (GWOT) service member’s collection of information abstracted Kathleen M. Manwell, military readiness fitness for military below to the Office of Management and Program Analyst, VA Privacy Service, Office retention, level of disability for Budget (OMB) for review and comment. of Privacy and Records Management, retirement, and VA Disability The PRA submission describes the Department of Veterans Affairs. Compensation. nature of the information collection and [FR Doc. 2016–00978 Filed 1–19–16; 8:45 am] An agency may not conduct or its expected cost and burden; it includes BILLING CODE 8320–01–P sponsor, and a person is not required to the actual data collection instrument. respond to a collection of information DATES: Comments must be submitted on unless it displays a currently valid OMB or before February 19, 2016. DEPARTMENT OF VETERANS control number. The Federal Register ADDRESSES: Submit written comments AFFAIRS Notice with a 60-day comment period on the collection of information through [OMB Control No. 2900–0704] soliciting comments on this collection www.Regulations.gov, or to Office of of information was published at 80 FR Information and Regulatory Affairs, Agency Information Collection (VA/ 26648 on October 21, 2015. Office of Management and Budget, Attn: DOD Joint Disability Evaluation Claim) Affected Public: Individuals or VA Desk Officer; 725 17th St. NW., Activity Under OMB Review Households. Washington, DC 20503 or sent through electronic mail to oira_submission@ AGENCY: Veterans Benefits Estimated Annual Burden: 7,000 omb.eop.gov. Please refer to ‘‘OMB Administration, Department of Veterans hours. Control No. 2900–0406’’ in any Affairs. Estimated Average Burden per correspondence. ACTION: Notice. Respondent: 30 minutes. FOR FURTHER INFORMATION CONTACT: SUMMARY: In compliance with the Frequency of Response: One-time. Crystal Rennie, Enterprise Records Paperwork Reduction Act (PRA) of 1995 Estimated Number of Respondents: Service (005R1B), Department of (44 U.S.C. 3501–3521), this notice 14,000 respondents. Veterans Affairs, 810 Vermont Avenue announces that the Veterans Benefits By direction of the Secretary. NW., Washington, DC 20420, (202) 632– Administration (VBA), Department of 7492 or email [email protected]. Veterans Affairs, will submit the Kathleen M. Manwell, Please refer to ‘‘OMB Control No. 2900– collection of information abstracted Program Analyst, VA Privacy Service, Office 0406.’’ below to the Office of Management and of Privacy and Records Management, SUPPLEMENTARY INFORMATION: Budget (OMB) for review and comment. Department of Veterans Affairs. Title: Verification of VA Benefits. The PRA submission describes the [FR Doc. 2016–00981 Filed 1–19–16; 8:45 am] OMB Control Number: 2900–0406. nature of the information collection and BILLING CODE 8320–01–P

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DEPARTMENT OF VETERANS ADDRESSES: Submit written comments Start programs under Title 38 U.S.C. AFFAIRS on the collection of information through 5101(a). Without this information, VA www.Regulations.gov, or to Office of would be unable to effectively [OMB Control No. 2900–0743] Information and Regulatory Affairs, administer this law. Office of Management and Budget, Attn: An agency may not conduct or Agency Information Collection (Pre- VA Desk Officer; 725 17th St. NW., sponsor, and a person is not required to Discharge Compensation Claim) Washington, DC 20503 or sent through respond to a collection of information Activity Under OMB Review electronic mail to oira_submission@ unless it displays a currently valid OMB AGENCY: Veterans Benefits omb.eop.gov. Please refer to ‘‘OMB control number. The Federal Register Administration, Department of Veterans Control No. 2900–0743’’ in any Notice with a 60-day comment period Affairs. correspondence. soliciting comments on this collection of information was published at 80 FR ACTION: Notice. FOR FURTHER INFORMATION CONTACT: Crystal Rennie, Enterprise Records 203 on October 21, 2015. SUMMARY: In compliance with the Service (005R1B), Department of Affected Public: Individuals or Paperwork Reduction Act (PRA) of 1995 Veterans Affairs, 810 Vermont Avenue Households. (44 U.S.C. 3501–21), this notice NW., Washington, DC 20420, (202) 632– Estimated Annual Burden: 40,250 announces that the Veterans Benefits 7492 or email [email protected]. hours. Administration, Department of Veterans Please refer to ‘‘OMB Control No. 2900– Estimated Average Burden per Affairs, will submit the collection of 0743’’ in any correspondence. Respondent: 15 minutes. Frequency of Response: One time. information abstracted below to the SUPPLEMENTARY INFORMATION: Estimated Number of Respondents: Office of Management and Budget Title: Pre-Discharge Compensation 161,000. (OMB) for review and comment. The Claim (VA Form 21–526c). PRA submission describes the nature of OMB Control Number: 2900–0743. By direction of the Secretary. the information collection and its Type of Review: Revision of a Kathleen M. Manwell, expected cost and burden and it currently approved collection. Program Analyst, VA Privacy Service, Office includes the actual data collection Abstract: The Pre-Discharge of Privacy and Records Management, instrument. Compensation Claim is used by service Department of Veterans Affairs. DATES: Comments must be submitted on members to file claims under the [FR Doc. 2016–00982 Filed 1–19–16; 8:45 am] or before February 19, 2016. Benefits Delivery at Discharge or Quick BILLING CODE 8320–01–P

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Part II

Federal Housing Finance Agency

12 CFR Part 1263 Members of Federal Home Loan Banks; Final Rule

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FEDERAL HOUSING FINANCE Telecommunications Device for the bank and thrift members have also been AGENCY Hearing Impaired is (800) 877–8339. permitted to obtain long-term advances SUPPLEMENTARY INFORMATION: to fund small business and community 12 CFR Part 1263 development activities.4 Bank members I. Background may use the proceeds of shorter-term RIN 2590–AA39 A. Overview of the Existing Bank advances for any business purpose. The Membership Requirements Banks also may provide members with Members of Federal Home Loan Banks a limited range of other products and 1. Statutory Requirements services, such as they provide through AGENCY: Federal Housing Finance The Federal Home Loan Bank System the ‘‘acquired member asset’’ (AMA) Agency. (Bank System) consists of eleven district programs, under which they may ACTION: Final rule. Banks and the Office of Finance. The purchase qualifying residential Banks are wholesale financial mortgage loans from their members or SUMMARY: The Federal Housing Finance institutions, organized under authority facilitate the sale of such loans to third- Agency (FHFA) has adopted a final rule of the Federal Home Loan Bank Act party investors.5 revising its regulations governing (Bank Act) to serve the public interest The Banks fund their operations Federal Home Loan Bank (Bank) by enhancing the availability of principally through the issuance of membership. The final rule adopts residential housing finance and consolidated obligations (COs), which several key revisions included in the community lending credit through their are debt instruments issued on their Notice of Proposed Rulemaking. These member institutions and, to a very behalf by the Office of Finance (a joint revisions will prevent the limited extent, through certain eligible office of the Banks) and on which all of circumvention of the statute’s nonmembers.1 Each Bank is structured the Banks are jointly and severally membership restrictions by ineligible as a regional cooperative in that it is liable.6 Congress has vested in the entities using captive insurers as owned and controlled by member Banks market advantages designed to conduits for Bank membership by institutions located within its district, enable them to raise funds in the capital defining the term ‘‘insurance company’’ which are its primary customers.2 markets at interest rates only slightly to exclude captive insurers, thereby The Banks carry out their public higher than those on comparable making them ineligible for Bank policy function primarily by providing Treasury instruments. These membership; permit any Bank that has low cost loans, known as advances, to government-sponsored entities have admitted captives to membership a their members. These must be fully various advantages, which include, transition period within which to wind secured by one or more specific types of among other things: The exemption of down its affairs with those entities; collateral, including residential the Banks’ corporate earnings and the require a Bank to obtain and review an mortgage loans and residential earnings on their COs from state and insurance company’s audited financial mortgage-backed securities, but also federal income taxes; 7 the classification statements when considering its government securities, cash, other real of the Banks’ COs as ‘‘exempted application for membership; clarify the estate related collateral, and, in some securities’’ under the Securities Act of standards by which a Bank is to cases, secured small business, 1933 and as ‘‘government securities’’ determine the ‘‘principal place of agriculture, or community development under the Securities Exchange Act of business’’ for its members, including loans, or securities backed by such 1934; 8 and the authority of the U.S. 3 specific standards for insurance loans. In most cases, Bank members Department of the Treasury (Treasury companies and community must use the proceeds of long-term Department) to purchase up to $4 development financial institutions; and advances (that is, advances with an billion in COs under certain remove obsolete provisions and make original term to maturity of more than circumstances and the fact that Congress numerous non-substantive textual five years) to fund residential housing has occasionally granted it authority to revisions so as to provide greater clarity. finance, although, since 1999, smaller purchase higher amounts during periods The final rule does not implement the of financial crisis.9 These market 1 proposed rule’s provisions with respect See 12 U.S.C. 1423, 1431(e), 1432(a). See also advantages were designed to enable the to continuing eligibility requirements, Fahey v. O’Melveny & Myers, 200 F.2d 420, 446 (9th Cir. 1952) (stating that a Bank is ‘‘a federal Banks to provide low-cost wholesale in order, as explained below, to avoid instrumentality organized to carry out public funding to their member institutions so compliance burdens that may outweigh policy’’); ADAPSO v. FHLBB, 568 F.2d 478, 480 (6th that, in turn, those members could the benefits. The specific revisions Cir. 1977) (stating that the Banks remain federal provide long-term home mortgage loans made, and the rationale for making instrumentalities although their stock is now held entirely by private entities). In addition to advances to consumers at a reasonable cost. These them, are set forth in the to members, the Bank Act also authorizes the Banks advantages accrue not only to SUPPLEMENTARY INFORMATION below. to make advances to nonmember mortgagees, consumers, but also to the members DATES: Effective Date: February 19, including state housing finance agencies, that have been approved under title II of the National themselves, which benefit from a lower 2016. Housing Act, 12 U.S.C. 1707, et seq., and that meet cost of funds that makes those FOR FURTHER INFORMATION CONTACT: Eric certain additional requirements. See 12 U.S.C. institutions more competitive in their 1430b. These entities are referred to as ‘‘housing markets as compared with non-members M. Raudenbush, Assistant General associates’’ in FHFA’s regulations. See 12 CFR Counsel, Office of General Counsel, 1201.1, 1264.1–.6, 1266.16–.17. who do not have access to such low-cost [email protected], (202) 649– 2 Specifically, only members may own the capital wholesale funding. In line with the public policy goals 3084; or Julie Paller, Senior Financial stock of a Bank, 12 U.S.C. 1426(a)(4)(B), all members are required to maintain a minimum underlying the creation of the Banks Analyst, Supervisory and Regulatory investment in Bank stock, 12 U.S.C. 1426(c)(1), each Policy, Division of Bank Regulation, Bank is managed by a board of directors that is 4 See 12 U.S.C. 1430(a)(2). elected by its members, see 12 U.S.C. 1427(a), (b), [email protected], (202) 649–3201 5 (c), and (with limited exceptions noted in footnote See 12 CFR part 955. (not toll-free numbers), Federal Housing 6 1 above) only members may obtain advances and See 12 U.S.C. 1431; 12 CFR part 1270. Finance Agency, 400 Seventh Street access other products and services provided by a 7 See 12 U.S.C. 1433. SW., Washington, DC 20219. The Bank, see 12 U.S.C. 1429, 1430(a)(1), 1430b. 8 See 12 U.S.C. 1426a(c)(2). telephone number for the 3 12 U.S.C. 1430(a)(3). 9 See 12 U.S.C. 1431(i), (l).

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and in conjunction with its decision to membership. Section 4(a)(1) of the Bank determination of the appropriate Bank provide the Banks, and consequently Act requires that an institution, district for membership, members’ their members, with the market regardless of type: (A) Be duly organized purchase and redemption of Bank advantages described above, Congress under the laws of any state or the capital stock, and voluntary or made a decision to limit eligibility for United States; (B) be subject to involuntary termination and Bank membership to the types of inspection and regulation under reacquisition of membership. financial institutions listed in section banking, or similar, laws of a state or the The regulation requires all insured 4(a) of the Bank Act. When the statute United States; and (C) ‘‘makes such depository institutions, insurance was originally enacted in 1932, these home mortgage loans as, in the companies, and CDFIs to meet six included thrift institutions of various judgment of the Director [of FHFA], are requirements in order to be considered types that existed at the time (i.e., long-term loans.’’ 13 An institution that eligible for membership: The ‘‘duly building and loan associations, savings fails to satisfy any of those requirements organized,’’ ‘‘subject to inspection and and loan associations, cooperative is not eligible for Bank membership. regulation,’’ 17 and ‘‘makes long-term banks, homestead associations, and (Hereinafter, those requirements are home mortgage loans’’ requirements, savings banks), as well as insurance referred to as the ‘‘duly organized,’’ which by statute apply to all types of companies. Since 1932, Congress has ‘‘subject to inspection and regulation,’’ institutions; and the ‘‘financial amended section 4(a) to expand the list and ‘‘makes long-term home mortgage condition,’’ ‘‘character of management,’’ of institutions that may be eligible for loans’’ requirements, respectively). and ‘‘home financing policy’’ Bank membership only three times, Section 4(a)(2) of the Bank Act requirements, which FHFA and its adding federally insured depository imposes additional eligibility predecessor agency, the Federal institutions in 1989,10 non-depository requirements on insured depository Housing Finance Board (Finance Board), Community Development Financial institutions that were not members of a have applied by regulation to all Institutions (CDFIs) in 2008,11 and non- Bank as of January 1, 1989. These institutions as a matter of safety and federally insured credit unions in require that any such institution: (A) soundness.18 Paralleling the statute, the 2015.12 Today, because most depository Have at least 10 percent of its total membership regulation requires that institutions (including the types of assets in ‘‘residential mortgage loans’’; non-CFI depository institutions also thrifts listed in section 4(a)) are now (B) be in a financial condition such that meet the ‘‘10 percent’’ requirement in federally insured, essentially four types advances may be safely made to it; and order to be eligible for membership, but of institutions may be eligible for (C) show that the character of its does not extend that requirement to membership: (1) Federally insured management and its home-financing CFIs, CDFIs or insurance companies.19 depository institutions (including banks policy are consistent with sound and However, the regulation does require and thrifts whose deposits are insured economical home financing.14 institutions that are not insured by the Federal Deposit Insurance (Hereinafter, those requirements are depository institutions (i.e., insurance Corporation (FDIC) and credit unions referred to as the ‘‘10 percent,’’ companies and CDFIs) to have whose deposits are insured by the ‘‘financial condition,’’ ‘‘character of ‘‘mortgage-related assets’’ that ‘‘reflect a National Credit Union Administration management,’’ and ‘‘home financing commitment to housing finance’’ in (NCUA)); (2) insurance companies; (3) policy’’ requirements, respectively). order to be considered eligible.20 CDFIs that are certified by the However, section 4(a)(4) exempts from For each of the six general eligibility Community Development Financial the ‘‘10 percent’’ requirement any requirements and for the ‘‘10 percent’’ Institutions Fund of the Treasury ‘‘community financial institution’’ requirement, part 1263 includes at least Department; and (4) non-federally (CFI),15 which the statute defines as an one separate section specifying in more insured credit unions meeting certain FDIC-insured depository institution detail how a Bank that is considering an statutory criteria. Entities that do not with less than $1 billion in average total institution’s application for membership fall within one of those categories are assets (adjusted annually for inflation) is to determine whether the applicant ineligible for Bank membership. over the preceding three years.16 satisfies the requirement.21 An While qualifying as one of those applicant that meets the criteria of any 2. FHFA’s Existing Bank Membership enumerated types of institutions is one of those more detailed provisions is Regulation prerequisite for membership eligibility, deemed to be in compliance with the an institution must meet several other FHFA’s regulation on Bank corresponding statutory eligibility requirements set forth in section 4 of the membership, located at 12 CFR part requirement, although that presumption Bank Act in order to obtain 1263, specifies how and when an institution must demonstrate 17 As provided in the statute, an institution 10 See Financial Institutions Reform, Recovery, compliance with each of the statutory certified as a CDFI by the Treasury Department’s and Enforcement Act of 1989 (FIRREA), Public Law membership eligibility requirements CDFI Fund is deemed to have met the ‘‘subject to 101–73, § 704, 103 Stat. 183, 415 (1989). inspection and regulation’’ requirement by virtue of and otherwise implements those that certification. See 12 CFR 1263.6(a)(2), 1263.8. 11 See Housing and Economic Recovery Act of 18 2008, Public Law 110–289, § 1206, 122 Stat. 2654, requirements. The regulation also 12 CFR 1263.6(a). 2787 (2008). CDFI credit unions were eligible for establishes requirements relating to the 19 12 CFR 1263.6(b). Bank membership prior to 2008 due to their status membership application process, 20 12 CFR 1263.6(c). The regulation does not as insured depository institutions. define the term ‘‘mortgage-related assets.’’ 12 21 See 12 CFR 1263.7–1263.18. In the case of the On December 4, 2015, the President signed into 13 12 U.S.C. 1424(a)(1). In lieu of being subject to ‘‘financial condition’’ requirement, there are two law an amendment to section 4(a) of the Bank Act inspection and regulation by a state or federal such sections—one (§ 1263.11) setting forth the that allows any non-federally insured credit union regulator, a CDFI applicant must be certified as a meeting certain specified criteria to be treated as an specific criteria for insured depository institutions CDFI by the Treasury Department. See 12 U.S.C. ‘‘insured depository institution’’ for purposes of and another (§ 1263.16) setting forth the specific 1424(a)(1)(B). determining its eligibility for Bank membership. criteria for insurance companies and CDFIs. There 14 See Fixing America’s Surface Transportation Act, 12 U.S.C. 1424(a)(2). are also separate sections setting forth specific Public Law 114–94, § 82001 (2015). This final rule 15 12 U.S.C. 1424(a)(4). criteria for determining all of the eligibility does not implement or otherwise address that 16 12 U.S.C. 1422(10)(A). By statute, FHFA must requirements for recently chartered insured recent statutory amendment. To the extent that annually adjust the $1 billion CFI asset limit for depository institutions (§ 1263.14) and for regulatory revisions are necessary or appropriate to inflation. 12 U.S.C. 1422(10)(B). The inflation- determining some of the eligibility requirements for implement the amendment, they must be the adjusted CFI limit for 2015 was $1.123 billion. See recently consolidated institutions of any type subject of a separate rulemaking. 80 FR 6712 (Feb. 6, 2015). (§ 1263.15).

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may be rebutted if the Bank obtains membership regulation does not require determine whether certain provisions substantial evidence to the contrary.22 a Bank to determine an institution’s that do not need substantive revision Conversely, an applicant that does not compliance with either the ‘‘10 percent’’ should nonetheless be revised to meet the criteria of the more detailed or ‘‘makes long-term home mortgage address questions that have arisen about provisions is presumed to be out of loans’’ requirement once that institution their application, or simply to read more compliance with the corresponding has become a Bank member. clearly or conform more closely to the statutory eligibility requirements. With style, structure and nomenclature FHFA B. FHFA’s Review of the Membership respect to several of the requirements, now uses in its other regulations. Regulation the presumption of non-compliance can In December 2010, after FHFA had be rebutted if certain additional criteria This final rule is one of the results of completed an initial review of the are met.23 However, the presumption of a continuing review of FHFA’s Bank membership regulation, the Agency non-compliance arising from failure to membership regulation that the Agency published an Advance Notice of meet the criteria for the ‘‘makes long- began in 2010. Most of the fundamental Proposed Rulemaking (ANPR) in which term home mortgage loans,’’ and ‘‘10 aspects of the existing membership it requested comments on a number of percent’’ requirements (as well as the regulation were adopted as part of two issues.28 Primary among those issues ‘‘duly organized’’ requirement) is rulemakings undertaken by the Finance was whether the existing regulation was conclusive and may not be rebutted. Board in the mid-1990s.26 Although the effectively implementing the statutory In the case of the ‘‘10 percent’’ membership regulation was ‘‘10 percent,’’ ‘‘makes long-term home requirement, the regulation deems any subsequently amended several times (in mortgage loans,’’ and ‘‘home financing insured depository institution to which some cases to make important policy’’ eligibility requirements. The that statutory requirement applies to substantive changes 27), until 2010 there ANPR asked whether it would be have satisfied that requirement if, at the had been no comprehensive review of appropriate to establish more objective time of its application for Bank the regulation as a whole since it was and quantifiable standards for either of membership, its most recently filed amended to grant the Banks the the latter two requirements and whether regulatory financial report indicates that authority to approve or deny any or all of those requirements should it has at least 10 percent of its total membership applications in 1996. be revised to explicitly apply on a assets in ‘‘residential mortgage loans.’’ 24 FHFA’s decision to undertake such a continuing basis, rather than only at the In contrast to the ‘‘10 percent’’ review was prompted in part by the time of admission to membership. The requirement, neither the Bank Act nor evolution of the financial services ANPR also requested comment on other the regulation establishes a quantitative industry in the intervening years, which issues, including whether, in light of standard for determining compliance had given rise to a number of issues that FHFA’s supervisory concerns about the with the ‘‘makes long-term home the existing regulation either did not acceptance of so-called ‘‘captive’’ mortgage loans’’ requirement. The address or addressed inadequately. The insurers as members by several Banks, regulation deems an institution to have goal of this review, which is ongoing, the Agency should amend the regulation satisfied that statutory requirement if, at has been to determine whether the to exclude such entities from Bank the time of its application for Bank existing regulatory provisions continue membership. FHFA received 137 membership, its most recently filed to effectively implement the comment letters in response to the regulatory financial report demonstrates requirements of the Bank Act and the ANPR, almost all of which opposed that it originates or purchases long-term Federal Housing Enterprises Financial revising the membership regulation in home mortgage loans.25 The regulation Safety and Soundness Act of 1992 any of the ways discussed in the notice. does not specify the level of activity that (Safety and Soundness Act) and to However, because very few of those is needed to meet the requirement. The fulfill the purposes underlying those letters provided detailed responses to requirements. FHFA has also sought to the questions FHFA asked, the Agency 22 12 CFR 1263.17(a). continued to study the issues and 23 See 12 CFR 1263.17(b) through (f). 26 In 1993, the Finance Board adopted a new ultimately decided to proceed with a 24 The regulation defines the term ‘‘residential membership regulation in order to implement the mortgage loan,’’ which the statute does not define, revisions to the statutory membership requirements Notice of Proposed Rulemaking to include generally all assets that qualify as home made by FIRREA in 1989. See 58 FR 43522 (Aug. (proposed rule). mortgage loans (see definition in footnote 25 17, 1993). Most of the existing material addressing below), regardless of whether the underlying loans the general eligibility requirements (now located in C. The Proposed Rule are ‘‘long-term’’ or not, plus loans secured by junior § 1263.6), the stock requirements (§§ 1263.19– FHFA published a proposed rule in liens on one-to-four family property or multifamily 1263.23), and membership withdrawal, termination, property, loans secured by manufactured housing, and readmission requirements (§§ 1263.24–1263.30) the Federal Register on September 12, funded residential construction loans, and mortgage was adopted at that time. A 1996 rulemaking made 2014.29 It proposed to make two pass-through securities representing an ownership significant revisions and additions to the regulation fundamental changes to the Bank interest in, or mortgage debt securities secured by, in order to authorize the Banks to approve or deny membership regulation, as well as any of those types of assets. 12 CFR 1263.1. all membership applications. See 61 FR 42531 25 12 CFR 1263.9. The Bank Act defines the term (Aug. 16, 1996). Prior to that time, the Finance several other substantive, but less ‘‘home mortgage loan’’ to mean ‘‘a loan made by a Board had the ultimate authority to approve or deny fundamental, changes, and numerous member upon the security of a home mortgage.’’ 12 membership applications, although it had delegated non-substantive revisions to clarify U.S.C. 1422(4). In turn, the statute defines the term some of that decision-making authority to the Banks various existing regulatory provisions. ‘‘home mortgage’’ to mean a first mortgage, or its in the case of institutions meeting certain ‘‘safe equivalent, upon real estate on which one or more harbor’’ criteria. Most of the existing material First, the proposed rule would have homes or dwelling units are located. 12 U.S.C. regarding the application process (§§ 1263.2– revised the regulation to require that an 1422(5). The existing regulation supplements the 1263.5) and the rebuttable presumptions that apply institution hold at least one percent of statutory definition of ‘‘home mortgage loan’’ by to the various eligibility requirements (§§ 1263.7– its assets in home mortgage loans in defining the term generally to include any loan or 1263.18) were adopted as part of the 1996 interest in a loan that is secured by a first lien rulemaking. order to be deemed to satisfy the mortgage or any mortgage pass-through security that 27 For example, the regulation was amended in statutory ‘‘makes long-term home represents an undivided ownership interest in such 2000 to implement the new statutory exemption of mortgage loans’’ requirement and to loans or in another security that represents an CFIs from the ‘‘10 percent’’ requirement, see 65 FR require that each Bank member comply undivided ownership interest in such loans. 12 CFR 13866 (Mar. 15, 2000), and in 2010 to implement 1263.1. The regulation also defines the term ‘‘long- the statutory amendments making non-depository term,’’ which the statute does not define, to mean CDFIs eligible for membership, see 75 FR 678 (Jan. 28 See 75 FR 81145 (Dec. 27, 2010). ‘‘a term to maturity of five years or greater.’’ See id. 5, 2010). 29 See 79 FR 54848 (Sept. 12, 2014).

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with that ‘‘one percent’’ requirement advances made to their captive the list of assets that qualify as ‘‘home and, where applicable, with the ‘‘10 subsidiaries and providing the collateral mortgage loans’’ to include all types of percent’’ requirement on an ongoing for those advances, led FHFA to the mortgage-backed securities (MBS) (as basis as a condition of remaining a conclusion that the real purpose of opposed to only mortgage pass-through member. The proposed rule would have those arrangements was to provide the securities) that are fully backed by required each Bank to determine non-member REITs with access to Bank qualifying whole loans; (2) to require member compliance with those ongoing funding to which they were not legally that a Bank examine an insurance requirements annually, using data from entitled. company applicant’s most recent members’ regulatory financial reports The proposed rule would have audited financial statements in where possible, to calculate the relevant addressed this supervisory concern by determining whether it meets the ratios based on a three-year rolling defining the term ‘‘insurance ‘‘financial condition’’ eligibility average. Members found to be out of company’’—which is not defined in requirement; and (3) to revise the compliance with either requirement either the Bank Act or the existing existing regulation and add a new would have been given one year to regulation—to exclude captives, thereby provision addressing how a Bank return to compliance. As proposed, the rendering those types of entities should determine the ‘‘principal place rule would have required a Bank to ineligible for Bank membership. of business’’ (and, therefore, the terminate the membership of any Specifically, the proposed rule would appropriate Bank district for institution that remained out of have defined ‘‘insurance company’’ to membership) for insurance companies compliance for two consecutive years. mean ‘‘a company whose primary or CDFIs. In addition to those primary Second, the proposed rule sought to business is the underwriting of revisions, FHFA also proposed to make address the growing use of captive insurance for nonaffiliated persons or a number of conforming changes insurers as vehicles through which entities.’’ A typical captive, whose necessary to integrate the new parent companies not meeting the primary business is the underwriting of requirements into the regulation and to membership eligibility requirements of insurance for its parent company or for make numerous non-substantive the Bank Act could circumvent those other affiliates, would not be included revisions to clarify various regulatory requirements and gain access to low- within the scope of the proposed provisions. cost Bank advances to fund their own definition of ‘‘insurance company.’’ operations and investments.30 Several Because, as discussed above, the Bank D. Overview of Comments on the real estate investment trusts (REITs), Act and the membership regulation Proposed Rule which are not eligible for Bank limit eligibility for Bank membership to The proposed rule initially provided membership, had established captive institutions that qualify as an insured for a comment period of 60 days, but, subsidiaries that became Bank members depository institution, a CDFI, or an in response to numerous requests, and then obtained advances that were insurance company, defining FHFA extended the comment period to disproportionately large in comparison ‘‘insurance company’’ to exclude 120 days.31 The extended comment with the investments and operations of captives effectively removes such period closed on January 12, 2015, and the captives themselves, and additional entities from among the types of FHFA received over 1,300 comment REITs and other ineligible entities were institutions that may be eligible for letters in response to the proposed rule. seeking to do the same. This, combined membership. Nearly 60 percent of the comment with the facts that many of the parents Although the proposed rule would letters came from bank and thrift were guaranteeing repayment of the have made all captives ineligible for institutions and related trade membership, it would have permitted associations; about 12 percent came 30 A captive is a special-purpose insurer formed any captive that had been admitted to from credit unions and related trade primarily to underwrite the risks of its parent membership prior to the publication associations. The remainder of the company or affiliated companies. A typical captive letters were from the Banks (all of which resembles a traditional commercial insurance date of the proposed rule to remain a company in that it is licensed under state law, sets member of its current Bank for five sent more than one letter), insurance premiums and writes policies for the risks it years following the effective date of the companies, CDFIs, affordable housing underwrites, collects premiums, and pays out final rule. However, the rule would have agencies and organizations, various claims. The biggest difference between a captive insurer and a commercial insurance company is capped the amount of advances that a types of community support that a captive does not sell insurance to the general Bank could have outstanding to such a organizations, home builders, REITs, public. In 1972, Colorado became the first state in member at 40 percent of the member’s public officials, and others. About two- the U.S. to enact legislation recognizing and total assets and prohibited a Bank from thirds of all letters were versions of one governing captives as a class of entity distinct from commercial insurance companies. To date, over 30 making a new advance, or renewing an form letter template or another. states and the District of Columbia have enacted existing advance, with a maturity date Few of the comment letters expressed such captives-specific statutes. Primarily because beyond the five-year grace period. As support for any aspect of the proposed captives do not sell insurance to the general public, proposed, the regulatory text would not rule, and the vast majority expressed these state statutes establish standards for the formation, licensing, operation, and supervision of have explicitly addressed the treatment opposition to, or requested that FHFA captives that are generally less onerous than either of any captives that a Bank may have withdraw, the entire rule. The most the state statutory regimes that apply to commercial admitted to membership on or after the commonly expressed concerns arose insurance companies or the state and federal laws date on which the proposed rule was from a belief that the rule, if under which depository institutions are chartered, operated, and supervised. See Frank Seneco, published. FHFA stated in the implemented, would result in the Banks Wesley Sierk & Evan Jehle, Do-It-Yourself SUPPLEMENTARY INFORMATION to the having fewer members on average and Insurance, Private Wealth Magazine, July/Aug. proposed rule, however, that it would that this, in turn, would result in a 2014, at 21–22, http://www.fa-mag.com/news/do-it- reduction in their income. This, yourself-insurance-18548.html?issue=230 (last interpret the regulation to require the visited Dec. 8, 2015); see also National Association immediate termination of such captives’ commenters contended, would of Insurance Commissioners, Captive and Special membership and the prompt liquidation compromise the Banks’ ability to act as Purpose Vehicle Use Subgroup of the Financial of any outstanding advances. reliable sources of liquidity, inhibit Condition Committee, Captives and Special The proposed rule also would have Purpose Vehicles—An NAIC White Paper (June 6, their ability to carry out their housing 2013), http://www.naic.org/store/free/SPV-OP-13- made several other substantive, but less ELS.pdf (last visited Dec. 8, 2015). fundamental, changes: (1) To expand 31 See 79 FR 60384 (Oct. 7, 2014).

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finance and community development proposal would provide little or no which contended that the proposed mission, and reduce the amount of benefit to the Bank System; members ongoing ‘‘10 percent’’ requirement funds available for their Affordable could never be certain that FHFA would would impose a disproportionate Housing Programs and Community not increase the quantitative burden on small credit unions because Investment Cash Advance programs. requirements in the future; the proposed they cannot qualify as CFIs. That view However, few of the commenters ongoing requirements would reduce is consistent with the Agency’s recent expressing these views provided factual membership levels at the Banks; the research, which indicates that, of the support for their opinions or attempted current regulations and collateral current members that would not meet to quantify the effects they believed the requirements already ensure that an ongoing ‘‘10 percent’’ requirement, members maintain a nexus to the Banks’ rule would have on the Banks’ about 68 percent of them would be operations. housing finance mission; the proposed small credit unions. FHFA reviewed every comment letter ongoing requirements have no and considered all of the comments in foundation in the Bank Act or its Although FHFA has determined not developing the final rule. The primary legislative history; and the requirements to adopt the ongoing asset ratio comments regarding each of the do not take into account that financial requirements as part of the final rule, substantive aspects of the proposed rule, services organizations are often the Agency believes that members’ as well as FHFA’s responses to some of structured such that they hold ongoing commitment to housing finance those comments, are discussed mortgages and mortgage securities in is important to ensuring fidelity to the immediately below. Comments various entities within their corporate Bank Act and the purposes for which addressing specific rule provisions are organization for a range of business the Bank System was established and discussed in part III of this reasons. that the issue warrants continued SUPPLEMENTARY INFORMATION, which Commenters also expressed concerns monitoring going forward. FHFA describes the final rule in detail and the specific to the proposal to make the ‘‘10 therefore will continue to monitor this ways in which it differs from the percent’’ requirement ongoing, issue carefully and may revisit the issue proposed rule. including that CFIs with total assets in the future should its monitoring approaching the CFI threshold amount 1. Comments on the Proposed Ongoing might forego acquiring another reveal a need for further action. Any Asset Ratio Requirements institution or reduce other activities that such action would be undertaken Over 800 of the comment letters could grow their business solely through a separate rulemaking, with addressed FHFA’s proposal to measure because doing so would push their asset prior notice to, and an opportunity for compliance with the ‘‘makes long-term size above the CFI threshold and thus comments from, all interested parties. home mortgage loans’’ requirement make them immediately subject to the 2. Comments on the Proposed Exclusion based on a quantitative standard and to ‘‘10 percent’’ requirement. In addition, of Captives From Membership apply that quantitative requirement to some commenters expressed concern members on an ongoing basis. Over 600 that, because the Bank Act does not About 400 of the comment letters of the letters addressed the proposal to exempt smaller credit unions from the addressed FHFA’s proposal to exclude apply the ‘‘10 percent’’ requirement to ‘‘10 percent’’ requirement as it does for captives from Bank membership to some members on an ongoing basis. Almost small banks and thrifts, the proposed degree, with about 60 of those letters all of the commenters addressing those changes would impose a treating the issue in some depth. Almost proposals were opposed to the proposed disproportionately greater compliance revisions. Approximately 66 percent of all of the letters expressed opposition to burden on small credit unions than they all aspects of the captives proposal and those opposed to the ongoing would on small banks and thrifts. quantitative ‘‘makes long-term home Having reviewed all of the comment none expressed support for the overall mortgage loans’’ requirement and letters addressing the proposed ongoing proposal. Almost all of the commenters’ approximately 51 percent of those asset ratio requirements, FHFA has specific arguments in opposition to the opposed to the ongoing ‘‘10 percent’’ decided not to include those revised captives proposal fell into two general requirement stated that managing their requirements in the final rule. The categories: (1) That FHFA does not have balance sheets for compliance would Agency’s research indicates that over 98 the legal authority to implement the hinder members’ business by putting percent of current members likely proposal; and (2) that the proposal is them in the position of choosing would be in compliance with both flawed from a policy perspective. Many between optimal balance sheet proposed requirements (as applicable). commenters included arguments falling management and continued access to This suggests that, for the time being, into both categories in their letters. their Banks as a source of liquidity. FHFA can address its supervisory A few of the comment letters About half of the commenters opposed concerns about members abandoning expressed no opposition to the proposal, to the proposed revisions stated that their commitment to housing finance by but suggested some clarifying textual members would be harmed by losing continuing to monitor the levels of revisions. One commenter explicitly membership in the Bank System and residential mortgage assets held by about half also cited concerns regarding members. supported the idea of excluding REIT- the additional regulatory burden on FHFA also recognizes that controlled captives from membership, members. establishing a system to monitor stating that, because REITs are As further objections to the proposal, members’ compliance with the uninsured, they pose ‘‘unnecessary commenters also stated, among other proposed ongoing asset ratio risks’’ to the Bank system and, because things, that the proposal would create a requirements could pose an additional REITs already benefit from tax significant operational burden on the incremental burden on the Banks and preferences, it is questionable public Banks because the member financial their members, particularly on members policy to allow them access to the lower information required to determine whose asset ratios are close to the cost funding the Banks provide. compliance with the ongoing required minimums. FHFA also However, that commenter was opposed requirements is not perfectly aligned carefully considered the comments to the exclusion of captives controlled with specific call report line items; the received from the credit union industry, by other types of entities.

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a. Comments on FHFA’s Legal Authority exclude any entity chartered as any type it disregards the possibility that other To Implement the Captives Proposal of insurance company. Others disputed types of members could be utilized for Commenters who expressed legally FHFA’s assertion in the proposed rule a similar purpose. While commenters advancing the based objections to the captives that in 1932 Congress could not have foregoing argument asserted that the proposal made three types of arguments contemplated that the term ‘‘insurance proposed prohibition would be too in support of those objections: (1) FHFA company’’ would include captives narrow, others asserted that it would be lacks the legal authority to define the because they did not exist at that time. overly broad. Commenters taking the term ‘‘insurance company’’ to exclude These commenters contended that the latter view contended that, if FHFA captives; (2) irrespective of its general concept of ‘‘self-insurance’’ has existed wishes to prevent entities that are not authority, FHFA cannot legally exclude for hundreds of years and that other types of self-insurance vehicles did exist eligible for Bank membership from all captives from membership as in 1932, although they were not at that using captives to access Bank funding, proposed because the proposal lacks a time referred to as ‘‘captives.’’ Several then it should exclude from factual basis, arbitrarily singles out commenters also noted that Congress membership only captives that are captives, or is overly broad; and (3) in has never acted to exclude captives from owned by ineligible entities or, even any event, FHFA lacks the legal membership, despite the fact that an more narrowly, only captives that FHFA authority to terminate or require increasing number of states have has determined are actually being used termination of a captive member. These adopted captive insurance statutes since as a funding conduit for an ineligible three general categories, including most the first such statutes were enacted parent. of the specific legal arguments offered domestically in the 1970s. Finally, Finally, a number of commenters, within those categories, are addressed in many commenters cited Congress’s while not conceding that FHFA has the turn below. decision to extend eligibility for Bank authority to prevent the Banks from The general legal argument expressed membership to commercial banks and accepting captives as new members most frequently in the comment letters credit unions in 1989 and to CDFIs in going forward, argued specifically that was that FHFA lacks the legal authority 2008 as evidence of its intent to effect the Agency may not terminate, or to define the term ‘‘insurance company’’ ‘‘an inclusive and expansive approach’’ require the Banks to terminate, captives to exclude captives. Many commenters to membership and characterized that have already been approved for stated that, because ‘‘insurance FHFA’s attempt to exclude captives membership under the existing company’’ is not defined in the statute, from membership as running counter to regulations. In support of this the term must be given what they that intent. contention, several commenters noted believe to be its plain meaning—i.e., In addition to the broader assertions that, while the Bank Act at one time that a captive must be considered to be that FHFA lacks any authority to explicitly authorized the Bank System an ‘‘insurance company’’ under the interpret the scope of the term regulator to require a Bank to terminate Bank Act, apparently because it is ‘‘insurance company’’ as not including a member in certain circumstances, chartered or licensed under state captives, numerous commenters argued, Congress removed this explicit insurance laws. Because a captive is more narrowly, that the Agency cannot authorization in 1999. considered to be an ‘‘insurance legally implement the specific approach Another commenter who focused on company’’ under the laws of the states set forth in the proposed rule because it FHFA’s comments in the proposed rule that have captive insurance statutes, lacks any factual basis to justify that SUPPLEMENTARY INFORMATION regarding these commenters argued, FHFA has no approach. Many of the commenters the possibility that captive membership authority to interpret the term any advancing such arguments may pose unique safety and soundness differently for purposes of the Bank Act, mischaracterized the Agency’s proposal issues asserted that those concerns and thus cannot exclude captives from to exclude captives as being based could not serve as a basis for requiring the category of ‘‘insurance company’’ as primarily on either safety and the termination of captive members used in the Bank Act. In support of this soundness concerns or a view that until the Agency had taken the steps argument, several commenters captives (or their parents) do not required by section 8 of the Bank Act.33 specifically cited the federal McCarran- support housing finance. Those making Specifically, the commenter asserted Ferguson Act,32 which reserves to the such mischaracterizations asserted, and that section 8 of the Bank Act requires states the authority to regulate and tax in some cases cited specific evidence, FHFA, if it believes that any of the state the business of insurance, except in that the assumptions underlying those laws under which captives are regulated cases where Congress has adopted a purported bases are erroneous. Others, give rise to safety and soundness statutory provision that explicitly who correctly characterized FHFA’s concerns, to undertake a study of those provides otherwise. primary goal as being to prevent the laws and that only after concluding that Numerous commenters argued that circumvention of the statute by a state’s laws fail to provide adequate FHFA’s proposal to define ‘‘insurance ineligible entities, such as REITs, that protection to the Banks may FHFA company’’ to exclude captives from have formed captives for the express restrict the membership of otherwise membership is outside the Agency’s purpose of gaining access to Bank eligible members in that state. authority because it runs contrary to funding to which they are not legally One commenter asserted that Congress’s clear intent regarding the entitled, argued that the proposed rule termination of existing captive members meaning of the term and the scope of provided no evidence to show a factual would give rise to a ‘‘takings’’ claim Bank membership. In this vein, many basis for those concerns. against the United States in that it cited the fact that the Bank Act provides Some commenters argued that, even if would deprive former captive members that ‘‘any’’ insurance company may be FHFA has a legitimate factual basis for of their right to a pro rata share of the eligible for membership as evidence of its concerns regarding the ability of retained earnings of their former Banks Congress’s unambiguous intent to ineligible entities to obtain indirect and of access to Bank advances and prohibit the Bank System regulator from access to Bank funding through eligible other products and services without narrowing the scope of the term to subsidiaries, the Agency’s decision to adequate compensation. The commenter focus only on the exclusion of captives 32 15 U.S.C. 1011–1015. in the proposed rule is arbitrary because 33 12 U.S.C. 1428.

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argued that, therefore, such termination commitment to the residential mortgage regarding captives that would be less is prohibited under a ruling by the U.S. market in the U.S. is consistent with the severe than the outright exclusion of all Court of Appeals for the D.C. Circuit mission of the Banks. Going further, captives from Bank membership. that no federal agency may adopt a rule many argued that, contrary to the Several commenters that believed that would give rise to a ‘‘takings’’ claim approach taken in the proposed rule, FHFA’s concerns to be primarily related against the United States unless it is FHFA should actually encourage to safety-and-soundness or mission expressly authorized it to do so by membership approval for REIT- achievement issues suggested that the statute.34 controlled captives as a means of Agency could address these concerns by increasing the level of private capital in adopting borrowing, financial condition, b. Comments Asserting That the the residential mortgage market. Several or mission standards to apply Proposal Is Flawed From a Policy of these commenters asserted that the specifically to captives (or, in some Perspective collateral requirements applying to cases, to insurance companies While many of the commenters did Bank advances would tend to dissuade generally). For example, one commenter not address FHFA’s legal authority to entities whose business practices are not suggested that FHFA could require implement the proposed exclusion of consistent with the housing finance ongoing periodic reporting to the Bank captives from membership, almost all of mission of the Banks from forming of information that would allow it to the commenters asserted that doing so captives in order to gain access to Bank adequately assess the financial health would represent a poor policy choice. advances. and investment strategies of, and other The arguments made in support of A number of commenters argued that risk metrics pertaining to, both the commenters’ policy-based objections FHFA offered no analysis of the captive and its parent; apply a more focused primarily on issues of (1) safety financial impact the proposed exclusion stringent mission test to potential and soundness, (2) mission of captives would have on the Banks captive members and their parents using achievement, and (3) the financial and their members. Many commenters asset or income tests; or require that all health of the Banks, their members, and noted that the Bank System benefits collateral pledged by captives or their the overall residential mortgage market. from a diverse and robust membership parents to secure advances be real estate Again focusing on FHFA’s comments and asserted that eliminating one class related. regarding the possibility that captive of existing and potential members Commenters that more appropriately membership may pose unique safety would result in lost income for the focused on FHFA’s primary concern— and soundness issues, numerous Banks now and in the future. At least the misuse of the captive vehicle by commenters argued that captives do not one commenter asserted that, for certain non-eligible entities—stated that FHFA pose safety and soundness risks that are Banks, the financial impact of the should prevent those practices materially greater than or different from proposal could be so significant as to specifically, without excluding all those posed by other types of members. jeopardize their independent status, captives from membership. For These commenters offered a number of thereby forcing them to consolidate with example, some suggested that the final contentions in support of this argument, other Banks. Many commenters pointed rule allow captives with a parent or including that captives are subject to out that any action that might reduce affiliate that is itself eligible for Bank regulatory regimes that are generally the the income of any Bank to any extent membership to remain eligible. One same as those that apply to traditional would necessarily reduce the amount of such commenter favored the use of insurers and are supervised in a similar funds available for those Banks’ captives to allow parent companies that fashion; captives have a lower rate of Affordable Housing Programs (AHP) are themselves eligible for membership insolvency and default than traditional because the statute requires 10 percent (‘‘particularly . . . institutions that now insurers because they tend to be over- of a Bank’s earnings to be dedicated to have substantially higher liquidity capitalized and operated conservatively its AHP. requirements than in the past’’) so as to ensure that they will be able to In addition to the predictions of essentially to become members of more pay the claims of their owners; and negative consequences for the Banks than one Bank, which the commenter Banks have been admitting captives as and their members, a number of asserted ‘‘would not only help to serve members for over 20 years and have commenters asserted that preventing the industry’s liquidity needs, but experienced no losses on advances to mortgage REITs and similar companies would reduce the concentration risk captive members. Other commenters from accessing Bank funding through posed by large institutions belonging to asserted that to the extent that captives captive subsidiaries would have only one or two [Banks].’’ may present unique safety and negative consequences for the overall Other commenters suggested that the soundness concerns, those concerns can residential mortgage market. Noting that final rule exclude from membership be addressed with more targeted the long-term and reliable nature of only captives that FHFA or the Banks requirements, such as requiring captive Bank funding assists in reducing the have determined are owned by non- members to meet special seasoning likelihood that mortgage market crises eligible entities that are using or have requirements, minimum capital levels, will occur and in mitigating such crises used those captives as conduits to or maximum leverage ratios. Still others when they do occur, several of these receive Bank funding for their own use. contended that the Banks already have commenters argued that preventing Those commenters did not provide sufficient processes and procedures to captive parents from accessing that much detail as to how that would be manage any additional risk that captives funding could increase instability in the accomplished, although one suggested may pose. residential mortgage market by reducing that FHFA itself should review captives’ Many commenters urged FHFA to liquidity and curtailing the availability applications for Bank membership in continue to allow captives—particularly of long-term funding. order to determine the purpose behind those controlled by REIT parents—to be each application. Finally, one c. Comment Letters Suggesting commenter, who asserted that FHFA ‘‘is admitted to Bank membership, stressing Alternative Approaches that mortgage REITs’ substantial not well informed about captives,’’ A number of commenters suggested suggested that the Agency should 34 See Bell Atlantic Tel. Cos. v. FCC, 24 F.3d alternative approaches to address what ‘‘increase its knowledge in this area and 1441, 1445–46 (D.C. Cir. 1994). they perceived to be FHFA’s concerns find ways to address issues raised in the

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[proposed rule] by participating in a About 80 of the comment letters Although there may be some practical task force with insurance regulators and addressed the parts of the proposed rule benefits to using the state of domicile as others in the captive insurance that would have amended the a proxy for an institution’s principal industry.’’ regulations governing how an place of business, the core question is institution’s principal place of business whether such an approach would be d. Results of FHFA’s Review of consistent with the requirements of the Comments on the Captives Proposal is to be determined which, in turn, dictates the Bank it may join. The Bank Act. FHFA has previously FHFA has reviewed all of the proposal included one provision determined that the term ‘‘principal comments regarding its proposal to specific to insurance companies and place of business’’ contemplates a exclude captives from Bank CDFIs, which would have required a physical location at which a company membership and has studied especially Bank to use objective factors to identify conducts the predominant portion of its closely the considered opinions of those the geographic location from which an business activities, and that a commenters that addressed the issue in insurance company or CDFI conducts ‘‘presence’’ that is legal only, without depth. After giving careful consideration the predominant portion of its business any actual business activity, falls short to all of the viewpoints expressed, the operations. The proposal also would of what the Bank Act requires. While Agency has decided to finalize the have revised the general provision, the state laws under which insurance captives provisions essentially as which presumes the location of an companies and CDFIs are chartered proposed, albeit with some minor institution’s ‘‘home office’’ to be its typically require companies to provide modifications to the transition principal place of business, by adding a an in-state address for service of legal provisions. The final provisions, the requirement that the institution actually notices or for other purposes, those laws reasons FHFA has decided to adopt conduct business from its home office in do not necessarily require a company to them, the bases for FHFA’s conclusion order to benefit from that presumption. maintain any kind of business presence that it possesses the authority to adopt The effect of that revision would have in the state. It is possible, then, that an those provisions, and the Agency’s been to prevent a Bank from relying insurance company or a CDFI may not responses to the points raised in the solely on an institution’s state of conduct any of its business in its state comment letters are all discussed in domicile or incorporation as the of domicile. To amend the regulation, as detail in parts II and III of this principal place of business for Bank the commenters suggest, to provide that SUPPLEMENTARY INFORMATION. membership purposes. the principal place of business of an 3. Comments on the Other Substantive Most of the comments focused insurance company or CDFI is in all Proposed Revisions specifically on the effect the proposed cases to be its state of domicile would allow for the possibility that a Bank About 80 commenters addressed the revisions would have on insurance 35 member’s principal place of business proposal to require a Bank to obtain and companies. Almost all of those commenters (with the exception of a could be a location at which it actually review an insurance company has no place of business. Such a result applicant’s most recent audited few of the Banks, as discussed below) opposed the proposed revisions and would not comport with FHFA’s view of financial statements in determining the term ‘‘principal place of business’’ whether it meets the ‘‘financial stated their preference that the final rule should instead provide that an and thus would not be consistent with condition’’ eligibility requirement. the requirements of the Bank Act. Nearly all of the commenters opposed insurance company’s principal place of the inclusion of that requirement in the business shall in all cases be its state of II. Treatment of Captive Insurers Under final rule. Most of those commenters domicile (i.e., the state in which it is the Final Rule based their objections on the assertion chartered). The commenters preferred FHFA has carefully considered the that the requirement would be the latter approach to the standard set thoughts and opinions expressed in the burdensome for insurance companies— forth in the proposed rule because they comment letters and thoroughly especially those that are not required by believed that it would be simpler to analyzed possible alternative means of law to have their financial statements apply and would ultimately impose less addressing its concerns about the use of reviewed by an outside auditor. FHFA burden on both the Banks and state captive insurers by entities not eligible has considered these concerns, but has insurance regulators. In other words, for Bank membership to gain access to decided to include the requirement, as under a state of domicile standard each Bank advances. Having done so, the proposed, in the final rule. Bank would then need to deal only with Agency has decided to include in the The Agency recognizes that there are the insurance regulators and insurance final rule, with some modifications, the costs associated with obtaining audited laws of the states within its district, and provisions excluding captives from financial statements. It also believes, each insurance regulator would then Bank membership and requiring the however, that there are significant need to establish a working relationship Banks, after a transition period, to benefits to the Banks from being able to only with its local Bank.36 terminate the membership of all rely on financial statements that have captives that were admitted under the been audited by a third party, 35 One comment letter addressed the issue existing regulations. As proposed, the particularly when assessing an specifically as it relates to CDFIs and expressed final rule defines ‘‘insurance company’’ support for the approach taken in the proposed insurance company’s financial rule. to exclude captives, thereby making condition prior to admitting it to 36 FHFA expects each Bank to communicate them ineligible for Bank membership. membership, which is the only time at regularly with the regulator for each of its insurance These provisions of the final rule which this requirement will apply. Even company members and to be thoroughly familiar address FHFA’s supervisory concerns with the state insurance laws that apply to each of with this additional requirement, the those members. See FHFA Advisory Bulletin AB about the ability of entities ineligible for financial information that insurance 2013–09, Collateralization of Advances and Other Bank membership (including mortgage company applicants will be required to Credit Products to Insurance Company Members REITs and other entities) to circumvent provide to the Banks will be far less (Dec. 23, 2013). Regardless of where an insurance the Bank Act and obtain de facto Bank company may be licensed to do business or where than the financial information that it carries out its back office operations, it is membership through captive insured depository institution regulated and supervised by the insurance regulator subsidiaries that become members and applicants must provide. of its state of domicile under the laws of that state. then act as conduits to low-cost Bank

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funding for the ineligible entity. The use has found significant evidence that members or are holding companies that of captives for this purpose under the REITs and other entities have been own another eligible entity. existing regulation has grown forming captives solely for the purpose 2. Recently, There Has Been a Dramatic dramatically in recent years, and has of providing ineligible institutions Increase in Captive Members and continued since the publication of the access to Bank advances. Applicants, Almost All of Which Are proposed rule. FHFA has well-founded FHFA carefully considered the merits concerns that this use of captive Controlled by Ineligible Entities Seeking of the opinions expressed and assertions Access to Bank Funding subsidiaries is open to multiple types of made by commenters, including from ineligible entities such as equity REITs, those commenters that provided Over the last several years, however, hedge funds, investment banks, and verifiable information that the Agency new captive members and membership finance companies and that the practice could assess as part of the rulemaking applications by captives have shown a may spread to those and other types of process. The arguments taken as a significant and accelerating increase. ineligible entities once they become whole did not persuade the Agency that Since mid-2012, the Banks have aware of the advantages of gaining de the existing statute should be applied to admitted 27 new captive members, 25 of facto Bank membership through such allow admission of captives to which are owned by mortgage REITs, arrangements. As regulator of the Bank membership. The policy reasons behind finance companies, and other types of System, FHFA is responsible for FHFA’s decision to include the captives entities that are not themselves eligible ensuring the effective implementation of provisions in the final rule, the legal for membership. Twenty of those 25 the provisions and purposes of the Bank bases for including those provisions, have become members since the Act. That responsibility includes and the Agency’s responses to a number publication of the proposed rule in ensuring that only entities eligible for of specific comments are set forth in September of 2014. This trend has Bank membership obtain the benefits of detail below. become a matter of growing concern to membership. FHFA is fulfilling that FHFA, as it has become increasingly responsibility by including in this final A. Policy Reasons for Excluding clear that captives are being promoted rule provisions intended to prevent Captives From Bank Membership and used as vehicles to provide access further use of captives to circumvent the 1. Until Recently, Only a Few Captives to Bank funding and to other benefits of membership eligibility requirements of Had Become Bank Members, and Most membership for institutions that are the Bank Act. of Those Had Parents or Other Affiliated legally ineligible for membership. The Like the proposed rule, the final rule Banks that have accepted these captive also sets forth a transition provision Entities That Were Eligible To Be Bank Members Themselves members have based their approvals on permitting captives that became the financial strength of the parent and members prior to the publication date of As mentioned above, the Bank Act not the captive itself and have projected the proposed rule to remain members provides that, in addition to insured a level of advances activity that is for five years after the effective date of depository institutions and CDFIs, ‘‘any disproportionately large in relation to the final rule, but limiting their . . . insurance company’’ shall be the captives own business operations outstanding advances to 40 percent of eligible to become a member of a Bank and related investment needs. In many their assets and, while permitting new if it meets the applicable requirements. cases (although, to date, not all), captive advances below the 40 percent The Bank Act does not define members have fulfilled the projections threshold, prohibiting new advances or ‘‘insurance company,’’ and neither reflected in the membership digests by renewals that mature beyond the five- FHFA nor its predecessor agencies had maintaining disproportionately large year transition period. The final rule previously adopted a regulatory levels of outstanding advances, almost also contains an additional transition definition of that term. Consequently, as all of which have been secured by provision, not included in the proposed a practical matter, any entity chartered collateral provided by the parent. As a rule, to address the treatment of captives or licensed as an ‘‘insurance company’’ result of these developments, FHFA sees admitted to membership on or after the under state law and that has met the a current need to define ‘‘insurance date of publication of the proposed rule. other applicable requirements company’’ in a manner that will prevent This provision permits any Bank that historically has been permitted to the creation of such de facto has admitted such captives one year become a Bank member. Because membership arrangements. following the effective date of the final captive insurers are chartered or The information contained in the rule within which to terminate the licensed as insurance companies under membership application digests membership of those captives. The rule the laws of states that have enacted prepared by the Banks in connection allows such captives until the end of captive insurance statutes, a number of with the admission of most of those that one-year period (or until the date of those types of entities have been captive subsidiaries supports a termination, if earlier) to repay their permitted to become Bank members conclusion that they applied for existing advances, but prohibits them membership—and, in fact, were from taking new advances or renewing under the existing membership established—for the primary purpose of existing advances that expire during regulation. accessing Bank funding for their that grace period. Although a Bank first admitted a In reaching its decision to include captive to membership over twenty parents’ business needs; they did not these provisions in the final rule, FHFA years ago, until recently Banks had seek membership to obtain support for 37 gave due consideration to the fact that accepted very few captives. The first their own operations or investments. the vast majority of commenters captive to be admitted became a 37 The regulations require that a Bank ‘‘prepare a addressing the proposed exclusion of member in 1994. In the ensuing years, written digest for each applicant stating whether or captives from membership objected to up until mid-2012, no more than eleven not the applicant meets each of the [applicable that aspect of the proposed rule. additional captives joined the Bank membership eligibility requirements], the Bank’s Ultimately, however, the volume of System. Most of the captive members findings, and the reasons therefor.’’ See 12 CFR 1263.2(b). Since September 2012, FHFA has had a adverse comments does not drive that were admitted during that time special data request in place pursuant to which it FHFA’s policy determinations, period have parent companies that has received from the Banks the membership particularly in this case, where FHFA either are themselves eligible to be Bank digests for each new insurance company and CDFI

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As an initial matter, those digests of those captives are grossly condition of their new captive members, indicate that all but one of the 25 disproportionate to the amount of and the amount of advances they may captive members owned by a REIT or insurance business underwritten by the obtain, on the financial resources of similar ineligible entity were de novo captive, contemplate that the parents their parents, rather than on the captives entities at the time they applied for will provide both the collateral and a themselves. membership; at least 20 of the 25 had guaranty for the captives’ debt, and, in The chart below illustrates the recent been chartered within the preceding six some cases, acknowledge that the months and all but one of the remaining captives will use the advance proceeds dramatic increases in the number of five had been chartered within the to make loans to their parents. The captive members and in the amount of preceding 12 months. The digests also Banks themselves recognized the advances outstanding to captive show that the dollar amounts of conduit nature of these captives by members. anticipated advances to be made to most basing their assessment of the financial

member approved during that time period. See ‘‘Membership Decision Documentation for New Insurance Company and CDFI Members’’ (Sept. 17, FHFA Special Data Request SDR 2012–02, 2012).

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3. There Are Currently Ongoing Efforts Letters of Credits [sic].’’ 40 After establish and operate a traditional life or To Encourage Ineligible Entities To Use describing how the firm had casualty company that sells policies to Captive Subsidiaries as a Means of ‘‘experienced a significant increase in the public.42 This was cogently Accessing Low-Cost Bank Funding existing and prospective captive owners explained by the captive regulator of looking to join [a Bank] via a captive one of the leading domestic captive Numerous public statements made by subsidiary’’ and summarizing the domiciles in a response to a ‘‘Frequently captive management companies and benefits of Bank membership, the Asked Question’’ (FAQ) appearing on its consultants, insurance regulators, and brochure concludes by encouraging official Web site. There, the regulator the parent companies themselves tend ‘‘[p]rospective members [to] contact noted that, while ‘‘[c]ommercial to confirm that almost all of the captives Willis or the regional [Bank] to discuss insurance companies sell insurance to in the recent wave of new members and the prospect of their captive joining the the general public and are licensed in applicants were established and applied [Bank].’’ all states in which they do business,’’ for membership for the purpose of Even state insurance regulators have captives by contrast ‘‘directly insure providing their ineligible parents with been publicly extolling the advantages a only their owners,’’ are ‘‘licensed in access to Bank funding and other company can enjoy by having a captive only one state, and operate[] under the benefits of membership. For example, subsidiary become a Bank member. For captive insurance law of that domicile.’’ Marsh & McLennan (Marsh), a firm that example, a recent article that focused on Because of those differences, the characterizes itself as ‘‘the world’s the formation of so-called ‘‘831(b) regulator explained, ‘‘the degree of leading captive manager,’’ published an captives’’ quoted one state’s regulator as regulatory oversight required for article in its quarterly newsletter in remarking that such captive entities can captives is less than that which is early 2014 stating that it had been be ‘‘a portal for membership’’ in the required for commercial insurers.’’ working with REIT clients since the Bank System.41 In the same vein, several Despite the fact that captives are summer of 2013 ‘‘to create captives for of the mortgage REITs that commented already easier to establish and more the purpose of accessing funding with on the proposed rule revealed their lightly regulated than commercial the Federal Home Loan Bank system’’ intentions regarding their captive insurance companies, the competition and advertising that ‘‘low-cost funding’’ subsidiaries by advocating ‘‘access by among states to attract businesses to obtained from a Bank through a captive mortgage REITs’’ to the Bank System, organize captive subsidiaries in their subsidiary can allow a REIT parent to describing the proposed rule as respective borders is leading some states ‘‘increase leverage and improve ‘‘[d]enying access to [Bank] funding for to amend, or modify the manner in liquidity at attractive rates.’’ 38 After a mortgage REIT,’’ or making similar which they apply, their captive laws to noting that captives were being formed statements. further reduce the regulatory burdens in relation to those imposed by other in two particular states to permit access 4. Captives Are Uniquely Suited To Act states. In a recent report prepared by a to the two Banks in whose respective as Conduits for Accessing the Bank state insurance regulator that was districts those states lie, Marsh System required by statute to study the concluded by stating that its captive Among the types of institutions that, advisability of establishing a captive advisory team ‘‘is likely to begin to date, have been considered eligible insurer industry in that state, that forming captives in other domiciles to for Bank membership, captive insurers regulator recommended that the state’s access additional branches of the [Bank are uniquely suited to act as conduit legislature ‘‘forgo captive legislation at System].’’ It is clear from that article, as vehicles for business entities that wish this time’’ in part because ‘‘the industry well as from a contemporaneous Marsh to gain access to the Bank System, but 39 has developed in ways that have caused report containing similar statements, that are ineligible to become members in considerable regulatory concern at the that the firm is not encouraging existing their own right. Because captives are federal and state levels.’’ The report captives to become Bank members to self-insurance mechanisms and explained, ‘‘To become a thriving obtain funding for their own typically do not sell insurance policies captive domicile today, a state must be investments and operations, but is to the public at large, it is generally far willing to relax important regulatory instead encouraging REITs and possibly easier and less expensive to charter, other ineligible entities to create new capitalize, and operate a captive than to 42 See Daniel Schwarcz, A Critical Take on Group captives to use as conduits to low-cost Regulation of Insurers in the United States, 5 U.C. Bank funding for their own operations. 40 Willis Group Holdings, Joining the Federal Irvine L. Rev. 537, 555 (Aug. 2015) (stating that Home Loan Bank Offers Significant Advantages for captives have typically been viewed ‘‘as presenting At around the same time that Marsh Captive Owners, Including Low Interest Loans and limited regulatory concerns’’ due to their status as published those materials, another firm, Letters of Credits, Willis Global Captive self-insurance mechanisms and that ‘‘[a]s a result, Willis Group Holdings PLC (which Management Alert (Apr. 2014), http://www.willis. captives are subject to very limited regulatory com/documents/publications/services/captives/ restrictions: Their financial statements are not describes itself as ‘‘a leading global risk 20140426_50294_PUBLICATION_Global_Captive_ publicly available, they do not have to comply with advisor, insurance and reinsurance Management_Alert_FINAL.pdf (last visited Dec. 8, statutory accounting rules and the associated broker’’) published a brochure on its 2015). reserve requirements, and they generally are not Web site entitled ‘‘Joining the Federal 41 See Caroline McDonald, Steady As She Goes: subject to standard risk-based capital 2014 Domicile Captive Review, Risk Management requirements’’). One state insurance regulator, in Home Loan Bank Offers Significant (Aug. 1, 2014), http://www.rmmagazine.com/2014/ reporting to the state legislature on the desirability Advantages for Captive Owners, 08/01/steady-as-she-goes-2014-captive-domicile- of enacting insurance legislation specific to Including Low Interest Loans and review/ (last visited Dec. 8, 2015). An ‘‘831(b) captives, stated that a captive ‘‘is not regulated like captive,’’ sometimes referred to as a an admitted insurance carrier, but operates under ‘‘microcaptive,’’ is a captive that does not relaxed rules governing the captive’s formation, 38 See Marsh & McLennan Companies, Using underwrite life insurance and that generates annual capitalization, and solvency.’’ In noting in this Captives to Access Federal Home Loan Banking premiums of $1.2 million or less. Under section Supplementary Information the differences between System Funding, Marsh Insights: Captives (Mar. 831(b) of the Internal Revenue Code, such an entity the regulation of captives and the other types of 2014) at 5, http://usa.marsh.com/Portals/9/ can elect to pay federal income tax based only on institutions that have, to date, been considered Documents/6454MA14-12785CAPNewsletter03- its investment income instead of on its taxable eligible for Bank membership, FHFA is not 2014.pdf (last visited Dec. 8, 2015). income as a corporation. 26 U.S.C. 831(b). The use expressing any judgment as to the adequacy of 39 See Marsh & McLennan Companies, The of 831(b) captives by individuals and businesses captive regulation generally or in any particular Evolution of Captives: 50 Years Later (Annual has drawn close scrutiny from the Internal Revenue state with a captive statute, for purposes of the Captive Benchmarking Report) (May 2014) at 2, 5. Service in recent years. limited businesses for which captives are organized.

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safeguards. Attractive new domiciles are also set them apart from insured 5. FHFA Has a Well-Founded Concern those that have a high risk appetite, depository institutions in that respect. That the Use of Captives as Conduits to demand few hurdles to formation, have Given the many obstacles to obtaining a Bank Funding Will Grow Beyond low premium taxes and fees, have commercial bank, savings and loan, or Mortgage REITs To Include Additional minimal solvency and capital credit union charter,45 as well as the Entities That Have Little or No requirements, and require little in the comprehensive systems of prudential Connection to Housing Finance 43 way of reporting.’’ regulation and supervision to which As is evidenced by the recent surge in The competition between states is those types of institutions are subject, captive applications and membership further evidenced by a proliferation of FHFA must regard as highly improbable approvals, an increasing number of press releases from state insurance the prospect of an ineligible entity mortgage REITs and similar ineligible regulators touting their selection as, or entities have decided that the amount of nomination for, a ‘‘U.S. captive domicile chartering a depository institution for effort and expense associated with of the year’’ award that is bestowed the primary purpose of providing itself forming and operating a captive is low annually by a major captive industry with de facto Bank membership. FHFA enough to make it feasible to use this magazine. For example, one state is unaware of a single instance of such method to gain access to the Bank regulator noted in a press release an occurrence in the history of the Bank System. In light of the example set by regarding its selection as a finalist for System. The additional layer of those that appear to have successfully the 2015 award that, after having twice supervision and examination to which a circumvented the statutory membership amended its captive laws in recent company would become subject under requirements through the use of captive years, the state had ‘‘positioned itself to either the Bank Holding Company Act 46 subsidiaries, as well as the previously become a preferred domicile to or the Savings and Loan Holding described efforts by some in the captives companies seeking a sophisticated Company Act 47 if it were to acquire industry to promote this practice, FHFA regulatory infrastructure.’’ An article in control of a commercial bank or savings the sponsoring magazine announcing expects that the prevalence of this and loan association makes those types practice will continue to grow unabated the winner of the 2015 award (which, of institutions even more unlikely to be ultimately, was not the state regulator if the Agency does not take action now used as mere conduits to Bank funding. to end it. Having seen increasing that issued the above-quoted press In contrast, the lack of any such release) stated that its judges selected numbers of mortgage REITs use the requirements applying to the parent of captive vehicle to gain access to the the announced winner in part because, a captive makes captives an especially ‘‘despite being an established Bank System, the Agency is concerned attractive membership channel for jurisdiction, [the victorious domicile] that other types of entities, which may REITs and other ineligible entities that continues to review its statute on an have no connection to housing finance, annual basis to ensure it continues are not subject to the type of inspection will begin to form captives for the same delivering efficiency and value.’’ 44 and regulation that applies to purpose. The same characteristics that make institutions that are eligible for Bank Indeed, some connected with the captives far more viable than traditional membership. The requirements for insurance industry have advocated the insurance companies to use as vehicles certification of CDFIs similarly make use of captives to provide access to the for achieving de facto Bank membership them unsuitable vehicles to serve as Bank System regardless of whether the conduits for Bank funding to ineligible parent company has any connection 43 In addition, a 2011 New York Times article parents.48 with residential mortgage lending. For entitled ‘‘Seeking Business, States Loosen Insurance example, an article re-published on the Rules,’’ came to conclusions that were similar to Web site of one state’s department of those reached by the state insurance regulator quoted above. The article, which appeared on the insurance in 2011 reported that a newspaper’s front page, cited numerous examples ‘‘budding concept is for captive owners, of states competing among themselves to relax their nonbank companies included, to use regulatory requirements in order to attract captives 45 See, e.g., Patricia A. McCoy, Banking Law their captive insurers as portals to cheap to their respective domiciles. It reported that one Manual: Federal Regulation of Financial Holding state, after observing the success of another in bank credit under a federal banking law Companies, Banks and Thrifts § 3.02[2] (Matthew [i.e., the Bank Act] enacted decades attracting captives, responded by amending its laws Bender, 2nd ed. 2015) (explaining that, because governing the tax rates captives must pay on depository institution charters ‘‘can be (and often before the first captive appeared.’’ The premium revenues to make its rates lower than article revealed that the concept is one those of the other state; this prompted the other are) denied for a variety of reasons, including state to reconsider its own rates. The article also unacceptable management, poor prospects for that the state’s captive regulator wants noted that the number of captives domiciled in a financial success, no perceived need for the ‘‘companies like manufacturers that particular state had doubled in the preceding institution’s services or a competitive threat to have nothing to do with home calendar year, after its insurance commissioner was existing institutions in the same market,’’ they serve financing’’ to consider and that he is given the power to exempt captives from various as ‘‘powerful if erratic controls on entry into ‘‘promoting the concept with captive provisions of the state’s captive insurer laws. The commercial banking and the thrift industry’’). bulk of the article was devoted to investigating the managers,’’ in part as ‘‘an engine of 46 See 12 U.S.C. 1844; see also 12 CFR part 225 growing trend of commercial insurance companies (implementing regulations). captive growth’’ in his state. The same forming captives to reinsure blocks of outstanding article also quoted a number of risk policies in order to take advantage of the lower 47 See 12 U.S.C. 1467a; see also 12 CFR parts 238, reserve requirements that apply to captives under 239 (implementing regulations). management consultants as stating that the laws of some states. See Mary Williams Walsh 48 To be eligible for CDFI certification, an the use of captives as conduits to access and Louise Story, Seeking Business, States Loosen organization must have a primary mission of Bank funding ‘‘could grow’’ and Insurance Rules, New York Times (New York ed.) promoting community development; provide both ‘‘sounds like a wonderful arbitrage (May 8, 2011) at A1, http://www.nytimes.com/2011/ financial and educational services; serve and 05/09/business/economy/09insure.html opportunity,’’ that ‘‘[r]esidential maintain accountability to one or more defined ?pagewanted=all&_r=0 (last visited on Dec. 8, builders could benefit, as well as 2015). target markets; maintain accountability to a defined healthcare institutions’’ from the market; and be a legal, non-governmental entity at 44 See Richard Cutcher, 2015 US Captive Services strategy, and that it would be a ‘‘prudent Awards: Winners Announced, Captive Review the time of application (with the exception of Tribal (Aug. 11, 2015), http://captivereview.com/news/ governmental entities). 12 CFR 1805.201. An entity thing’’ for a captive owner to take 2015-us-captive-services-awards-winners- must meet quantitative mission requirements in advantage of the opportunity to access announced/ (last visited on Dec. 8, 2015). order to obtain and maintain certification as a CDFI. such low-cost capital even if the owner

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is ‘‘building cars or running hotels.’’ 49 implication, the statute must be read as residential mortgage debt were savings As noted above, Bank advances need a clear statement by Congress that and loan associations,51 which held 21.4 not be collateralized with residential entities of a type not included on that percent, followed by savings banks at mortgage assets and need not be used list of eligible institutions are not 17.1 percent, life insurance companies for residential housing finance if they authorized to become members or at 11.1 percent, and commercial banks are of less than five years maturity. otherwise to obtain the benefits of Bank at 10.4 percent.52 Despite the fact that The Agency’s concerns about the membership, regardless of the extent to commercial banks were significant prospect of wider use of the captive which those entities may be engaged in participants in originating and investing vehicle also arise from a number of some part of the residential mortgage in residential mortgage loans at that other factors. Recently, for example, the market. FHFA believes that in order to time, Congress declined to include them first captive member owned by an give effect to this congressional intent it in the list of entities eligible for Bank equity REIT (as opposed to a mortgage must look to the substance of these membership. That remained the case REIT) joined the Bank System and, for transactions, and cannot ignore that the until 1989, when Congress made the first time, a captive owned by an economic reality behind the growing federally insured commercial banks and investment bank (in this case through a trend of captive memberships is that the credit unions eligible for membership. number of intermediating subsidiaries) captives are being used to create a de Moreover, although representatives of was approved for Bank membership. In facto membership for entities that are the mortgage banking industry have addition, at least one mortgage bank not among the types of entities that may lobbied Congress to amend the Bank Act recently inquired about the possibility become Bank members directly. to allow mortgage bankers to become of a Bank admitting to membership a Many commenters asserted that Bank members based on their active role captive subsidiary that it proposed to Congress’s failure thus far to exclude in supporting residential housing establish for that purpose. While the use captives from membership despite their finance, Congress has not done so.53 of captive subsidiaries to access the increasing prevalence in the U.S. since Bank System by entities that are not the 1970s must necessarily lead to the 51 These were then also referred to by various involved with housing finance is conclusion that it has no concerns about other names, such as those used in section 4(a) of the manner in which they are currently the Bank Act—building and loan associations, nascent, recent history with traditional cooperative banks, and homestead associations. See insurance companies and, more being used. Therefore, those Leo Grebler, David M. Blank & Louis Winnick, recently, with REITs has shown that commenters argue, FHFA must continue Capital Formation in Residential Real Estate: once one portion of an industry realizes to consider captives to be a type of Trends and Prospects 203, n.14 (1956). insurance company that is eligible for 52 See Grebler, supra at 473. The percentages the benefits of obtaining access to Bank shown are as of December 31, 1931. In 1932, as well advances, others in that industry will Bank membership. Congress’s intent as for decades before and up through the early follow.50 concerning the meaning of the term 1970s, many life insurance companies were heavily ‘‘insurance company,’’ as used in the involved in the origination of home mortgage loans 6. The Bank Act Specifies the Types of Bank Act, as well as FHFA’s authority through extensive mortgage lending networks. See Institutions That May Be Eligible To Be Kenneth A. Snowden, The Anatomy of a to interpret that term in the current Residential Mortgage Crisis: A Look Back to the Bank Members, and FHFA Must Act To context, are discussed in detail below. 1930s 5–8 (Nat’l Bureau of Econ. Research, Working Prevent the Continued Circumvention of However, on the specific point raised by Paper No. 16244, 2010). At some points during Those Eligibility Requirements by commenters, the phenomenon of those years, life insurance companies held more Entities That Are Not Eligible than 20 percent of all domestic non-farm residential ineligible companies using captives as a mortgage debt. See Grebler, supra at 472–74; Abundant evidence exists of a conduit to obtain access the Bank Snowden, supra at 5. See also Raymond J. Saulnier, prevalent and growing practice by System is a very recent development. Urban Mortgage Lending by Life Insurance entities that are themselves ineligible for FHFA does not regard the lack of Companies 1–9 (1950). 53 For example, at a November 2013 hearing of the Bank membership using captive congressional action on the issue of Senate Committee on Banking, Housing, and Urban subsidiaries to achieve a de facto Bank membership for captive insurers to Affairs on a bill to reform the secondary mortgage membership status that effectively be indicative of any particular markets, the Chairman-elect of the Mortgage provides them with the same access to congressional intent. FHFA will not Bankers Association testified that ‘‘Congress should give serious consideration to expanding Federal advances that is available to the types of attempt to interpret the views of a Home Loan Bank membership eligibility to include institutions that are eligible to become current Congress that has not acted to access for non-depository mortgage lenders’’ and to members under the Bank Act. In light of amend a statute enacted by a prior ‘‘community lenders of a variety of business the evidence, FHFA has concluded that Congress decades earlier. models, including independent mortgage bankers.’’ Other commenters cited Congress’s Housing Finance Reform: Protecting Small Lender it must take action to prohibit that Access to the Secondary Mortgage Market: Hearing practice in order to ensure the decision to extend eligibility for Bank on S. 1217 Before the S. Comm. on Banking, fulfillment of one of the key elements of membership to commercial banks and Housing, and Urban Affairs, 113th Cong. 65–66 the statutory scheme established by credit unions in 1989 and to CDFIs in (Nov. 5, 2013) (statement of Bill Cosgrove, Chief 2008 as evidence of its intent to effect Executive Officer, Union Home Mortgage Corp., and Congress—limiting Bank membership to Chairman-Elect, Mortgage Bankers Association). the types of institutions specified in the ‘‘an inclusive and expansive approach’’ Earlier, the Housing and Community Development Bank Act. to membership and characterized Act of 1992 required that the Finance Board and the As discussed above, section 4(a) of the FHFA’s attempt to exclude captives Department of Housing and Urban Development, from membership as running counter to among other agencies, each study a multitude of Bank Act specifically enumerates the issues related to the Bank System, including types of institutions that may be eligible that intent. To the contrary, FHFA views possible measures to increase membership in the for membership. By necessary those actions as an indication that when System, and report to Congress on their Congress determines that it is recommendations with respect to those issues. See Public Law 102–550, § 1393, 106 Stat. 3672, 4009– 49 appropriate to permit a particular type See Dave Lenckus, Cashing In On Captives, 11 (1992). For reasons relating to mission, safety Risk & Insurance Newsletter (Mar. 1, 2011). of institution to have access to the Bank and soundness, and competitive balance, the 50 Although insurance companies have been System, it will amend the Bank Act to reports produced by both agencies recommended eligible for membership since 1932, until recently expressly authorize that access. For against expanding the list of institutions that may only a very few insurance companies actually have example, at the time Congress enacted be eligible for Bank membership to include become members. While only 31 insurance mortgage banks. See Federal Housing Finance companies and captives were Bank members in the Bank Act in 1932, the primary Board, Report on the Structure and Role of the 1996, 304 were members at the end of 2014. institutional holders of non-farm Federal Home Loan Bank System 119 (Apr. 1993);

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Similarly, Congress has not consider whether special statutory in a safe and sound manner and that the authorized REITs to become members. If provisions should be enacted with purposes of the statutes are Congress believed that REITs’ respect to REITs or other entities not accomplished.59 Thus, FHFA has the involvement in the residential mortgage subject to inspection and regulation to authority to adopt regulations that the markets warranted them having access address their unregulated status, which Director deems necessary to implement to Bank advances, it could have would set them apart from other types the specific membership provisions of authorized them to become members, of entities that are currently eligible, the Bank Act, as well as those that the just as it did for certain CDFIs in 2008 54 and whether and how to except them Director deems necessary to ensure that and for certain non-federally insured from the current statutory requirement the purposes behind the statutory credit unions in 2015,55 when it that members be ‘‘subject to inspection membership provisions are amended the Bank Act to make those and regulation.’’ 56 accomplished. By necessary types of entities eligible for implication, the grant of authority to B. Legal Authority of FHFA To Exclude membership. The fact that it has not ensure that the provisions and purposes Captives From Membership and To done so for REITs, or for other types of of the Bank Act are carried out includes Require the Banks To Terminate the entities that are not enumerated in with it the authority to adopt Membership of Captives Previously section 4(a) of the Bank Act, leads FHFA regulations necessary to ensure that Admitted to conclude that Congress has not neither the Banks, their members, nor intended to permit those entities access FHFA possesses ample legal authority any other parties take any actions to to Bank funding. to adopt a regulation defining the term circumvent, frustrate, or subvert the Whether entities that are currently ‘‘insurance company’’ to exclude provisions or purposes of the Bank Act. ineligible for membership should be captives, thereby rendering them permitted to have access to Bank ineligible for membership, and to 2. Congress Clearly Delineated the advances is the type of public policy require the Banks to terminate the Types of Institutions That May Be issue that is for Congress to address. By membership of all captives that they Eligible for Bank Membership precluding ineligible institutions from had admitted to membership before It is clear from the language of section gaining de facto membership through FHFA adopted this final rule making 4(a)(1) of the Bank Act that Congress captive insurers, the final rule has the captives ineligible. intended to permit only the types of effect of preserving the decision of institutions listed in that section to 1. Congress Granted FHFA Broad whether to allow REITs access to the become Bank members and that it did Regulatory Authority To Ensure That Bank System for Congress to address, not intend to permit any institutions not the Purposes of the Bank Act Are should it choose to do so. The transition listed therein to become members. It Carried Out periods, both the five-year transition for also is reasonable to infer from the pre-NPR captives and the one-year Congress has given FHFA, through its statutory language that Congress transition for the post-NPR captives, Director, broad authority to administer intended that entities not explicitly will provide Congress sufficient time to the Bank Act. Specifically, Congress deemed eligible for membership should consider whether Bank membership granted the Director of FHFA general not be able to obtain indirectly any of should be extended to additional regulatory authority over the Banks and the principal benefits of Bank categories of members before the Banks specified that he is to exercise that membership—including the access to are required to begin terminating the authority to ensure that the purposes of low-cost advances that the Banks are membership of existing captive the Bank Act and the Safety and able to provide because of their members. If Congress determines that Soundness Act (under which the statutory market advantages—that they permitting REITs, or any other entities Agency is established) are carried out.57 are not permitted to obtain directly.60 that are not currently eligible, to have Congress also enumerated a number of Although Congress did include such access is the appropriate policy, principal duties for the Director of insurance companies among the types of then it will amend the Bank Act to make FHFA, which include the duty to ensure institutions that may be eligible to them explicitly eligible for membership that each Bank complies with the become members, it manifestly did not as it has done in the past for commercial regulations issued under the Bank Act include REITs, hedge funds, investment banks, credit unions, and CDFIs. If it and Safety and Soundness Act, and banks, finance companies, or other decides to do so, it may also wish to granted the Director the authority to types of general business entities.61 exercise such incidental powers as he U.S. Department of Housing and Urban deems necessary to fulfill his duties and 3. Captives are Being Used To Development, Office of Policy Development and responsibilities in the supervision and Circumvent the Membership Eligibility Research, Report to Congress on the Federal Home Provisions of the Bank Act and Are Loan Bank System, Vol. II 6–12 (Apr. 1994). In regulation of the Banks.58 Congress also addition, at a 1994 hearing, Under Secretary of the provided the Director of FHFA with Uniquely Suited To Be Used for That Treasury for Domestic Finance Frank N. Newman specific authority to issue any Purpose testified that, as recommended in the reports, the Treasury Department did not believe that regulations and take other regulatory As described in detail above, FHFA membership eligibility should be expanded beyond actions that he deems necessary not has determined that ineligible entities then-currently eligible group of depository only to implement and enforce the have been circumventing the statutory institutions and insurance companies. See The specific requirements of the Bank Act, provisions limiting the types of entities Future of the Federal Home Loan Bank System: Hearing Before the S. Comm. on Banking, Housing, but also to ensure that the Banks operate that may become Bank members by and Urban Affairs on the Need for a Comprehensive Legislative Package to Update and to Strengthen the 56 For example, when Congress added CDFIs to 59 12 U.S.C. 4526(a). Federal Home Loan Bank System’s Mission, the list of eligible member types, Congress 60 To enable the Banks to better fulfill their public Structure, Capital Requirements, and Regulatory exempted them from the requirement that they be policy mission, Congress vested in them market Oversight, 103rd Cong., 4, 25 (June 15, 1994). subject to inspection and regulation (because they advantages that some might view as depriving 54 See Housing and Economic Recovery Act of are not) and instead provided that they must be government treasuries of revenue and exposing 2008, Public Law 110–289, § 1206, 122 Stat. 2654, certified as CDFIs by the Treasury Department. See taxpayers to risk. This supports the conclusion that 2787 (2008). 12 U.S.C. 1424(a)(1)(B). Congress intended to strictly limit access to the 55 See Fixing America’s Surface Transportation 57 12 U.S.C. 4511. Bank System. Act, Public Law 114–94, § 82001 (2015). 58 12 U.S.C. 4513(a)(1), (2). 61 See 12 U.S.C. 1424(a)(1).

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using captive subsidiaries as vehicles to conduits—and to take appropriate embodied in the plain language of the access the benefits of membership to regulatory action. Bank Act, which provides that ‘‘any which they are not legally entitled. As FHFA has determined that the most . . . insurance company’’ may be also detailed above, captives as a class effective and appropriate way to prevent eligible for membership. By basing their are uniquely suited to being used for the use of captives as vehicles to assertions as to the plain meaning of that purpose due to the limited scope of provide de facto membership for section 4(a)(1) on the fact that the term their business activities, which makes ineligible entities is to adopt a ‘‘insurance company’’ is preceded by them easier and less expensive to regulation defining the heretofore the word ‘‘any’’ in that paragraph (as are establish and operate, and because they undefined term ‘‘insurance company’’ to all the other terms used to describe the are more lightly regulated than exclude from membership all captives types of institutions that may be eligible commercial insurance companies or that may feasibly be used for that for membership), many commenters insured depository institutions. There is purpose. As discussed in part III of this begged the essential question of what also a relative absence of restrictions on SUPPLEMENTARY INFORMATION, FHFA has constitutes an ‘‘insurance company’’ for the activities and investments of a taken special care to define ‘‘insurance purposes of the Bank Act in the first captive’s parent, as compared to those company’’ so that captives having the place. A few commenters asserted or that apply to an entity that establishes characteristics that give rise to the implied that the statutory membership a federally insured bank or savings Agency’s concerns will be excluded, provisions must be read as including association subsidiary. These unique while those institutions that do not captives because captives are characteristics, as among the types of engender such concerns and that would ‘‘organized, licensed and regulated’’ institutions that are permitted to be regarded as carrying out the business under state insurance statutes or ‘‘meet[] become Bank members under the of insurance as traditionally understood the definition of an insurance company existing membership regulation, have (even if they are denominated as under state law.’’ 64 FHFA does not led captive promoters, insurance ‘‘captives’’ under their states’ insurance believe that such a reading is required, regulators, and others with vested laws) will continue to be considered as particularly where, as here, it would interests in expanding the ubiquity of insurance companies for purposes of result in an interpretation that allows captives to promote them as vehicles determining eligibility for Bank circumvention of specific provisions of through which REITs and other membership. the Bank Act and subverts the scheme ineligible entities—including those 5. Viewed in the Context of Today’s of the statute as a whole. In other having no connection to housing Marketplace, in Contrast to That of contexts, the Supreme Court has held finance—may obtain access to low-cost 1932, the Meaning of ‘‘Insurance that a federal regulator may reasonably Bank advances. This, along with the Company’’ Is Ambiguous and, define an activity or a transaction as not examples set by those whose attempts to Therefore, FHFA May Adopt a insurance under federal law even if state use captives to obtain access to the Bank Reasonable Interpretation of That Term law would treat it as such.65 System have so far met with apparent To Effect the Purposes of the Bank Act Sometimes a statutory term that success, makes it likely that the practice appears on its face to have a commonly An administrative agency has understood meaning may be shown to of using of captives for that purpose will authority to interpret and define the continue to grow in the absence of any terms of the statutes that it administers, action by FHFA to halt the practice. 64 In support of this argument, several especially terms that are undefined.62 commenters specifically cited the federal McCarran- 4. FHFA Has the Authority To Take Among the specific types of entities that Ferguson Act, which provides, in pertinent part, are eligible for Bank membership, that ‘‘[n]o Act of Congress shall be construed to Action To Prevent the Circumvention of invalidate, impair, or supersede any law enacted by the Provisions and Purposes of the Bank Congress has defined only ‘‘insured any State for the purpose of regulating the business 63 Act depository institution.’’ Congress did of insurance, or which imposes a fee or tax upon not define the term ‘‘insurance such business, unless such Act specifically relates The authorities conferred upon FHFA company’’ or provide any other to the business of insurance.’’ See 15 U.S.C. by the Bank Act and the Safety and 1012(b). However, nothing in this final rule relates guidance about its meaning. This leaves in any way to the regulation of the business of Soundness Act, described above, the term open to FHFA to define, insurance or to the taxation or imposition of fees empower the Agency to adopt a provided that the definition is on any captive or commercial insurance company. regulation to prevent this circumvention reasonable given the provisions and 65 In Nationsbank v. Variable Annuity Life Ins. of the provisions and purposes of the purposes of the Bank Act. Co., 513 U.S. 251 (1995) (‘‘VALIC’’), the U.S. Many commenters expressed the Supreme Court declined to apply a state law-based Bank Act. Given that the vast majority definition of ‘‘insurance’’ to a federal banking of captive members are being used by opinion that defining ‘‘insurance statute. There, the Court upheld the Comptroller of ineligible entities to circumvent the company’’ to exclude captives would be the Currency’s classification of annuities as statutory membership eligibility in contradiction to the unambiguously investments, rather than as insurance, under the expressed intent of Congress as National Bank Act (NBA), despite respondent’s requirements and, aside from this assertions that Congress intended to define illegitimate use, have little or no reason ‘‘insurance’’ under the NBA by reference to state to be Bank members, FHFA is not 62 See Astrue v. Capato, 132 S.Ct. 2021, 2026 law, under which annuities are typically regulated required to treat those types of captives (2012); Chevron U.S.A., Inc. v. Natural Resources as insurance. In upholding the Comptroller’s Defense Council, 467 U.S. 837, 843–44 (1984); classification, the Court stated, among other things, as ‘‘insurance companies’’ for Securities Industry Association v. Clarke, 885 F.2d ‘‘the federal banking law does not plainly require membership purposes simply because 1034 (2d Cir. 1989), cert. denied, 493 U.S. 1070 automatic reference to state law here. The they are chartered or licensed under (1990). Comptroller has concluded that the federal regime state insurance statutes. The Agency has 63 See 12 U.S.C. 1422(9) (defining ‘‘insured is best served by classifying annuities according to depository institution’’ to include banks and their functional characteristics. Congress has not sufficient legal authority, through its savings associations the deposits of which are ruled out that course . . .; courts, therefore, have mandate to ensure that the purposes of insured by the FDIC and credit unions the share no cause to dictate to the Comptroller the state-law the statute are carried out, to consider accounts of which are insured by the NCUA). In constraint VALIC espouses.’’ 513 U.S. at 261–262. the economic realities of these addition, although Congress did not define the term See also Helvering v. LeGierse, 312 U.S. 531 (1941) ‘‘community development financial institution,’’ it (holding that a transaction was not an insurance arrangements—i.e., that the parent did provide that only those CDFIs that have been transaction for federal tax purposes despite its companies are the true parties in certified by the Treasury Department are eligible for comprising a set of insurance policies under state interest, while the captives act merely as membership. See 12 U.S.C. 1424(a)(1)(B). law).

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be ambiguous when it is considered in in the modern sense began to appear existence until well after Congress light of the statute’s overall structure, only in the late 1950s and early 1960s. enacted the Bank Act, FHFA does not purpose, and history.66 Construing the Even for many years after U.S. believe that it is possible to conclude, as term ‘‘insurance company’’ to include companies first began to form captive some commenters have asserted, that any type of entity organized under a subsidiaries, those captives had to be Congress would have intended to state’s insurance statutes would allow domiciled off-shore, because the state include such entities among those companies that are not eligible for Bank insurance laws that existed at the time eligible for Bank membership. membership to continue to use made it prohibitively expensive to form Reasonably assuming that Congress captives—or any entities having similar and operate a captive in the United viewed the term ‘‘insurance company’’ characteristics that might be developed States.68 Colorado became the first U.S. in its traditional sense, it would not under a different moniker—as a means jurisdiction to adopt legislation have had any reason to consider the of providing them with de facto authorizing the chartering and licensing possibility that another type of business membership. In this case, an ambiguity of captives in 1972,69 and the captive entity could have organized an arises because an unconstrained reading trend did not begin to gain any real insurance company and then used it as of ‘‘insurance company’’ would result in momentum until the mid-1980s. a vehicle for obtaining advances from a a situation that is contrary to Congress’s Although some commenters asserted Bank to fund its own investments or clear intent to limit the benefits of Bank that early forms of captives existed in business operations. membership to the several types of 1932 and that Congress must therefore Thus, changing factual circumstances institutions listed in section 4(a)(1) of have intended to include them as have generated an ambiguity in the term the Bank Act. In contrast, a reading of eligible for membership, those ‘‘insurance company.’’ The definition of the term that encompasses insurance commenters did not identify any that term contained in the final rule is companies as they were understood example of a captive as it is defined in consistent with its historical use in the when the Bank Act was enacted, not FHFA’s final regulation,70 nor did they statute and with the purposes of the including captives, would be fully cite anything in the legislative history of statute, but necessarily results in a consistent with that provision and with the Bank Act that addresses self- definition that would exclude some the statutory scheme as a whole. insurance by any name. There is scant modern entities licensed or chartered The ambiguity also arises because it is mention of insurance companies in the under a state’s insurance statutes. highly unlikely that Congress legislative history of the Bank Act, Because Congress has not defined the considered in 1932 whether captives, although it is logical to infer that term and because it is ambiguous for the which did not then exist, or any class Congress specifically included reasons discussed, FHFA has the legal of entity having similar characteristics insurance companies among the types of authority to define ‘‘insurance that would allow the entities to be institutions eligible for membership company’’ in a manner that is readily used to circumvent the statutory because life insurance companies were reasonable in light of the provisions and requirements, should be deemed to be actively involved in originating and purposes of the Bank Act. investing in residential mortgage loans included within the term ‘‘insurance 6. It Is Reasonable To Define ‘‘Insurance at that time. Life insurance companies, company.’’ It is most likely that the term Company’’ To Exclude Captives ‘‘insurance company’’ would have been among other classes of insurance companies, would have fit within the Defining ‘‘insurance company’’ to understood by Congress and others in exclude captives is reasonable for three 1932 to refer to a company that was in traditional view of an insurance company as being an institution that fundamental reasons, all of which have the business of insurance as it was then underwrites insurance for entities that been thoroughly addressed above. First, understood—that is, the shifting of risk are not its affiliates. doing so is consistent with section by the insured to a larger class of Because the types of captives that are 4(a)(1) of the Bank Act, which is policyholders through the now, and recently have been, seeking reflective of a congressionally created intermediation of the insurance Bank membership did not come into statutory scheme to limit the benefits of company—and not to a mechanism for Bank membership to the types of 67 the administration of self-insurance. 68 See Shanique Hall, Recent Developments in the institutions specifically listed therein. The current phenomenon of captives as Captive Insurance Industry, NAIC Center for Second, captives are uniquely suited to a legal vehicle for managing the parent Insurance Policy and Research Newsletter (Jan. serve as vehicles for the circumvention company’s self-insurance did not exist 2012), http://www.naic.org/cipr_newsletter_archive/ _ of that statutory provision and its in 1932 and cannot have been within vol2 captive.htm (last visited Dec. 8, 2015). 69 Maureen A. Sanders, Risk Retention Groups: underlying purposes and are being the contemplation of Congress. Captives Who’s Sorry Now?, 17 S. Ill. U.L.J. 531, 542, n. 76 actively promoted for that use, and there (1993). is no countervailing public policy 66 See King v. Burwell, 135 S. Ct. 2480 (2015); 70 Some commenters referred to the Church reason for them to be Bank members on FDA v. Brown & Williamson Tobacco Corp., 529 Properties Fire Insurance Corporation, which was U.S. 120, 132–133 (2000). formed by lay leaders of the Episcopal Church in the basis of their own functions, 67 See Helvering v. LeGierse, 312 U.S. 531, 539– 1929 in order to ‘‘reduce costs by selling direct to separate from their parents’. Third, 40 (1941) (stating that ‘‘[h]istorically and commonly churches and their affiliated organizations.’’ See defining ‘‘insurance company’’ in this insurance involves risk-shifting and risk- Episcopalians Form Fire Insurance Concern To manner is consistent with the likely distributing’’ and finding that the transaction at Reduce the Cost of Policies on Churches, New York issue did not involve those features and therefore Times (May 23, 1929) at 1. To the extent that this intent of Congress, which would have was not insurance under the federal income tax entity could be characterized as an equivalent of a viewed an insurance company as being laws); Spring Canyon Coal Co. v. Commissioner of modern captive, it appears to have been most a company in the business of ‘‘risk- Internal Revenue, 43 F.2d 78, 80 (10th Cir. 1930) similar to either an association captive or a group shifting and risk-distributing,’’ as the (holding that a company’s contribution to a self- captive, most of which would likely qualify as an insurance reserve was not deductible as an ‘‘insurance company’’ under the final rule Supreme Court described insurance less insurance premium under the federal income tax definition. Although the terms used vary from state than a decade after the enactment of the laws because there was no shifting of risk). In 1932, to state, an ‘‘association captive’’ is generally Bank Act.71 In addition, it is highly life insurance companies originated and invested in understood to be a captive that it is sponsored or unlikely that Congress contemplated the large numbers of residential mortgage loans; these owned by a group of entities within a particular longer-term assets were well matched in duration trade, industry, or service organization and that existence of any class of eligible to their life insurance liabilities. Captives do not insures only the risks of its owners or their share that business model. affiliates. See Hall, supra. 71 Helvering v. LeGierse, 312 U.S. at 539.

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financial institution having the Act or FHFA regulations.72 A number of institution that has committed a characteristics of modern captives commenters asserted that this provision statutory or regulatory violation for (which, as discussed, did not then exist) vests discretionary termination which no particular sanction is that make captives feasible to use as authority in each Bank and that, specified. The express caveat in section funding conduits for entities Congress consequently, FHFA does not have the 6(d)(2)(A) making a Bank’s termination did not deem eligible for Bank authority to require a Bank to terminate authority subject to FHFA regulations, membership, and even less likely that the membership of captives that were as well as FHFA’s broad powers as Congress would have approved of such admitted under the regulations in force supervisor and regulator of the Banks use, which effectively circumvents the at the time of admission. In support of and its statutory duty to administer the very membership restrictions it that assertion, several of those Bank Act in a manner that promotes the imposed. commenters also noted that the Bank Act’s purposes and protects the public Several commenters asserted that the Act had previously contained a interest, provide the Agency with Agency’s proposal to address that provision explicitly authorizing the sufficient authority to adopt a regulation concern by focusing only on captives Bank System regulator to remove a that, as the final rule does, specifies the was ‘‘arbitrary’’ (and therefore not member for cause (including failure to circumstances in which a violation of within the Agency’s authority to adopt) comply with statutory or regulatory the law requires a Bank to exercise its because it disregarded the possibility provision) after a hearing, but that termination authority. The exercise of that other types of members had passed Congress removed that explicit this regulatory authority is appropriate advance proceeds on to non-members authorization in 1999 when it adopted where, as here, the violation is not one through intercompany transfers and the current termination provision.73 of technical noncompliance with a could continue to do so in the future. Although the 1999 amendments did minor requirement, but of the The majority of members that are not transfer the mechanism of termination fundamental principles defining captives are owned by holding from the Bank System regulator to the eligibility for membership and access to companies that are not themselves Banks themselves, it is not plausible to the Bank System, the purposes of which eligible for membership and there is suggest, as do the commenters, that would be undermined if membership little question that advance proceeds Congress thereby stripped the regulator were allowed to continue. For these may flow through to the parent of its authority to require the removal of reasons, when a member is in violation companies in many cases. Given the a member when doing so is necessary to of a lawfully adopted regulation for fungibility of money and the typically halt a violation of the statute or which the required sanction is complex structures of modern financial regulations. The use of the words ‘‘may termination of membership, a Bank does institutions, it would be extremely terminate’’ indicates that Congress not have the discretion to refuse to difficult for FHFA, or any agency, to intended to permit a Bank’s board of terminate the member when and as develop a workable means of preventing directors some degree of discretion in required by the regulation. all such transfers. However, even deciding whether and when to Apart from questioning FHFA’s power terminate an institution’s membership, to regulate the Banks’ termination assuming that a small number of non- but that discretion is limited by the authority under section 6(d)(2)(A), a few captive members could be acting statutory language subjecting the commenters offered other reasons that effectively as conduits for their parent exercise of that termination authority to they believed the Agency cannot require companies, no evidence suggests that the regulations of the Director.74 In this a Bank to terminate the membership of any type of member institution other case, the Director has adopted its existing captive members. One than captives is, as a class, being used regulatory amendments implementing a asserted that requiring the termination to any material degree for such provision of the Bank Act in a way that of existing captive members would give purposes. In contrast, there is abundant makes captives—including those that rise to a ‘‘takings’’ claim against the evidence, detailed above, that almost all were previously admitted—ineligible for United States in that it would deprive members that are captives as defined in membership. When effective, the former captive members of their right to the final rule were established and amended regulation will be binding on a pro rata share of the retained earnings sought to become Bank members for the the Banks, which will be obliged to of their former Banks and of access to primary purpose of acting as conduits comply with its provisions to the same Bank advances and other products and for their ineligible parents. Given this, extent that they are obliged to comply services, without adequate as well as their unique suitability for with any other statutory or regulatory compensation. Citing a ruling by the such purposes and the general absence requirement. U.S. Court of Appeals for the D.C. of any other compelling rationale for Section 6(d)(2)(A) may permit a Bank Circuit that no federal agency may adopt them to be members, FHFA’s exclusion to exercise its discretion, for example, in a regulation that would give rise to a of captives in this final rule is deciding whether and when to ‘‘takings’’ claim unless it is expressly reasonable. terminate the membership of an authorized it to do so by statute,75 the 7. FHFA Has the Authority To Require commenter further argued that FHFA the Termination of Captives That Were 72 12 U.S.C. 1426(d)(2)(A). may not adopt a regulation requiring 73 See Financial Services Modernization Act of Previously Admitted to Bank 1999, Pub. L. 106–102, sec. 608, 113 Stat. 1338, termination because such an express Membership 1461 (1999). statutory authorization does not exist. 74 Bank members—even those that are in Section 6(d)(2)(A) of the Bank Act In addition, as the Court of Appeals for the D.C. Circuit has explained, ‘‘ ‘May’ ordinarily connotes compliance with all statutory and provides that the board of directors of a discretion, but neither in lay nor legal regulatory eligibility requirements— Bank ‘‘may terminate’’ the membership understanding is the result inexorable. Rather, the have no constitutionally protected of any member institution if, ‘‘subject to conclusion to be reached ‘depends on the context of the statute, and on whether it is fairly to be property interest in continuing Bank the regulations of the Director’’ of presumed that it was the intention of the legislature membership. Although the Bank Act FHFA, it determines that any of the to confer a discretionary power or to impose an specifies that the holders of a Bank’s the statutory grounds for termination exist. imperative duty.’ ’’ Thompson v. Clifford, 408 F.2d Those grounds include a failure to 154, 158 (D.C. Cir. 1968) (citations omitted); see also Halverson v. Slater, 129 F.3d 180, 188–189 75 See Bell Atlantic Tel. Cos. v. FCC, 24 F.3d comply with any provision of the Bank (D.C. Cir. 1997). 1441, 1445–46 (D.C. Cir 1994).

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Class B stock ‘‘shall own the retained they cannot claim to have had a C. Discussion of Other Arguments earnings, surplus, undivided profits, reasonable investment-backed Raised by Commenters and equity reserves, if any, of the expectation that the regulatory regime Most of the arguments made by [Bank],’’ it also makes clear that, would remain forever static. This is commenters in opposition to the ‘‘[e]xcept as specifically provided in especially true in the case of entities proposed captives provisions have been [section 6 of the Bank Act] or through that became members for the purpose of addressed in the discussion above the declaration of a dividend or a capital circumventing the statutory regarding the legal and policy bases for distribution by a [Bank], or in the event membership requirements. FHFA’s adoption of the final captives of liquidation of the [Bank], a member Another commenter, who focused on provisions. However, some commenters shall have no right to withdraw or FHFA’s comments in the proposed rule made other arguments that are not otherwise receive distribution of any SUPPLEMENTARY INFORMATION regarding addressed above and that warrant portion of the retained earnings of the discussion. 76 the possibility that captive membership [Bank].’’ But even if members did may pose unique safety and soundness Many commenters stressed that have a constitutionally protected issues, asserted that those concerns mortgage REITs’ substantial property interest in Bank membership, could not serve as a basis for requiring commitment to the residential mortgage FHFA’s regulation effects neither a per the termination of captive members market in the U.S. is consistent with the se taking nor a regulatory taking as until the Agency had taken the steps mission of the Banks, and argued that courts have developed those concepts. required by section 8 of the Bank Act. allowing them to access the low-cost A per se taking occurs when the funding that the Banks are able to government physically appropriates real Section 8 requires that FHFA keep abreast of the state laws under which provide will increase the level of private or personal property for its own use capital in the residential mortgage 77 Bank members are chartered and without just compensation. A captive market, benefiting existing and potential terminated as required under the final regulated, and states that if FHFA concludes that the laws of any state homeowners and the public. Others rule will be fully compensated when the similarly argued that preventing REITs Bank redeems its Bank stock for par provide inadequate protection to a Bank in making or collecting advances, the from accessing Bank funding through value (the same amount paid by the their captive subsidiaries could increase captive when it acquired the stock) in Agency may ‘‘withhold or limit the operation’’ of any Bank in that state instability in the residential mortgage the manner provided under the Bank’s market by reducing liquidity and capital plan. Regardless of until satisfactory conditions are established.79 The commenter asserted curtailing the availability of long-term compensation, the captive’s Bank stock funding. FHFA acknowledges that will not have been physically that this statutory provision prohibits FHFA from taking any action with mortgage REITs play a large role in the appropriated by the government for its residential mortgage market and does own use. Thus, there will have been no respect to captive members until it has first undertaken a study of all of the not question the legitimacy of their per se taking. activities. However, while FHFA has the Neither will there be a regulatory state laws under which they operate, and only after concluding that a duty to ensure that the operations and taking, which occurs when the activities of the Banks ‘‘foster liquid, government imposes a restriction on the particular state’s laws fail to provide adequate protection to a Bank. efficient, competitive, and resilient use of property that results a severe and national housing finance markets,’’ it unwarranted diminution in the FHFA rejects the assertion that also has a duty to ensure that the Banks property’s value.78 The terminated section 8 may be read to limit in any carry out that mission ‘‘only through member will not only receive the par way the steps the Agency may take in activities that are authorized under and value of its Bank stock when the stock fulfilling its statutory duty to ensure the consistent with’’ the Bank Act and the is redeemed, but will also continue to safe and sound operation of the Banks. Safety and Soundness Act.81 Having receive any dividends declared up to Even if section 8 could be so construed, concluded that the channeling of low- the time its stock is redeemed. Thus, it would not limit the Agency’s ability cost Bank funding to REITs and other there can be no claim that the economic to require the termination of captive ineligible entities through captive value of the stock will have been members. Although the proposed rule members is not authorized by or destroyed. In addition, because the discussed some safety and soundness consistent with the Bank Act, the Banks have independent power to concerns to which captive membership Agency is compelled to take action to terminate membership, members have a gives rise, the Agency’s proposal and its put an end to that practice until such reasonable expectation that their ultimate decision to exclude captives time, and on such terms, as Congress membership may be terminated at some from Bank membership and to require authorizes that access. Similarly, it is point. Because dividend payments are at the termination of existing captives not appropriate for FHFA to expand all times subject to the approval of the stems from its conclusion that they are Bank membership beyond the Bank’s board of directors, there is no being used to circumvent the statutory framework established by Congress in reasonable investment expectation that requirements governing the types of order to provide greater macroeconomic dividends will continue to be paid. institutions that may become Bank stability in times of financial stress, as Finally, because the captives became members, and not primarily from safety urged by some commenters. Bank members with full knowledge that and soundness concerns regarding A number of other commenters all Bank activities are heavily regulated, captive insurers.80 FHFA re-emphasizes argued that FHFA offered no analysis of that point in this final rule. the financial impact the proposed 76 12 U.S.C. 1426(h). See also Fahey v. O’Melveny exclusion of captives would have on the & Myers, 200 F.2d 420, 467 (9th Cir. 1952) (holding 79 See 12 U.S.C. 1428. Banks and their members, and asserted that the ‘‘purchase of [Bank] stock is a condition of 80 After describing the proposed captives that excluding captives from [Bank] membership and does not confer proprietary provisions in the SUPPLEMENTARY INFORMATION to the membership would result in reduced interest or a property right of any kind in any proposed rule, FHFA stated that it was proposing [Bank] itself’’). to take those actions ‘‘to address supervisory 77 See Horne v. Dep’t of Agriculture, 135 S. Ct. concerns about certain institutions that are Bank advances to fund their business operations.’’ 2419, 2426–27 (2015). ineligible for Bank membership, but that are using See 79 FR 54848, 54853 (Sept. 12, 2014). 78 See Horne, 135 S. Ct. at 2427. captives as vehicles through which they can obtain 81 12 U.S.C. 4513(a)(1)(B).

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income for the Banks in the short run Finally, some commenters questioned parents raises substantial questions of and lost opportunities for income why FHFA cannot address its concerns policy and legitimacy under the Bank growth in the future. Any projection the regarding the use of captives as funding Act, in light of the statute’s provision Agency might attempt to make regarding conduits by adopting more narrowly that a member may join only the Bank the exclusion of captives would be tailored restrictions, such as by in the district in which its principal speculative. Despite the fact that the excluding from membership only place of business is located.83 number of captive members has captives that are owned by ineligible III. Section-by-Section Analysis of the increased dramatically since 2012, they entities or, even more narrowly, only Final Rule still constitute a very small percentage those that FHFA has determined are of the Banks’ membership base, and the actually being used as a funding conduit A. Definitions—§ 1263.1 number that would have been approved for an ineligible parent. In developing The final rule adds several new for membership in future years cannot the final rule, FHFA fully considered a definitions to § 1263.1, as well as revises be estimated. Similarly, while the number of narrower options, but or deletes the definitions of a number of amount of advances currently ultimately concluded that each those terms that appear in the existing outstanding to captives is known, it is options either raised legal concerns, regulation. Although most of these not possible to project what future would not adequately address the changes are non-substantive, newly levels would have been because of the Agency’s policy concerns, or were not added definitions for the terms difficulty of estimating not only the workable from a practical perspective. ‘‘insurance company’’ and ‘‘captive’’ are number of potential captive members For example, the Agency considered intended to implement the main policy forgone, but also what their level of whether it would be possible to adopt goal of the final rule—preventing demand for advances would have been. a final rule allowing captives to be circumvention of the Bank Act’s Regardless of the financial impact, members, but including provisions membership categories by excluding which is unknown, FHFA cannot allow restricting the extent to which the captive insurers from Bank membership. the Banks to continue to engage in captive could pass advance proceeds on The final rule defines ‘‘insurance activities that it has concluded are not to an ineligible parent such as by company’’ as ‘‘an entity that holds an authorized under the law. Congress establishing a specified percentage of a insurance license or charter under the mandated the establishment of the captive’s assets that may be funded by laws of a State and whose primary Banks in order to advance public policy advances or by requiring that all business is the underwriting of goals and, in order to ensure that they collateral be kept on the books of the insurance for persons or entities that are could fulfill those goals, provided them captive. FHFA concluded that, while not its affiliates.’’ The rule defines with initial funding from the Treasury either of these options could be justified ‘‘captive’’ as ‘‘an entity that holds an Department and granted them tax and from a legal perspective, neither would insurance license or charter under the other advantages not generally enjoyed be likely to be effective, given the laws of a State, but that does not meet by ordinary for-profit corporations. fungibility of advance proceeds and the the definition of ‘insurance company’ Accordingly, unlike ordinary legal and other expert resources set forth in this section or fall within corporations, the Banks are not free to available to the captive’s parent any other category of institution that undertake any and all activities that companies that would enable them to may be eligible for membership.’’ The they judge to be profitable from a develop methods of effectively purpose of defining those terms is to business perspective without regard to circumventing any such restrictions.82 distinguish, as among entities that are the limitations imposed by their FHFA also considered adopting a deemed to be an insurance company authorizing statute. Against the final rule that would have continued to under state law, between those that may uncertain financial impact on the Banks allow membership for captives owned be eligible for Bank membership as an of this regulation must be by entities eligible to become members. ‘‘insurance company’’ and those that are counterbalanced the equally uncertain This option raises a legal question not eligible. An entity that is chartered financial effects of expanded whether the statutory membership or licensed under a state’s insurance government exposure and possible framework contemplates conditioning statutes but that neither meets the economic distortions from supporting eligibility for membership on the definition of ‘‘insurance company’’ nor expanded categories of businesses. activities or investments of a particular falls within any of the other categories Many commenters pointed out that institution’s parent company. Apart of institutions that may be eligible for any action that might reduce the income from that, however, this option would membership under the statute or of any Bank to any extent would still allow institutions that are regulations, is ineligible for necessarily reduce the amount of funds themselves eligible for membership to membership. Both the terms ‘‘insurance company’’ available for those Banks’ Affordable use captive subsidiaries to enable and ‘‘captive’’ were defined in the Housing Programs (AHP), because the inexpensive access to multiple Banks. proposed rule and the final definitions statute requires 10 percent of a Bank’s Like the use of captives by ineligible are similar to those that were proposed. earnings to be dedicated to its AHP. But parents, this potential use by eligible The proposed rule would have defined increasing AHP contributions is not a 82 ‘‘insurance company’’ to mean ‘‘a legitimate reason to enhance Banks’ Some representatives of captive members represented to FHFA that their captive subsidiaries company whose primary business is the earnings by allowing access to Bank directly support residential housing finance and do underwriting of insurance for advances by ineligible entities. In any not act as conduits to ineligible parents. However, nonaffiliated persons or entities.’’ It event, expanding Banks’ income as stated above, FHFA has been unable to develop an administratively feasible way to assure that this through the admission of members who is the case or remains so, and in the great majority 83 See 12 U.S.C. 1424(b). If a depository should be regarded as ineligible under of instances that FHFA has reviewed, it is not. Also, institution were to establish a captive insurer in a the Bank Act is a very low-leverage way in these cases, the captive is not engaged primarily state in another Bank district, structured so that its of increasing the availability of AHP in the business of insurance, meaning the business books, records, and personnel were located there, of shifting and spreading risk to unaffiliated parties, the regulation, as revised by the final rule, would funds, because the statute requires only and, therefore, would not be an insurance company recognize that other state as the principal place of 10 percent of Bank earnings to be as Congress would have understood that concept in business of the captive for Bank membership dedicated to the AHP. 1932. purposes.

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would have defined ‘‘captive’’ to mean possibility that the definition of definition of that word that the FRB ‘‘a company that is authorized under ‘‘insurance company’’ could be read to used in its implementing regulations.89 state law to conduct an insurance exclude entities that are not the The final rule defines ‘‘affiliate’’ to business, but that does not meet the intended targets of the proposal. One mean ‘‘any entity that controls, is definition of ‘insurance company’ . . . commenter, a Bank, suggested that controlled by, or is under common or fall within any other category of FHFA define the term ‘‘nonaffiliated control with another entity.’’ The new institution eligible for membership.’’ In persons or entities’’ in the final rule to definition of ‘‘affiliate’’ also specifies the final rule, the latter part of the mean ‘‘one or more persons or entities that, for purposes of that definition, one definition of ‘‘captive’’ remains as holding less than 50% equity ownership entity ‘‘controls’’ another if it: (1) Owns proposed, while the initial phrase has or voting control of the insurance or controls 25 percent or more of the been revised to refer more precisely to company.’’ outstanding voting stock, limited ‘‘an entity that holds an insurance Another commenter suggested that partnership shares, or similar interests license or charter under the laws of a FHFA take an approach similar to that of the other entity; (2) controls in any State.’’ The final rule adds that same reflected in the Bank Holding Company manner the election of a majority of the initial phrase to the definition of Act (‘‘BHCA’’), which defines ‘‘affiliate’’ directors, trustees, or general partners of ‘‘insurance company,’’ substituting it for to mean ‘‘any company that controls, is the other entity; or (3) has the power to the generic term ‘‘a company’’ that was controlled by, or is under common exercise a controlling influence over the used in the proposed definition. This control with another company.’’ 85 In management or policies of the other entity through a management was done to make clearer that these two turn, the BHCA states that one company agreement, common directors or definitions are meant to be read in is considered to have ‘‘control’’ over management officials, or by any other conjunction with each other. In another thereunder if it: (A) ‘‘directly or means. addition, in the final rule, the definition indirectly or acting through one or more of ‘‘insurance company’’ now refers to The final rule definition of ‘‘control’’ other persons owns, controls, or has does not include an equivalent of clause an entity ‘‘whose primary business is power to vote 25 per centum or more of the underwriting of insurance for (C) in the BHCA definition of that term, any class of voting securities of the bank which contemplates the possibility that persons or entities that are not its or company’’; (B) ‘‘controls in any affiliates,’’ instead of one ‘‘whose the FRB may be required to hold manner the election of a majority of the primary business is the underwriting of hearings to determine whether one directors or trustees of the bank or insurance for nonaffiliated persons or company exercises a controlling company’’; or (C) the Board of entities.’’ The sole reason for this influence over another company. In Governors of the Federal Reserve change in nomenclature is because, in other words, the rule does not System (FRB) ‘‘determines, after notice response to the requests of a number of contemplate that FHFA will under any and opportunity for hearing, that the commenters, FHFA has added a circumstances hold a hearing to company directly or indirectly exercises definition of the word ‘‘affiliate’’ to the determine whether one entity a controlling influence over the final rule. ‘‘controls’’ another or to determine Several commenters asserted that the management or policies of the bank or whether an entity falls within the 86 term ‘‘nonaffiliated persons or entities’’ company.’’ The commenter suggested definition of ‘‘insurance company.’’ was too vague and could be read in a that FHFA also adopt a ‘‘safe harbor’’ Instead, a Bank may need to inquire into way that would exclude from the provision similar to one that applies to the facts of a particular case and apply definition of ‘‘insurance company’’ (and determinations made by the FRB under its reasoned judgment in some therefore from eligibility for Bank clause (C) of the foregoing which circumstances. In applying the membership) entities that, because of establishes a presumption that ‘‘any definition of ‘‘control,’’ a Bank should diffuse ownership or other factors, company which directly or indirectly first make the relatively straightforward cannot be easily used as financing owns, controls, or has power to vote less determination as to whether one entity conduits. The types of entities identified than 5 per centum of any class of voting exerts a controlling influence over were: Mutual insurance companies, securities of a given . . . company does another in the manner described in which are owned by their policyholders; not have control over that . . . paragraphs (1) or (2) of the definition. If 87 ‘‘association captives,’’ which may be company.’’ the answer to that question is ‘‘yes,’’ incorporated as a mutual insurer under FHFA has decided to follow that then the inquiry need go no further— state captive statutes to insure a group commenter’s basic suggestion by one entity ‘‘controls’’ the other, and they of policyholders engaged in a related adopting the concepts of ‘‘affiliate’’ and are thus considered to be affiliates trade; and risk retention groups (RRGs), ‘‘control’’ that are reflected in the BHCA under the rule. If the answer to that which are liability insurance companies because those terms have well question is ‘‘no,’’ then the Bank must that may be chartered as either captives established meanings, as illustrated by consider, under paragraph (3), whether or as traditional insurers under state law their being used also in the Safety and one entity has the power to exercise a and that are authorized as RRGs under Soundness Act with respect to affiliates controlling influence over the federal law.84 FHFA has concluded that of Fannie Mae and Freddie Mac.88 management or policies of the other these types of insurance companies While the final definition of ‘‘affiliate’’ entity by any other means, such as would in almost all cases be within the is taken from the BHCA, the text through a management agreement, definition of ‘‘insurance company’’ defining the scope of the word ‘‘control’’ common directors, or common adopted in the final rule and therefore (which in the final rule appears within management officials. would remain eligible for membership. the definition of ‘‘affiliate’’) is based not FHFA has also declined to include in Two commenters provided specific on the language of the BHCA itself, but the definition of ‘‘control’’ an equivalent recommendations as to how the term on the somewhat more specific to the BHCA provision establishing a ‘‘nonaffiliated persons or entities’’ could presumption of non-control in cases be clarified so as to preclude the 85 12 U.S.C. 1841(k). where one company controls less than 86 12 U.S.C. 1841(a)(2). 5 percent of the voting stock of another. 84 See Federal Liability Risk Retention Act, 15 87 12 U.S.C. 1841(a)(3). U.S.C. 3901, et seq. 88 See 12 U.S.C. 4502(1). 89 See 12 CFR 225.2(e).

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FHFA believes that including such a security with a more general reference investors’ needs over the past several provision will only further complicate to a security representing either: (i) A decades has made the secondary the definition by appearing to require right to receive a portion of the cash mortgage market much more liquid. In extensive inquiry into arrangements flows from a pool of qualifying loans; or recognition of this, FHFA believes that where one entity may control more than (ii) an interest in other securities it is appropriate to expand the 5 percent, but less than 25 percent of the representing such a right. The reference definition of ‘‘home mortgage loan’’ to voting stock of another entity. To be to a right to receive a portion of the cash include all types of MBS backed by clear, if a Bank determines that control flows is intended to encompass both the qualifying whole loans and eliminate does not exist in the manner described rights of a holder of a mortgage pass- the distinction that the regulations have in paragraphs (1) or (2) and determines through security to an undivided historically drawn between pass- after reasonable inquiry that no ownership interest in the underlying through securities and other types of alternative means of control exist as loans and their principal and interest MBS. provided in paragraph (3), then it may payments, as well as the rights of a This revision was originally proposed presume that one entity does not control holder ‘‘debt-type’’ instruments that in connection with FHFA’s proposal to the other and, therefore, that they need grant the holder the right to a specified require an institution to hold at least not be considered affiliates under the portion of the cash flows from the one percent of its total assets in home rule. pooled mortgage loans. Thus, the mortgage loans in order to be deemed to Several commenters argued that the revision is intended to bring within the comply with the ‘‘makes long-term proposed rule also left unclear how a definition of ‘‘home mortgage loan’’ all home mortgage loans’’ eligibility Bank would determine whether the types of MBS—including pass-through requirement. The change was intended ‘‘underwriting of insurance for securities, CMOs, REMICs, and in part to ease the burden on members nonaffiliated persons or entities’’ principal-only and interest-only strips— that would have been imposed by that constitutes a company’s ‘‘primary that are fully backed by whole loans that new quantitative requirement by business,’’ in determining whether a meet the definition of ‘‘home mortgage allowing them to satisfy the requirement particular entity fell within the loan’’ or by other MBS that are fully with a wider range of first lien definition of ‘‘insurance company.’’ One backed by such loans. The revised mortgage-related assets than would have Bank suggested that FHFA define definition is not intended to include a been the case if the existing definition ‘‘primary business’’ to mean ‘‘a business bond or other debt security that is a were retained. It was also intended in line (such as selling policies, including general obligation of the issuer, even if part to make it easier for the Banks to reinsurance policies or contracts of it is collateralized by qualifying obtain the information necessary to reinsurance) that constitutes more than mortgage loans. confirm members’ compliance with the half of the insurance company’s FHFA is making this revision in one percent requirement from their business.’’ However, the concept of half recognition of the fact that the capital regulatory financial reports. of a company’s business invokes markets do not distinguish between Notwithstanding that FHFA will not be measurement questions more complex MBS structured as pass-through finalizing the one percent requirement and protean than are easily susceptible vehicles and those structured as debt at this time, the Agency has decided to of being addressed in regulation instruments. In adopting the existing include the revised definition in the language of general applicability. FHFA definition in 1993, the Finance Board final rule for the reasons stated above. believes that close interpretive codified the approach of its predecessor In conjunction with the revision of questions are unlikely to arise with any agency, the Federal Home Loan Bank the definition of ‘‘home mortgage loan,’’ frequency, but is prepared to provide Board (FHLBB), which had held that a the final rule also revises the definition interpretive guidance as needed in any mortgage-backed security must provide of ‘‘residential mortgage loan’’ by appropriate cases. its holder with a pro rata ownership replacing paragraph (5) (referring to Determinations regarding whether an interest in each of the loans in the ‘‘mortgage pass-through securities’’) and institution meets the definition of underlying pool of mortgage loans in paragraph (6) (referring to ‘‘mortgage ‘‘insurance company,’’ including order for the purchase of that MBS to debt securities’’) with a new paragraph determinations about what constitutes constitute the equivalent of making or (5), which is intended to include both an ‘‘affiliate’’ and ‘‘control,’’ as well as purchasing those underlying loans. types of securities. The new provision is the manner in which Banks should Thus, while the Finance Board similar to paragraph (2) of the definition memorialize their conclusions with permitted mortgage pass-through of ‘‘home mortgage loan,’’ referring respect to those determinations in an securities, which are structured to give generally to a security representing applicant’s membership application file, the holder a theoretical undivided either: (i) A right to receive a portion of are addressed further in the discussion ownership interest in each of the the cash flows from a pool of whole of final § 1263.2(b) below. underlying loans, to be counted toward ‘‘residential mortgage loans’’; or (ii) an The one other substantive definitional satisfaction of the ‘‘makes long-term interest in other securities representing change is to finalize the proposed home mortgage loans’’ requirement, it such a right. This revision is not expansion of the definition of ‘‘home did not permit other types of MBS to be intended to effect any substantive mortgage loan’’ to include all types of used for that purpose. change, but merely to streamline the MBS backed by qualifying loans and However, as explained in the definition in light of the fact that the securities. Existing § 1263.1 generally SUPPLEMENTARY INFORMATION to the revisions to the definition of ‘‘home defines ‘‘home mortgage loan’’ to proposed rule, investors in today’s mortgage loan’’ make it unnecessary to include a loan that is secured by a first financial markets recognize that the distinguish between pass-through lien mortgage on one-to-four- or multi- economic interest in the loans securities and other types of MBS in the family property, as well as a mortgage underlying such instruments is definition of ‘‘residential mortgage pass-through security that represents an essentially the same for all types of loan.’’ undivided ownership interest in the MBS, regardless of their legal structure. Each of the remaining revisions to the underlying pool of mortgage loans. As Indeed, the availability of the many definitions within § 1263.1 is intended proposed, the final rule replaces the types of MBS with different either to remove a duplicative definition existing reference to a pass-through characteristics that have evolved to meet or to shorten or otherwise clarify the

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definition itself or the regulatory text in example, it may be sufficient to indicate Existing § 1263.4(b) provides that any which the defined term appears. Each of that the company is organized in mutual member whose membership is these revisions appeared in the form and that none of its policyholders transferred pursuant to § 1263.18(d) proposed rule and each is being has the power to control the election of shall automatically become a member of finalized essentially as proposed. None persons to its board of directors. For a the Bank to which it transfers. However, of the revisions is intended to alter the risk retention group, a Bank may be while the cross-referenced provision— meaning of any defined term or required to obtain additional existing § 1263.18(d)—requires that the substantive provision. information establishing that none of Banks involved agree on a ‘‘method of the owners control more than 25 percent orderly transfer’’ before a ‘‘transfer of B. Membership Application Process— of its voting shares. In a very few cases, membership’’ takes effect, neither that §§ 1263.2–1263.5 a Bank may be required to conduct a provision nor § 1263.4(b) specifies the The final rule makes several revisions more detailed analysis about whether types of events that constitute a to subpart B of part 1263, which governs any one or more policy holders can be ‘‘transfer’’ of membership. As a result, the membership application process. said to have ‘‘control’’ over the FHFA has occasionally received As proposed, the final rule relocates applicant or related companies that may questions about how § 1263.4(b) is to be to § 1263.2(a) from § 1263.6(a) language cause it to be considered an ‘‘affiliate,’’ applied. prohibiting any institution from as defined in § 1263.1. FHFA proposed to revise § 1263.4(b) becoming a member of a Bank unless it Section 1263.2(c) of the existing to remove the reference to a ‘‘transfer’’ has submitted to that Bank a regulation requires that a Bank create and, instead, specify that a new membership application that satisfies and maintain a membership file for each membership application is not required the requirements of part 1263, except as applicant. Paragraph (2) of that when a member either physically otherwise specified in part 1263 (such subsection requires that the Bank relocates its principal place of business as in the case of transfers or certain include in that file, as an attachment to to another Bank district (such as consolidations). While existing the application digest, all materials through a consolidation) or redesignates § 1263.2(a) requires that an applicant required to document the applicant’s its principal place of business to another submit an application that complies eligibility for membership. Paragraph (2) Bank district as provided under with the requirements of part 1263, it further provides that the Bank ‘‘may § 1263.18(c). FHFA believes that both of does not state explicitly that an retain in the file only the relevant these situations should be treated in the institution may not become a member portions of the regulatory financial same manner because they are simply unless it has done so. FHFA believes reports required by [part 1263].’’ This different means of bringing about the that this statement is more appropriately provision is intended merely to allow a same result—i.e., a change in the situated in its new location, which Bank the option of omitting from an location of a member’s principal place addresses the membership application applicant’s file the portions of the of business from one Bank district to process, rather than its current location, applicant’s regulatory financial report another. No commenters objected to the which addresses the substantive that are not relevant to its eligibility for proposed revisions, and FHFA is membership eligibility requirements. membership. However, as currently adopting them as proposed. FHFA has Existing § 1263.2(b) requires a Bank to phrased, the provision could be read as also added language to clarify that the prepare a written digest for each prohibiting the Bank from including the automatic membership at the new Bank applicant stating whether or not the non-relevant portions. To eliminate the commences upon the purchase of the applicant meets each of the applicable possibility of such a misreading, the minimum amount of stock needed membership eligibility requirements final rule revises this provision to state, under the new Bank’s capital structure and providing support for its instead, that the Bank ‘‘is not required plan. conclusions with respect to each to retain in the file’’ portions of the Section 1263.5 of the existing requirement. The final rule revises this reports ‘‘that are not relevant to its regulation gives an institution whose subsection to add a specific requirement decision on the membership membership application has been that, in any digest prepared for an application.’’ denied by a Bank the right to appeal the applicant whose eligibility for Section 1263.3(c) of the existing denial to FHFA. FHFA did not propose membership is contingent upon its regulation also addresses the timing and any substantive revisions to this section, meeting the new definition of notice requirements applicable to a but requested comments on whether the ‘‘insurance company,’’ the Bank must Bank’s decision on an institution’s regulations needed to continue to afford state whether the applicant meets that application for membership. As applicants this right of appeal, given definition and summarize the facts and proposed, the final rule makes a number that no applicants have ever requested identify the sources on which it relied of non-substantive revisions to that an appeal. The Agency received in reaching that conclusion. In such provision to state the requirements as to relatively few comments in response to cases, the digest should support the the timing of the Bank’s decision more this request, but those that did Bank’s determination that an applicant precisely. No change in meaning is respond—mostly CDFIs and credit qualifies as an ‘‘insurance company’’ by intended. unions, but also a few of the Banks— summarizing the bases for the Bank’s Section 1263.4 of the existing were uniformly opposed to removal of conclusion that the applicant’s primary regulation addresses the circumstances the appeal provision. One representative business is the underwriting of under which an institution may be letter from a CDFI cited the right of a insurance for persons or entities that are admitted to membership in a Bank CDFI applicant under existing not its affiliates. In the case of a ‘‘automatically’’—that is, without the § 1263.16(b)(1)(iii) to present to a Bank traditional life or casualty insurance need to apply for membership. As as part of its application any company, for example, it may be proposed, the rule makes two minor information it believes demonstrates sufficient to indicate that a majority of wording changes to § 1263.4(a), which that is satisfies the ‘‘financial condition’’ the company’s premium income is governs automatic membership for eligibility requirement. The commenter derived from policies sold to certain charter conversions, to make the stated that the adoption of that unaffiliated parties. In the case of a provision read more clearly. No change provision, as well as FHFA’s discussion mutual insurance company, for in meaning is intended. of the provision in the SUPPLEMENTARY

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INFORMATION to the final rule in which insurance companies and CDFIs; and be ‘‘eligible to be a member’’ if it meets it was included, demonstrates that the makes non-substantive clarifying those requirements. The final rule Agency understands that Banks ‘‘make revisions to the texts of §§ 1263.14, makes a slightly different change, by judgments in their assessment of CDFI 1263.15, 1263.17 and 1263.18. revising that paragraph to provide that eligibility that could require additional an institution shall be ‘‘eligible for Bank 1. General Eligibility Requirements— review.’’ The commenter concluded membership’’ if it meets the listed § 1263.6 that, in light of ‘‘the inconsistent requirements. Despite the fact that the experience with CDFI membership Section 1263.6 sets forth the general final rule does not require the Banks to across the System . . . the option for an eligibility requirements for Bank determine members’ compliance with appeal process should be maintained.’’ membership and provides that entities the ‘‘makes long-term home mortgage Because of the concerns expressed by that do not meet the requirements of loans’’ and ‘‘10 percent’’ requirements commenters, FHFA has decided to part 1263 shall be ineligible for Bank on an ongoing periodic basis as would retain the appeal provision in the membership. With respect to the have been required under the proposed regulation. manner in which this section is to be rule, FHFA is nonetheless making this applied, the most significant change the revision to dispel any notion that the C. Membership Eligibility final rule makes is in defining eligibility requirements of § 1263.6(a) Requirements—§§ 1263.6–1263.18 ‘‘insurance company,’’ as discussed in are no longer of any relevance to a Subpart C of the existing regulation, detail above. The introductory member once it has been approved for which includes §§ 1263.6 through paragraph to § 1263.6(a) enumerates the membership.90 1263.18, addresses the requirements types of institutions that are eligible The final rule makes one additional that an institution must meet in order to under the Bank Act for membership. change to § 1263.6(a) that was not be eligible for Bank membership. Entities of a type not listed in reflected in the proposed rule by adding Section 1263.6 sets forth all of the § 1263.6(a) and those, regardless of type, a new paragraph (7) providing that, in eligibility requirements, while the that do not meet the applicable addition to meeting the requirements remaining sections of subpart C address requirements of part 1263, are not listed in paragraphs (1) through (6), an more specifically the manner in which eligible for Bank membership. By institution must have complied with a Bank is to determine compliance with defining the term ‘‘insurance company’’ any applicable requirement of those requirements for the different in § 1263.1 to include only those entities § 1263.6(b) or § 1263.6(c) to be eligible types of institutions that may be eligible ‘‘whose primary business is the for membership. This revision is not for membership. underwriting of insurance for persons or meant to effect any substantive change, The proposed rule would have entities that are not its affiliates,’’ the but is intended merely to provide clarity revised §§ 1263.6, 1263.9 and 1263.10, final rule makes clear that a captive, as by ensuring that § 1263.6(a) contains a and would have added a new § 1263.11 defined in the regulation, is not an comprehensive list of all of the (thereby requiring the re-numbering of ‘‘insurance company’’ for purposes of requirements an institution is, or may existing §§ 1263.11–1263.18), to require section 4(a) of the Bank Act and be, required to meet to be eligible for that an institution hold at least one § 1263.6(a) of the membership membership. Section 1263.6(b) refers to percent of its assets in ‘‘home mortgage regulation. Thus, captives are not the ‘‘10 percent’’ requirement that loans’’ to be deemed to satisfy the eligible for Bank membership, and those applies to insured depository statutory eligibility requirement that it that the Bank had previously admitted institutions that are not CFIs, while make long-term home mortgage loans, to membership must wind down their § 1263.6(c) refers to the requirement that and that each member comply on an relationships with the Banks in an applicant that is not an insured ongoing basis with that one percent accordance with this final rule. depository institution have a level of requirement and, where applicable, With respect to the text of § 1263.6(a) mortgage-related assets that reflect a with the statutory eligibility itself, the rule finalizes one proposed commitment to housing finance. The requirement that it have at least 10 revision to the introductory paragraph. percent of its total assets in ‘‘residential As discussed above, the final rule 90 As explained in the proposed rule, the existing mortgage loans’’ as a condition of removes from this section and relocates regulations already reflect the necessarily ongoing remaining a Bank member. Because, as to § 1263.2(a) language requiring all nature of several of the eligibility requirements, although they employ various enforcement discussed above, FHFA has decided not applicants to submit an application mechanisms short of the ultimate sanction of to implement those proposed ongoing meeting all of the requirements of the termination to ensure continuing compliance with asset ratio requirements at this time, the Bank Act and FHFA regulations before those requirements. For example, under the existing proposed revisions to subpart C that membership regulation, an applicant for Bank it may become a member. FHFA membership must in most cases satisfy the ‘‘home were meant to implement the new believes that it is more appropriate for financing policy’’ requirement by demonstrating requirements are not included in the that requirement to be included with that it has achieved a rating of ‘‘Satisfactory’’ or final rule. Nonetheless, the final rule other material addressing the better on its most recent CRA evaluation. While the regulations do not require a member to maintain a makes some fairly extensive changes to membership application process than in ‘‘Satisfactory’’ or better CRA rating in order to retain subpart C in that it: Adds to § 1263.6 a § 1263.6, which addresses the its Bank membership, they do mandate restrictions provision addressing the treatment of substantive membership eligibility on access to advances for failure to maintain such captive insurers that were admitted to requirements. a rating. See 12 CFR 1290.5(b). FHFA’s advances regulation effectively enforces the ‘‘financial Bank membership prior to the effective In conjunction with the condition’’ requirement by permitting a Bank to date of the rule; finalizes a proposed implementation of the ongoing asset limit a member’s access to advances if its credit new provision in § 1263.16 requiring ratio requirements, the proposed rule underwriting indicates that it is advisable to do so insurance companies to provide audited also would have revised the and requires a Bank to limit or restrict access to advances in the case of a member that lacks positive financial statements as part of the introductory paragraph, which currently tangible capital, but that has not yet reached the membership application process; states that an institution meeting the point of insolvency. See 12 CFR 1266.4. The ‘‘duly finalizes a proposed new provision in requirements of paragraphs (a)(1) organized’’ and ‘‘subject to inspection and § 1263.18 addressing the manner in through (a)(6) of that subsection shall be regulation’’ eligibility requirements are essentially self-enforcing in that any member that fell out of which a Bank is to determine the ‘‘eligible to become a member’’ of a compliance with either of those requirements could ‘‘principal place of business’’ for Bank, to provide that an institution shall not continue to operate as a financial institution.

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final rule makes no changes to effective date of the final rule to wind Bank stock held by the captive in subsections (b) or (c), which both refer down its relationship with a pre-NPR support of any such advance until after to what an ‘‘applicant’’ must do to captive. As proposed, the final rule also the advance has been repaid, in ‘‘become’’ a member. To make clear that permits a Bank to continue to make or accordance with the Bank’s capital plan. compliance with those requirements renew advances to such captives during The five-year transition period for these will continue to be assessed only at the that five year transition period, but only pre-NPR captives is intended to mitigate time of application, new § 1263.6(a)(7) if: (A) After making or renewing an to a reasonable extent the burden that states that an institution to which either advance, the Bank’s total outstanding the termination of membership might of those requirements apply shall be advances to that captive would not otherwise have on any such captive that eligible for Bank membership if it ‘‘has exceed 40 percent of the captive’s total became a Bank member in reliance on complied’’ with the applicable assets; and (B) the maturity date of any the previous membership regulations. requirement. new or renewed advance does not The limitations on advances that may be Existing § 1263.6(d) states that extend beyond the end of the five-year made during this period are intended to ‘‘[e]xcept as otherwise provided in this transition period. In the case of a permit a pre-NPR captive to continue to part, if an applicant does not satisfy the captive that already has advances that borrow at its existing levels for a requirements of this part, the applicant exceed 40 percent of its assets, the final reasonable period of time, while also is ineligible for membership.’’ The rule does not require a Bank to call limiting its ability to provide increased proposed rule would have redesignated those advances prior to their maturity financing to affiliates that are ineligible this provision as § 1263.6(c)(1) and date, but it does prevent the Bank from for Bank membership. revised it to read, ‘‘Except as provided making or renewing any further The text of the proposed rule did not in paragraph (c)(2) of this section, an advances to that captive until total explicitly address the treatment of post- institution that does not satisfy the outstanding advances have been NPR captives, but, in the requirements of this part shall be reduced to below 40 percent of the SUPPLEMENTARY INFORMATION, FHFA ineligible to be a member of a Bank.’’ In captive’s assets. Similarly, a Bank that stated that it would interpret the rule to the final rule, the provision remains as already has made advances to captives require the immediate termination of § 1263.6(d), but is revised to read, that mature beyond five years from the such captives’ membership and the ‘‘Except as provided in paragraph (e) of effective date of the final rule may allow prompt liquidation of any outstanding this section, an institution that does not those to roll off in accordance with their advances, and that it would consider satisfy the requirements of this part terms, but may not renew them. making those requirements explicit in shall be ineligible for membership.’’ Section 1263.6(e)(1)(ii) of the final the final rule if any Bank were to admit This revised language is similar to that rule requires a Bank to terminate the a captive to membership subsequent to which was proposed. As proposed, the membership of any pre-NPR captive no the date of publication of the proposed final rule removes the initial qualifier later than five years after the effective rule. Notwithstanding that notice of the ‘‘[e]xcept as otherwise provided in this date of the rule. The Bank is to carry out proposed consequences to captives part,’’ which is redundant in that the the terminations as provided under admitted to membership after the date reference to satisfying the ‘‘requirements § 1263.27, which is not amended by this of the proposed rule, several Banks have of this part’’ is most logically read to final rule and which provides each continued to admit captives to take into account any exceptions to the Bank’s board with the necessary membership, although at least some general requirements. At the same time, authority to terminate the membership have obtained from such captives the final rule adds a new qualifier— of any captive for failing to comply with written acknowledgements of the ‘‘[e]xcept as provided in paragraph a requirement of the Bank Act, as possible immediate termination of their (e)’’—which is a new provision, implemented by a regulation adopted by memberships. Because of those described immediately below, that FHFA. The requirements of developments, FHFA has decided that it specifies the manner in which the Banks § 1263.27(b), regarding stock should address the treatment of those are to wind down their business with redemption periods, and § 1263.27(c), post-NPR captives explicitly in the final existing captive members before regarding post-termination membership rule. In order to avoid the disruption to terminating the membership of those rights, shall apply without exception to the Banks and those captives that could captives. any terminated captive. result from an immediate termination of Because FHFA has amended the Final § 1263.6(e)(1)(ii) further requires membership and repayment of all regulation to make captives ineligible a Bank, after terminating the advances, FHFA has reconsidered the for membership, the final rule adds a membership of a pre-NPR captive, to position it took in the proposed rule and new provision, § 1263.6(e), to govern the liquidate outstanding advances to, settle has decided to provide the Banks with treatment of captives that were admitted other business transactions with, and a one-year transition period within to membership prior to the effective repurchase or redeem Bank stock held which to wind down their affairs with date of the final rule. Like the proposed by that captive in accordance with any post-NPR captives they have rule, the final rule treats captives that § 1263.29, which also is not revised by admitted. had been admitted to membership the final rule. This provision also makes Accordingly, § 1263.6(e)(2)(i) of the before the date of publication of the clear that in terminating a pre-NPR final rule provides the Banks with a proposed rule (September 12, 2014) captive’s membership a Bank may one-year transition period from the (hereinafter referred to as ‘‘pre-NPR nonetheless allow the captive to repay effective date of the final rule within captives’’) differently from those that any existing advances in accordance which to wind down its relationships were admitted to membership on or with their contractual terms, regardless with any captives that had been after that date (hereinafter referred to as of whether their maturity dates occur admitted to membership on or after ‘‘post-NPR captives’’). after the date of the termination of September 12, 2014. The final rule The final rule treats pre-NPR captives membership, so long as the advances prohibits a Bank from making or in essentially the same manner as would had been made in conformity with the renewing an advance to a post-NPR have been the case under the proposed regulations in effect at the time the captive during that transition period, rule. Section 1263.6(e)(1)(i) of the final advance was made. In such cases, the but does not require the immediate rule permits a Bank five years from the Bank would also delay the repurchase of liquidation of any advances that may

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already be outstanding on the effective ratio requirements for a period of time the ‘‘makes long-term home mortgage date of the rule. before being required to meet the loans’’ requirement by providing a Section 1263.6(e)(2)(ii) of the final standards that would have applied to all written justification acceptable to the rule requires a Bank to terminate the other members. Bank of how its home financing credit membership of any post-NPR captive as Like the proposed rule, the final rule policy and lending practices will provided under § 1263.27 no later than significantly revises the text of this include originating or purchasing long- one year from the effective date of the section (which remains as § 1263.14 in term home mortgage loans. The final final rule. It also requires generally that the final rule), but organizes the rule makes minor revisions to the text upon the termination of membership the material differently than was proposed. of this subsection, but retains the Bank must liquidate all outstanding Again, these changes are intended substance of the existing provision. advances to the post-NPR captives, primarily to state the requirements Existing § 1263.14(c) deems a de novo settle all other business transactions, regarding conditional approval and insured depository institution to which and repurchase or redeem all Bank stock subsequent full membership more the ‘‘10 percent’’ requirement applies held by the terminated captive in clearly and are not meant to implement and that has been in operation for less accordance with § 1263.29. Thus, in any substantive change. Because FHFA than one year to be ‘‘conditionally . . . contrast to pre-NPR captives, post-NPR is not implementing the proposed in compliance’’ with that requirement at captives must completely wind down ongoing asset ratio requirements at this the time of application, and grants the all business relationships with the time, the proposed provisions relating to institution ‘‘conditional membership Banks, including the full repayment of those requirements are not included in approval’’ until the institution reaches all outstanding advances, prior to or final § 1263.14. the one-year anniversary of its simultaneously with the termination of In the existing regulation, the term commencement of operations. At that membership. ‘‘de novo applicant’’ is defined in point, if the institution provides evidence acceptable to the Bank that it 2. Treatment of De Novo Insured § 1263.14(a) and is used throughout the holds at least 10 percent of its assets in Depository Institution Applicants— remainder of § 1263.14 to refer to an residential mortgage loans, it is deemed § 1263.14 insured depository institution that was chartered less than three years prior to to be ‘‘in compliance’’ with the ‘‘10 Section 1263.14 of the existing the date it applies for Bank membership. percent’’ requirement. If the institution membership regulation sets forth special As proposed, the final rule substitutes is unable to provide such evidence standards by which a Bank is to assess ‘‘de novo insured depository within that time frame, it is deemed to the compliance of a ‘‘de novo institution’’ for ‘‘de novo applicant’’ to be ‘‘in noncompliance’’ with the ‘‘10 applicant’’—i.e., an insured depository make clear that the time-limited percent’’ requirement, its ‘‘conditional institution chartered less than three exceptions for entities formed within membership approval is deemed null years prior to the date it applies for the preceding three years apply only to and void,’’ is terminated, and its Bank membership—with the insured depository institutions and not membership stock must be redeemed in membership eligibility requirements. It to insurance companies or non- accordance with § 1263.29. deems each de novo applicant to be in depository CDFIs. In addition, the rule The final rule revises the structure of compliance with the ‘‘duly organized,’’ moves that definition from § 1263.14(a) § 1263.14(c) (condensing it from five ‘‘subject to inspection and regulation,’’ to § 1263.1, where the definitions of paragraphs to three) and to its ‘‘financial condition,’’ and ‘‘character of other terms that are used in part 1263 nomenclature, but makes only one management’’ eligibility requirements are located. As is the case with the minor change to the substance of that and provides an alternative means for subsection. That substantive change is existing membership regulation, the such an applicant to meet the ‘‘makes reflected in final § 1263.14(c)(1). As final rule does not provide any special long-term home mortgage loans currently written, that paragraph standards for measuring the compliance requirement’’ if it cannot meet the appears to deem any de novo insured of recently formed insurance company general standard set forth in § 1263.9. depository institution applicant to or non-depository CDFI applicants with With respect to both the ‘‘10 percent’’ which it applies to be in mere the membership eligibility and ‘‘home financing policy’’ conditional compliance with the ‘‘10 requirements. requirements, it provides standards percent’’ requirement, without allowing While the final rule also revises the pursuant to which an applicant may be for the possibility (perhaps slight) that text of § 1263.14(a) to reflect the new ‘‘conditionally approved’’ for the applicant may be able to nomenclature, it retains the substance of membership at the time of application demonstrate that it is already in full the existing subsection by deeming each and then achieve full membership if compliance with that requirement as de novo insured depository institution additional criteria are met within a provided in § 1263.10. The final rule applicant to be in compliance with the certain timeframe. remedies this oversight by specifying, in Although the proposed rule would ‘‘duly organized,’’ ‘‘subject to inspection § 1263.14(c)(1), that the subsection have made no substantive changes to and regulation,’’ ‘‘financial condition,’’ applies to ‘‘a de novo insured the existing standards, it would have and ‘‘character of management’’ depository institution applicant that significantly revised the text of this eligibility requirements. This reflects commenced its initial business section (which would have been the fact that the chartering entity and operations less than one year before redesignated at § 1263.15) to provide the federal deposit insurer would have applying for Bank membership [that] is greater clarity, primarily with respect to evaluated those areas in connection subject to, but cannot yet meet, the 10 the standards for conditional approval with granting the charter and approving percent requirement . . . as provided in 91 and subsequent full membership. The the institution for deposit insurance. § 1263.10.’’ If an institution already proposed rule would, however, have Existing § 1263.14(b) allows a de novo complies with § 1263.10 at the time it added two new paragraphs to provide insured depository institution to satisfy applies for membership, it is not subject alternative standards by which a to the procedures set forth in 91 See 61 FR 42531, 42538 (Aug. 16, 1996) member that had been admitted as a de (discussing reasoning behind adoption of § 1263.14(c) under the final rule. With novo applicant could be deemed to streamlined requirements for de novo insured respect to applicants to which comply with the proposed ongoing asset depository institutions). § 1263.14(c) does apply, final

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§ 1263.14(c)(1) provides that a Bank been conditionally approved for to the regulator that approved the shall conditionally approve such an membership under § 1263.14(c)(1) or consolidation. applicant for membership if it meets all § 1263.14(d)(1) is subject to all other applicable requirements (which regulations applicable to members 4. Financial Condition of CDFIs and include the other membership eligibility generally, including those relating to Insurance Companies—§ 1263.16 requirements as modified for de novo stock purchase requirements and Existing § 1263.16 governs the insured depository institutions under advances or collateral, notwithstanding application of the ‘‘financial condition’’ this section). that its membership may be merely requirement to insurance company and Final § 1263.14(c)(2) provides that if conditional for some period of time. certain CDFI applicants. By regulation, an institution that was conditionally Final § 1263.14(e) also provides that if in order for such an institution to be approved for membership demonstrates an institution’s conditional membership to the satisfaction of its Bank that it approval becomes void as provided in eligible for membership its financial satisfies the ‘‘10 percent’’ requirement § 1263.14(c)(3) or § 1263.14(d)(3), then condition must be ‘‘such that advances 92 as provided under § 1263.10 within one the Bank must liquidate any outstanding may be safely made to it.’’ The Bank year after it begins its business indebtedness and redeem or repurchase Act applies this ‘‘financial condition’’ operations, its membership approval its capital stock as it would for any requirement only to certain insured shall become final—i.e., it shall be other terminated member under depository institutions,93 but both considered to be fully approved for § 1263.29. FHFA and the Finance Board have membership (unless it also remains applied this requirement by regulation subject to conditional approval under 3. Recently Consolidated Applicants— to all institutions, including insurance § 1263.14(d)). Conversely, final § 1263.15 companies, as a matter of safety and § 1263.14(c)(3) provides that if such an Section 1263.15 provides guidance to soundness.94 The final rule does not institution fails to demonstrate its full the Banks about how to assess a alter this approach. compliance with the ‘‘10 percent’’ membership application submitted by requirement within one year after it Under existing § 1263.16(a), an an institution that recently has insurance company applicant is deemed begins its business operations, its undergone a merger or other business conditional membership approval shall to meet the ‘‘financial condition’’ combination with another institution. requirement if the Bank determines, become void. The existing provision specifies the Existing § 1263.14(d) deems any de based on the information contained in manner in which the Banks must apply novo insured depository institution that the applicant’s most recent regulatory the ‘‘financial condition,’’ ‘‘home has not yet received its first CRA financial report, that it meets all of its financing policy,’’ ‘‘makes long-term performance evaluation to be in home mortgage loans,’’ and ‘‘10 minimum statutory and regulatory conditional compliance with the ‘‘home percent’’ requirements to such capital requirements and, in addition, financing policy’’ requirement if it applicants. The final rule makes meets all applicable capital standards provides a written justification numerous non-substantive revisions to established by the NAIC, regardless of acceptable to the Bank of how and why that section so as to provide greater whether those NAIC standards have its home financing credit policy and been adopted by the state in which the lending practices will meet the credit clarity, but makes no substantive changes. company is subject to regulation. As needs of its community. The existing proposed, the final rule carries forward regulation allows a Bank to With respect to the ‘‘financial those requirements, but also adds a new conditionally approve an applicant for condition’’ requirement, final provision that requires a Bank to review membership on this basis until it § 1263.15(a) requires a recently receives its first CRA evaluation. If the consolidated applicant that has not filed an insurance company applicant’s most institution receives a ‘‘Satisfactory’’ or consolidated financial reports with its recent audited financial statements and better rating on its first CRA evaluation, regulator for at least six quarters or three to determine that its financial condition it is deemed to be in full compliance calendar years to provide the Bank with is such that the Bank can safely make with the ‘‘home financing policy’’ whatever regulatory reports it has filed advances to it before that applicant may requirement and its membership as a consolidated institution, plus pro be deemed to meet the ‘‘financial approval shall become final (unless it forma financial statements for any condition’’ requirement. The final rule also remains subject to conditional quarters for which actual combined requires that the Bank make the latter approval under § 1263.14(c)). If it fails financial reports are not available. With determination based upon audited to achieve a ‘‘Satisfactory’’ rating on that respect to the ‘‘home financing policy’’ financial statements prepared in evaluation, it is considered to be out of requirement, final § 1263.15(b) requires accordance with generally accepted compliance (unless that presumption is a recently consolidated applicant that accounting principles (GAAP), if they rebutted as specified in the regulation) has not yet received its first CRA are available, but allows the use of and its conditional membership performance evaluation as a financial statements prepared in approval becomes void. The final rule consolidated entity to provide a written accordance with statutory accounting revises the structure and nomenclature justification acceptable to the Bank of principles if GAAP statements are not how and why its home financing credit of § 1263.14(d) that parallel the available. revisions made to § 1263.14(c), but policy and lending practices will meet makes no substantive changes to that the credit needs of its community. With subsection. respect to the ‘‘makes long-term home 92 12 CFR 1263.6(a)(4). The final rule adds a new subsection mortgage loans’’ and ‘‘10 percent’’ 93 See 12 U.S.C. 1424(a)(2)(B). (e) to § 1263.14 to consolidate existing requirements, final § 1263.15(c) allows a 94 See 58 FR 43522, 43531–34 (1993) (discussion requirements that apply to conditional recently consolidated applicant that has in SUPPLEMENTARY INFORMATION to Finance Board’s first post-FIRREA final rule on Bank Membership of membership approvals under not yet filed a regulatory financial report the agency’s decision to apply the requirements of subsections (c) and (d). Final as a consolidated entity to provide the section 4(a)(2)(B) of the Bank Act to insurance § 1263.14(e) provides that a de novo Bank instead with the pro forma companies, as well as insured depository insured depository institution that has financial statements that it had provided institutions).

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5. Determination of Appropriate District being domiciled in one state but executives, the locations of the offices for Bank Membership—§ 1263.18 conducting all business operations from from which it conducts business, and The Bank Act provides that an eligible a different state. As noted in the the locations from which its non- institution may become a member only SUPPLEMENTARY INFORMATION to the executive officers and employees carry of the Bank of the district in which the proposed rule, FHFA had previously out the institution’s business activities. institution’s ‘‘principal place of declined a request to allow the Banks to Lastly, the proposed rule included a business’’ (PPOB) is located, but does look solely to the state of domicile for separate provision for designating the not define that term.95 The existing an insurance company or the state of PPOB for those insurance companies membership regulation includes both a incorporation for a CDFI to identify the that maintain no physical business general provision for determining the PPOB, because that approach would presence in any state. As more location of an institution’s PPOB, as allow for the possibility of an institution insurance companies have become Bank well as an alternative provision that having its ‘‘principal’’ place of business members, FHFA has learned that certain allows an institution to request that the for membership purposes at a location insurance companies, such as those that Bank designate a different state for the from which it actually conducts no are part of a holding company, may not PPOB if certain requirements are met. business activities. Such an arrangement maintain any physical office premises of Under the general provision, the PPOB is not consistent with the statute. their own that might be designated as is deemed to be the state in which an To address these issues, FHFA first their PPOB. Moreover, such companies institution ‘‘maintains its home office proposed to amend the general PPOB may not have their own dedicated established as such in conformity with provision by adding a requirement that officers or employees, but instead may the laws under which the institution is an institution also must actually have joint employees or officers who are organized.’’ 96 The alternative provision conduct business activities from its primarily employed by a separate allows an institution to designate a home office location in order for the affiliated insurance company. Those different state as its PPOB if it meets a home office to be designated as the persons also may be situated at different three-part test for establishing that it has PPOB. The intent was to make clear that geographic locations, i.e., the locations a sufficient connection to that other a mere legal presence, such as a of the business offices of the affiliated state.97 statutory home office or a registered companies, rather than at one central agent’s office at which no business is location. Such companies also may a. Proposed PPOB Provisions conducted, is not sufficient by itself to contract with unaffiliated service The proposed rule would have constitute a company’s PPOB. FHFA providers to perform the services that redesignated § 1263.18 as § 1263.19, but was prompted to make this revision by ordinarily would be performed by a retained the basic structure of that learning of instances in which insurance company’s employees. For such section (while adding additional companies and CDFIs had sought to companies, where it is not possible to paragraphs, as noted below). That become members of the Bank whose identify a single physical location from section remains as § 1263.18 under the district included the state under whose which the insurance company can be final rule. In the discussion of the laws those entities had been domiciled said to actually conduct the substantive revisions to that section or incorporated, even though they predominant portion of its business below, the existing, proposed, and final conducted all of their business activities activities, the proposed rule would have provisions are all referred to as being elsewhere. allowed the Banks to designate the located in § 1263.18 in order to avoid FHFA also proposed to add a new insurance company’s state of domicile confusion. section that would be specific to as its PPOB. The proposed rule would have made insurance companies and CDFIs, which would apply only in those cases in b. Comment Letters on Proposed PPOB three substantive revisions to § 1263.18 Provisions that were intended to address how the which an institution could not satisfy Banks designate the PPOB for certain the general requirements for Approximately 80 comment letters insurance company and community determining its PPOB. Thus, the new addressed some aspect of these development financial institution provision would apply only to an proposed PPOB amendments. Many of (CDFI) members. As more insurance institution that did not have an actual the comment letters were substantively companies and CDFIs have become ‘‘home office’’ established under the identical and contended that using the Bank members, they have revealed laws of its chartering statute, or that had state of domicile or incorporation would shortcomings in the current regulation’s such a ‘‘home office’’ but did not be the most logical way to determine the application to some situations that these conduct business operations from that PPOB for CDFI and insurance company institutions can present that do not arise location, and that could not satisfy the members. They also noted that the with depository institutions, such as existing three-part test for designating existing three-part test for redesignating an alternative location for its PPOB. a member’s PPOB already provided an 95 12 U.S.C. 1424(b). An institution may, in the Under the proposed provision, a Bank adequate alternative means for members alternative, become a member of the Bank of an would be required to designate as the to designate a place other than the state adjoining district, if that is demanded by institution’s PPOB ‘‘the geographic of domicile or incorporation. These convenience and the Director of FHFA approves that arrangement. There is no record of this location from which the institution commenters also criticized creating a statutory alternative ever having been used. actually conducts the predominant separate PPOB provision for insurance 96 See 12 CFR 1263.18(b). portion of its business activities.’’ The company and CDFI members, saying 97 The regulation allows an institution to have a proposed rule further required that a that it would promote district shopping state other than the one in which it maintains its Bank make these PPOB determinations by such members and would create an home office designated as its PPOB, provided that: (i) at least 80 percent of the institution’s accounting based on the totality of the unfair advantage for insurance books, records, and ledgers are maintained in that circumstances related to a particular companies over depository institution state; (ii) a majority of the institution’s board of institution and using ‘‘objective factors’’ members. director and board committee meetings are held in for making the decision. The proposal Many other comment letters also that state; and (iii) a majority of the institution’s five highest paid officers have their places of included three examples of such urged FHFA to look solely to the state employment located in that state. See 12 CFR objective factors, which were the of domicile as the PPOB for insurance 1263.18(c). location of the institution’s senior companies. Their principal reasons

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included: the simplicity of the which would have required a Bank to cooperative nature of the Bank System. approach; it would allow Banks to focus identify ‘‘the geographic location from Because FHFA has defined the term only on the insurance laws of the states which the institution actually conducts ‘‘insurance company’’ to exclude in their districts; it would defer to state the predominant portion of its business captives and has required the regulators on what constitutes a ‘‘home activities.’’ The Banks recommended termination of membership for existing office’’; it would avoid the inconsistent that FHFA add specific metrics to that captives members, FHFA has not results that would likely occur if each provision that would provide clear addressed this issue in the final rule. Bank made its own decisions about guidance about what factors would c. Overview of Final PPOB Provisions what constituted the ‘‘predominant constitute ‘‘the predominant portion’’ of portion’’ of an institution’s business; a company’s business activities. In the final rule, FHFA has decided to and it would recognize the realities of Specifically, the Banks recommended adopt certain of the substantive the marketplace, in which the concept that the final rule allow the PPOB to be amendments largely as they were of large institutions having a single determined based on any two of the proposed, and to modify the other physical location from which they following factors: (1) The location of a provisions by incorporating the conduct their business is no longer the plurality of the institution’s employees; revisions recommended by the Banks. norm. (2) the location of the places of All of these provisions are to be applied Nine Banks submitted separate letters employment of a plurality of certain prospectively, and thus will not affect that were nearly identical in substance specified senior executives; or (3) the current members. In addition, FHFA is and generally opposed the revisions to location of the company’s largest office adopting as proposed clarifying the PPOB regulation. These letters also (as measured by number of employees). amendments to the ‘‘transfer of suggested certain revisions, one of Each of the Banks’ proposed metrics is membership’’ provisions of which FHFA has decided to incorporate similar to the more generally phrased § 1263.18(d)(1), which deals with into the final rule, as described below. ‘‘objective factors’’ that FHFA had transfers of membership from one Bank The Banks also favored using the state included as examples in the proposed to another. The proposed rule would of domicile as the PPOB for insurance rule, i.e., ‘‘the location from which the have revised this provision to make companies, urging FHFA to recognize institution’s senior officers direct, clear that it applies to instances where the central importance of the domicile control, and coordinate’’ an institution’s a member of one Bank either to the operation and regulation of any activities, the ‘‘locations of the offices redesignates or relocates its PPOB to a state located in another Bank district. A insurance company, and to defer to state from which the institution conducts its ‘‘redesignation’’ of a PPOB can occur if insurance regulators’ determination of business,’’ and ‘‘the location from which a member satisfies the three-part test set what constitutes an insurance its other officers and employees carry out in § 1263.18(c), which remains company’s ‘‘home office.’’ The Banks out the business activities.’’ As unchanged in the final rule. A further contended that principles of discussed below, FHFA is persuaded ‘‘relocation’’ of a member’s PPOB would safety and soundness favor using the that the final rule would be improved by occur if it were to physically relocate its state of domicile, as that would avoid the addition of the specific metrics home office, as identified in its charter, requiring each Bank to become familiar suggested by the Banks and has to another state, such as in connection with the insurance regulators and laws incorporated them into the final rule. for states outside of its district. A with a corporate reorganization, merger, number of commenters other than the All of the Banks that submitted or acquisition, and continued to Banks also raised these same points in similar comment letters also supported conduct business from that new favor of using the state of domicile as the third substantive revision in the location. This revision is intended to the PPOB. proposed rule, which would have reflect the two methods by which The Banks recommended substantive allowed the Banks to designate the state transfers of membership can occur— revisions to the proposed rule. For the of domicile as the PPOB for any which had previously not been general PPOB provision—which would insurance company that maintains no described by the regulation—and is allow the home office to be designated physical offices of its own and has no related to revisions made to § 1263.4(b), as the PPOB only if the institution also employees of its own (i.e., they are regarding ‘‘automatic membership’’ that conducted some ‘‘business operations’’ shared with other affiliates or the can occur as a result of such changes in from that office—the Banks employee functions are performed by a member’s principal place of business. recommended that FHFA specify what contractors), or whose executives may No commenters opposed these revisions activities would constitute ‘‘business be situated at multiple locations. In to § 1263.18(d)(1). operations.’’ Specifically, the Banks addition to the matters discussed above, d. General PPOB/Home Office Test asked that FHFA define the term all of the Banks submitted supplemental ‘‘business operations’’ to include an comment letters in July 2015 that The final rule adopts the amendment institution having any business, expressed their views on how to to the general PPOB provision, operations, or sales office in the determine the PPOB for a captive § 1263.18(b), as it was proposed. Thus, domiciliary state, having any officer’s insurance company. Certain Banks the general approach for designating the place of employment located in the favored using the state of domicile for PPOB for any member is to identify the domiciliary state, or conducting any captives, while others favored other state within which the institution business in the domiciliary state, approaches, such as the location of the maintains its home office, as the home including the sale of insurance policies. parent company or the location of any office is established in accordance with The Banks contended that the addition affiliated company that is already a the laws under which the institution is of such requirements would ensure that member of a Bank. Several of the Banks organized, and to confirm that the an institution had more than a ‘‘mere expressed concerns that allowing institution also conducts business legal presence’’ in its domiciliary state. captives to use the state of domicile as operations from that office. As noted The Banks recommended similar their PPOB would encourage ‘‘district previously, as increasing numbers of revisions to the provision that would shopping’’ among the Banks by the insurance companies and CDFIs have have applied solely to certain insurance parent companies of prospective captive become members, FHFA has learned companies and CDFI members, and members, which could undermine the that it is possible for them to conduct all

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of their business activities in states company applicants because, as was ever considered the concept of an other than those under whose laws they pointed out by some commenters, most insurance company’s domicile when are domiciled or incorporated. insurance companies in fact conduct they adopted this language. The current Moreover, although the law of most some or all of their business operations language appears to date to 1958, when states may require an insurance from offices located within their state of the FHLBB adopted a definition of company to maintain a ‘‘home office’’ domicile, and because the final rule ‘‘principal office’’ as part of its within the domicile state, FHFA is also includes a new provision, § 1263.18(f), regulations that applied to savings aware of instances in which the that specifically addresses insurance associations that were insured by the statutory ‘‘home office’’ claimed to be companies and CDFIs that cannot satisfy Federal Savings and Loan Insurance the PPOB for membership purposes has the general PPOB provision. Corporation (FSLIC). The 1981 been nothing more than the address of A significant number of commenters regulations of the FSLIC defined an in-state registered agent, such as a urged FHFA not to amend § 1263.18(b) ‘‘principal office’’ in much the same law firm, whose sole function may be to and to ‘‘retain’’ what they believed to be way as FHFA currently defines accept service of process on behalf of its current regulatory approach, which ‘‘principal place of business,’’ 100 but the the insurance company. FHFA has they characterized as a ‘‘state of context makes clear that the term could received inquiries from the Banks about domicile’’ test for insurance companies. not have applied to insurance how to determine the PPOB for such Neither FHFA nor any of its predecessor companies because it appeared within institutions, and is aware of instances in agencies has ever adopted a regulation the regulations of the FSLIC, which which Banks have agreed between that established a state of domicile applied only to federally insured themselves that in such cases the approach for insurance companies or savings and loan associations.101 appropriate Bank for membership that otherwise specifically addressed Through the more recent revisions to purposes is the Bank from whose insurance companies. The most likely the membership regulations, neither district the insurance company or CDFI reason is that the Bank System FHFA nor the Finance Board has ever actually conducts its business regulators had not previously seen any addressed whether it intended the term operations, not the state of domicile. need to address those issues because to be synonymous with an insurance insurance companies have, until As noted in the proposed rule, FHFA company’s state of domicile or a CDFI’s relatively recently, been a very small believes that the term ‘‘principal place state of incorporation. Moreover, portion of the membership base. although certain commenters contended of business’’ must be read to require that Although the Bank Act has authorized some material amount of business that the Agency has used a ‘‘state of insurance companies to become domicile’’ test for insurance companies, activities be conducted at that location, members since 1932, only in recent and that a mere legal presence—such as the fact is that some Banks currently years has the number of insurance have as members insurance companies being domiciled or incorporated under companies grown significantly. For the laws of a particular state, without that are domiciled outside of the Bank’s example, as recently as 1996, the Bank district. That suggests that even the more—is not sufficient to establish an System had no more than 31 insurance institution’s PPOB. Accordingly, in Banks have not viewed FHFA’s company members, out of a total regulations as mandating the use of the order to be consistent with Section 4(b) membership base of 6,146.98 By the end of the Bank Act, FHFA believes that it state of domicile for making PPOB of 2014, the number of insurance determinations. must amend the existing ‘‘home office’’ company members had grown to 304, provision to address the above- out of 7,367 total members.99 Also, 100 described situations by requiring that FHFA has become aware of the need to See 12 CFR 561.7 (1981). That provision the institution also conduct some defined ‘‘principal office’’ to mean ‘‘the home office provide more specific guidance for of an institution established as such in conformity business operations from its home office identifying the PPOB for insurance with the laws under which the insured institution in order for that home office to be companies and to first consider whether is organized.’’ The term ‘‘insured institution’’ was designated as its PPOB. The final rule the state of domicile, by itself, is defined to mean a savings and loan association the retains the requirement of the existing deposits of which were insured by the FSLIC. 12 sufficient under the statute to constitute CFR 561.1 (1981). The 1981 Code of Federal rule, which requires that the ‘‘home an insurance company’s PPOB. Regulation citation indicates that that definition of office’’ be established as such under Moreover, although the language of ‘‘principal office’’ was adopted as part of the FSLIC state law. FHFA has not accepted the the current regulation, which refers to regulations in 1958 and had not subsequently been Banks’ suggested revisions to this the ‘‘home office established as such in amended. 101 The definition of ‘‘principal office’’ at 12 CFR paragraph—which would specify conformity with the laws under which 561.7 (1981) was located within definitional certain activities that could constitute the institution is organized,’’ could sections of the regulations of the FSLIC, which conducting business operations from the arguably be read as tantamount to a applied only to federally insured savings and loan home office—principally because the ‘‘state of domicile’’ test, neither FHFA associations. Thus, there would have been no reason for the FSLIC to have considered anything examples provided were too attenuated nor its predecessors has ever adopted having to do with insurance companies because to be consistent with FHFA’s concept of that interpretation. Indeed, the history they were not eligible for FSLIC insurance. The a ‘‘principal’’ place of business. The of this regulation indicates that it is FHLBB did have separate regulations in 1981 amendment made by the final rule unlikely that the predecessor agencies governing the Bank System, but those regulations did not define ‘‘principal office’’ or ‘‘principal place should have no effect on depository of business.’’ It was not until 1987 that the FHLBB institution applicants. The charters for 98 See Federal Home Loan Bank System, 1996 incorporated this long-standing FSLIC definition of depository institutions typically Financial Report at 10–11. ‘‘principal office’’ into its membership regulations, designate a location within a state as the 99 See Federal Home Loan Banks, 2014 Combined which it did by cross-referencing the FSLIC Financial Report at 32. The same was true in the definition. See 12 CFR 523.3–2 (1988) (PPOB for institution’s ‘‘home office,’’ which early years of the Bank System, as the annual membership purposes is the state in which an location also will be a branch office at reports for the Federal Home Loan Bank Board institution maintains its ‘‘principal office’’ as which the institution conducts some indicate that: as of June 30, 1935, there were three defined in 12 CFR 561.7). In 1993, the Finance portion of its lending and deposit taking insurance companies among 3,324 total members; Board eliminated the cross-reference and provided as of June 30, 1937, there were twelve insurance that for membership purposes an institution’s PPOB business, which is sufficient to meet the companies among 3,886 total members; and as of is the state in which it maintains its home office, new standard. The amendment also December 31, 1952 there were five insurance established as such under the laws under which the should not adversely affect insurance companies among 4,056 total members. institution is organized. See 12 CFR 933.5(b) (1994).

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The comment letters also raised other doing so would allow the Banks to different conclusions as to what facts reasons for using a state of domicile concentrate their resources on the constitute the predominant portion of a approach, which include: (1) The belief insurance laws and insurance regulators company’s business activities. As noted that a separate PPOB provision for for the states in their own districts. They previously, the Banks recommended insurance companies would be unfair to have also contended that requiring them adding specific metrics to this depository institution members; (2) the to develop such knowledge and provision, which FHFA agrees would need to recognize the primacy of state relationships with the insurance make the final rule clearer and easier to law with regard to matters of insurance regulators of other states would impose administer. Accordingly, FHFA has company regulation; and (3) the belief a significant burden. While FHFA incorporated the Banks’ suggested that Banks should not be required to acknowledges that developing a level of revisions into the final rule. become familiar with the insurance laws expertise about the insurance laws of In the final rule, FHFA has modified for states outside of their districts. any state and developing a relationship proposed § 1263.18(f) in two respects, FHFA does not believe that any of those with the state insurance commissioners by adding language based on the arguments are sufficient to overcome the does require a commitment of time and comment letters from the Banks, and by Bank Act’s requirement of more than a resources, it does not believe that doing replacing the proposed language that mere legal presence to constitute an so would constitute an undue burden had dealt with insurance companies institution’s ‘‘principal’’ place of for any Bank. As noted previously, some that maintain no physical offices of their business. As to the unfairness issue, Banks already have insurance company own. Subsection (f) addresses only those FHFA reiterates that it has adopted the members that are domiciled in states insurance companies and CDFIs for amendments to address a specific outside of their districts. FHFA is not which a Bank cannot designate the concern—i.e., the possibility that aware of any difficulties arising at those PPOB under the general provision of insurance companies and CDFIs can Banks from the fact that the state of § 1263.18(b) or the existing three-part conduct business entirely outside of the domicile is outside of the Banks’ test of § 1263.18(c). The final rule state in which they are domiciled or districts. Indeed, FHFA has been told in retains the core concept of the proposed incorporated, that is not presented by at least one instance that Bank staff was rule, which requires the Banks to depository institutions. Adopting a fully committed to developing the same designate as the PPOB for these regulation that addresses specific level of expertise and communication institutions the geographic location situations that are unique to insurance regarding insurance company members from which the institutions actually companies and CDFIs is a proper domiciled outside of their district as conduct the predominant portion of exercise of FHFA’s regulatory authority they had done for those domiciled their business activities. and does not confer any advantage on within the district. To address the concerns of the insurance company or CDFI members. As to the concern about not e. PPOB for Certain Insurance commenters, FHFA has deleted the recognizing the primacy of state law on Companies and CDFIs language of the proposal that would matters relating to the regulation of As proposed, § 1263.18(f) included have required the Banks to make these insurance companies, FHFA notes that two separate components—one dealing determinations based on the totality of the final rule does not purport to with certain CDFIs and insurance the circumstances and objective factors. regulate in any way the operation of companies, and one dealing with In place of that language FHFA has insurance companies. Rather, it insurance companies lacking any added new language that closely follows implements a provision of the Bank Act, distinct physical presence. The first the language recommended by the the interpretation of which Congress has provision would have established a Banks. FHFA agrees that the three vested solely in FHFA. The fact that a separate PPOB standard for insurance factors recommended by the Banks will state insurance regulator may deem a companies and CDFIs for which the provide a reasonable proxy for simple legal presence to be sufficient to Banks could not determine the PPOB ascertaining the location from which an constitute an institution’s ‘‘home office’’ under either the general provision of institution can be said to conduct the for purposes of the state insurance code § 1263.18(b) (either because they lack a predominant portion of its business. does not mean that FHFA must construe home office designated as such under Thus, the final rule will allow the Banks the Bank Act in the same manner or that state law or did not conduct business to deem an institution to conduct the FHFA must defer to the interpretations from their home office) or the predominant portion of its business in of fifty different state insurance alternative three-part test provision of the state in which any two of three commissioners on that point. At its core, § 1263.18(c). For those institutions, the specified factors are present. The three the final rule simply indicates the Bank proposed rule would have required the factors are: (i) The state in which the to which an insurance company may Banks to determine the geographic institution’s largest office (as measured apply for membership; it does not in location from which the institutions by the number of employees) is located; any way interfere with the ability of a actually conduct the predominant (ii) the state in which a plurality of the state insurance regulator to oversee the portion of their business activities, institution’s employees are located; and operations of the insurance companies using ‘‘objective factors’’ to make that (iii) the state in which a plurality of the domiciled in its state. determination. The proposal included institution’s senior executives are A number of the comment letters three examples of such objective factors. located. In the event that there is an noted that FHFA has issued guidance The second provision would have institution for which this test does not stressing the importance of the Banks required the Banks to designate the state work because each of the three factors understanding the laws under which of domicile as the PPOB for an would identify a different state, then the their insurance company members are insurance company that did not have a Bank would be required to analyze the chartered and developing relationships physical presence in any state. matter under the general standard of with the state insurance regulators. The Banks and others criticized the paragraph (f)(1), meaning that it should These commenters also have reasoned first provision, contending that the term look to these and other factors of the that it would be most consistent with ‘‘predominant portion of its business Bank’s choosing to determine from that guidance for FHFA to adopt a state activities’’ was too vague and would which of those three possible states the of domicile PPOB standard because result in different Banks reaching institution actually conducts the

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predominant portion of its business situation that it was designed to address Act capital stock. The final rule retains activities. is now adequately covered under the the substance of the remaining FHFA expects that there will be very revised provisions of the final rule, as provisions of existing subpart D, few instances in which an institution described immediately above, which although those provisions have been would be unable to use this test, but allow for the state of domicile to be reorganized to reflect the GLB Act because it is possible that each of these designated as the PPOB if the Bank capital provisions more explicitly. factors may point to a different state cannot use the two-factor test or As proposed, § 1263.20(a) of the final FHFA has decided to retain the general otherwise identify a particular rule provides that an institution ‘‘predominant portion of its business geographic location from which the becomes a member only upon the activities’’ standard in the final rule to predominant portion of the business is purchase of the amount of membership address such possibilities. The final rule conducted. Thus, under this provision stock required under the Bank’s capital adds new language, located in an insurance company that neither plan. This further requires an approved paragraph (f)(3) providing that if a Bank owns nor rents office space in its own applicant to purchase the required stock determines that it is unable to determine name can use its state of domicile as its within 60 days, or else its membership from which of those geographic PPOB so long as a plurality of its approval becomes void. This carries locations the institution actually employees and a plurality of its senior over much of the substance of existing conducts the predominant portion of its executives are not located in the same provisions that now appear, business, then it shall designate the state. respectively, in paragraphs (a)(2) and (d) state of domicile as the PPOB. In The final rule also has relocated into of existing § 1263.20. considering the number of employees a new § 1263.18(g) language from the Final § 1263.20(b) requires a Bank to and senior executives for a particular proposed rule pertaining to the Banks’ issue its capital stock to a new member insurance company or CDFI subject to recordkeeping obligations with respect only after it has approved the institution this paragraph, the Banks should to their designation of their members’ for membership and received payment consider all such persons, regardless of PPOBs. The substance of this provision in full for the par value of the Bank whether those persons may also serve as is unchanged from the proposed rule. stock. This replaces a similar provision, joint employees or senior executives for The final rule also carries over without which had appeared in § 1263.21(a) of affiliated companies. For purposes of substantive change the amendments to the existing regulation. Section this provision, the term ‘‘senior § 1263.18(d), pertaining to transfers of 1263.20(c) of the final rule carries over executives’’ is defined to include all Bank membership resulting from the the substance of existing § 1263.20(e), officers at or above the level of senior relocation or redesignation of an and requires that each Bank report to vice president, and the final rule institution’s PPOB. FHFA information regarding each new includes a non-exclusive list of member’s minimum investment in Bank examples of titles of the positions that D. Bank Stock Requirements— capital stock, in accordance with the would qualify as senior executives for §§ 1263.20–1263.23 instructions provided in FHFA’s Data this purpose. Subpart D of part 1263 currently sets Reporting Manual. forth certain requirements regarding the The final rule also retains the f. PPOB for Insurance Companies With purchase and disposition of Bank stock. substance of existing § 1263.22(b)(1), No Physical Offices As proposed, the final rule repeals which requires each Bank to calculate The proposed rule included one several provisions within this subpart annually each member’s required provision that dealt with insurance that relate to the purchase and minimum stock holdings for purposes of companies that have no physical offices disposition of Bank stock in accordance determining the number of votes that of their own—i.e., they neither own nor with the law in effect prior to the the member may cast in that year’s rent any office space. That provision enactment of the Financial Services election of directors, and sets forth the would have permitted a Bank to Modernization Act of 1999 102 procedures and timing that each Bank designate the state of domicile as the (hereinafter, the ‘‘GLB Act’’). Among must follow with regard to that PPOB for such insurance companies, other things, the GLB Act amended the calculation. That material is carried over provided that the insurance company Bank Act to require each Bank to with some minor textual edits to also had no employees of its own or establish and operate under its own provide greater clarity, as the sole whose senior officers are situated at capital structure plan.103 The provisions provision of proposed § 1263.22. multiple locations. The intent of this being repealed no longer have any effect Existing § 1263.23, which governs provision was to address situations that because all of the Banks are now excess Bank stock, is retained without some Banks have brought to FHFA’s operating under GLB Act capital plans. change. attention in the case of insurance The provisions being repealed are: (1) company applicants that are part of a E. Withdrawal, Termination, and § 1263.19, which generally requires Readmission—§§ 1263.24–1263.30 holding company structure and that use Bank capital stock to be sold at par employees and executives of their (because this requirement is now As proposed, the final rule affiliated insurance companies as joint addressed in FHFA’s regulations implements a non-substantive structural employees, or that use third party governing Bank capital); (2) portions of change to part 1263 by consolidating service providers to perform the services § 1263.20 that relate to the pre-GLB Act sections that are currently dispersed that otherwise would be performed by subscription capital requirements; (3) among subparts E through H into an institution’s own employees. Most of § 1263.21, pertaining to the issuance subpart E. the Banks supported this amendment and form of Bank stock, primarily under Existing § 1263.24 governs the effects and no commenters affirmatively the pre-GLB Act regime; and (4) that a merger or other consolidation of opposed it, except to the extent that it portions of § 1261.22 relating to the members has on their membership was thought that it could be used by redemption of excess shares of pre-GLB status. The final rule would retain captives to ‘‘district shop’’ among the nearly all of the existing text of that Banks. 102 Pub. L. 106–102, sec. 608, 113 Stat. 1338, section without change, but would In the final rule, however, FHFA has 1458–61 (Nov. 12, 1999). revise § 1263.24(b)(5) to remove removed this provision because the 103 See 12 U.S.C. 1426. references to Banks that have not yet

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converted to a GLB Act capital several liability on consolidated Such an analysis need not be structure. The final rule also deletes obligations.105 The Director also may undertaken if the agency has certified existing § 1263.24(d), which addresses consider any other differences that are that the regulation will not have a FHFA approval for transfers of Bank deemed appropriate. In preparing this significant economic impact on a stock that occur in a merger of members, final rule, the Director considered the substantial number of small entities.109 because it too implements a provision of differences between the Banks and the FHFA has considered the impact of the the Bank Act that was repealed by the Enterprises as they relate to the above final rule under the RFA. The General GLB Act. factors, and determined that the rule is Counsel of FHFA certifies that the final Section 1263.26 of the existing appropriate. rule is not likely to have a significant regulation governs voluntary economic impact on a substantial V. Paperwork Reduction Act withdrawal from Bank membership. number of small entities because the Paragraph (d) of that section The Paperwork Reduction Act of 1995 regulation applies only to the Banks, conditioned the ability of a member to (PRA) requires that FHFA consider the which are not small entities for withdraw on FHFA having certified that impact of paperwork and other purposes of the RFA. the withdrawal will not cause the Bank information collection burdens imposed system to fail to contribute the amounts on the public.106 Under the PRA and the List of Subjects in 12 CFR Part 1263 required to fund the interest payments implementing regulations of the Office Federal home loan banks, Reporting owed on obligations issued by the of Management and Budget (OMB), an and recordkeeping requirements. Resolution Funding Corporation agency may not collect or sponsor the (REFCorp).104 Because the Banks collection of information, nor may it Authority and Issuance satisfied their obligation to contribute to impose an information collection For the reasons stated in the the debt service on the REFCorp bonds requirement unless it displays a SUPPLEMENTARY INFORMATION, FHFA as of July 2011, this provision has currently valid control number assigned revises 12 CFR part 1263 to read as become moot. The final rule deletes that by OMB.107 FHFA’s regulation follows: provision but leaves the remainder of ‘‘Members of the Federal Home Loan § 1263.26 unchanged. Banks,’’ located at 12 CFR part 1263, PART 1263—MEMBERS OF THE Section 1263.27 of the existing contains several collections of BANKS regulation establishes the grounds and information that OMB has approved Subpart A—Definitions procedures for the involuntary under control number 2590–0003, termination of an institution’s Bank which is due to expire on December 31, Sec. membership, as well as the rights of an 2016. 1263.1 Definitions. institution whose membership is The proposed rule would have added Subpart B—Membership Application terminated. The final rule retains that a new collection of information to part Process section without change. 1263 related to the proposal to require 1263.2 Membership application F. Other Membership Provisions— an institution to hold at least one requirements. §§ 1263.31–1263.32 percent of its assets in ‘‘home mortgage 1263.3 Decision on application. loans’’ in order to satisfy the statutory 1263.4 Automatic membership. As proposed, the final rule ‘‘makes long-term home mortgage 1263.5 Appeals. consolidates sections of part 1263 that loans’’ and to require members to meet Subpart C—Eligibility Requirements are currently contained in subparts I both that one percent requirement and 1263.6 General eligibility requirements. and J—§§ 1263.31 and 1263.32—into the statutory ‘‘10 percent’’ requirement subpart F. The final rule retains these 1263.7 Duly organized requirement. (where applicable) on an ongoing basis 1263.8 Subject to inspection and regulation remaining provisions of the existing as a condition of remaining a Bank requirement. membership regulation without change, member. Because these changes are not 1263.9 Makes long-term home mortgage except that the cross-reference to being implemented in the final rule, loans requirement. § 1263.22(b)(1) found in § 1263.31(d) there will be no new collection of 1263.10 Ten percent requirement for certain (which requires each member to provide information under part 1263; in insured depository institution its Bank annually with the data addition, the existing collections under applicants. necessary to calculate its minimum 1263.11 Financial condition requirement part 1263 will remain the same as those for depository institutions and CDFI required holdings of Bank stock) would that have been approved by OMB under be revised to reflect its redesignation as credit unions. the existing clearance. Therefore, FHFA 1263.12 Character of management § 1263.22. has withdrawn its request to OMB to requirement. IV. Consideration of Differences approve a revision to control number 1263.13 Home financing policy Between the Banks and the Enterprises 2590–0003. requirement. 1263.14 De novo insured depository Section 1313(f) of the Safety and VI. Regulatory Flexibility Act institution applicants. Soundness Act requires the Director of The Regulatory Flexibility Act 108 1263.15 Recently consolidated applicants. FHFA, when promulgating regulations (RFA) requires that a regulation that has 1263.16 Financial condition requirement relating to the Banks, to consider the a significant economic impact on a for insurance company and certain CDFI differences between the Banks and the applicants. substantial number of small entities, 1263.17 Rebuttable presumptions. Enterprises (Fannie Mae and Freddie small businesses, or small organizations Mac) as they relate to: The Banks’ 1263.18 Determination of appropriate Bank must include an initial regulatory district for membership. cooperative ownership structure; the flexibility analysis describing the Subpart D—Stock Requirements mission of providing liquidity to regulation’s impact on small entities. members; the affordable housing and 1263.19 [Reserved] community development mission; their 105 12 U.S.C. 4513(f). 1263.20 Stock purchase. capital structure; and their joint and 106 See 44 U.S.C. 3507(a) and (d). 1263.21 [Reserved] 107 See 44 U.S.C. 3512(a); 5 CFR 1320.8(b)(3)(vi). 104 See 12 U.S.C. 1441b(f)(2)(C). 108 5 U.S.C. 601, et seq. 109 See 5 U.S.C. 605(b).

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1263.22 Annual calculation of stock mortgage loans, home-purchase bank or savings association, or a credit holdings. contracts and similar obligations. union insured under the Federal Credit 1263.23 Excess stock. Allowance for loan and lease losses Union Act (12 U.S.C. 1751 et seq.). Subpart E—Withdrawal, Termination, and means a specified balance-sheet account Community financial institution or Readmission held to fund potential losses on loans or CFI means an institution: 1263.24 Consolidations involving members. leases, which is reported on a regulatory (1) The deposits of which are insured 1263.25 [Reserved] financial report. under the Federal Deposit Insurance Act 1263.26 Voluntary withdrawal from Appropriate regulator means: (12 U.S.C. 1811 et seq.); and membership. (1) In the case of an insured (2) The total assets of which, as of the 1263.27 Involuntary termination of depository institution or a CDFI credit date of a particular transaction, are less membership. union, an appropriate Federal banking than the CFI asset cap, with total assets 1263.28 [Reserved] agency or appropriate State regulator, as being calculated as an average of total 1263.29 Disposition of claims. applicable; or assets over three years, with such 1263.30 Readmission to membership. (2) In the case of an insurance average being based on the institution’s Subpart F—Other Membership Provisions company, an appropriate State regulator regulatory financial reports filed with its 1263.31 Reports and examinations. accredited by the NAIC. appropriate regulator for the most recent 1263.32 Official membership insignia. Captive means an entity that holds an calendar quarter and the immediately insurance license or charter under the preceding 11 calendar quarters. Authority: 12 U.S.C. 1422, 1423, 1424, laws of a State, but that does not meet Composite regulatory examination 1426, 1430, 1442, 4511, 4513. the definition of ‘‘insurance company’’ rating means a composite rating Subpart A—Definitions set forth in this section or fall within assigned to an institution following the any other category of institution that guidelines of the Uniform Financial § 1263.1 Definitions. may be eligible for membership. Institutions Rating System (issued by For purposes of this part: CDFI credit union means a State- the Federal Financial Institutions Adjusted net income means net chartered credit union that has been Examination Council), including a income, excluding extraordinary items certified as a CDFI by the CDFI Fund CAMELS rating or other similar rating, such as income received from, or and that does not have federal share contained in a written regulatory expense incurred in, sales of securities insurance. examination report. or fixed assets, reported on a regulatory CDFI Fund means the Community Consolidation means a combination of financial report. Development Financial Institutions two or more business entities, and Affiliate means any entity that Fund established under section 104(a) includes a consolidation of two or more controls, is controlled by, or is under of the Community Development entities into a new entity, a merger of common control with another entity. Banking and Financial Institutions Act one or more entities into another entity, For purposes of this definition, one of 1994 (12 U.S.C. 4703(a)). or a purchase of substantially all of the entity controls another if it: CFI asset cap means $1 billion, as assets and assumption of substantially adjusted annually by FHFA, beginning (1) Directly or indirectly, or acting all of the liabilities of an entity by in 2009, to reflect any percentage through one or more other persons, another entity. increase in the preceding year’s owns, controls, or has the power to vote CRA means the Community Consumer Price Index (CPI) for all urban twenty-five (25) percent or more of the Reinvestment Act of 1977 (12 U.S.C. consumers, as published by the U.S. outstanding shares of any class of voting 2901 et seq.). Department of Labor. CRA performance evaluation means, securities of the other entity, including Class A stock means capital stock unless otherwise specified, a formal shares of common or preferred stock, issued by a Bank, including subclasses, performance evaluation of an institution general or limited partnership shares or that has the characteristics specified in prepared by its appropriate regulator as interests, or similar interests that entitle section 6(a)(4)(A)(i) of the Bank Act (12 required by the CRA or, if such a formal the holder: U.S.C. 1426(a)(4)(A)(i)) and applicable evaluation is unavailable for a particular (i) To vote for or to select directors, FHFA regulations. institution, an informal or preliminary trustees, or partners (or individuals Class B stock means capital stock evaluation. exercising similar functions) of that issued by a Bank, including subclasses, De novo insured depository institution entity; or that has the characteristics specified in means an insured depository institution (ii) To vote on or to direct the conduct section 6(a)(4)(A)(ii) of the Bank Act (12 with a charter approved by its of the operations or other significant U.S.C. 1426(a)(4)(A)(ii)) and applicable appropriate regulator within the three policies of that entity; FHFA regulations. years prior to the date the institution (2) Controls in any manner the Combination business or farm applies for Bank membership. election of a majority of the directors, property means real property for which Dwelling unit means a single room or trustees, or general partners (or the total appraised value is attributable a unified combination of rooms individuals exercising similar functions) to residential, and business or farm designed for residential use. of the other entity; or uses. Enforcement action means any (3) Otherwise has the power to Community development financial written notice, directive, order, or exercise, directly or indirectly, a institution or CDFI means an institution agreement initiated by an applicant for controlling influence over the that is certified as a community Bank membership or by its appropriate management or policies of the other development financial institution by the regulator to address any operational, entity through a management CDFI Fund under the Community financial, managerial, or other agreement, common directors or Development Banking and Financial deficiencies of the applicant identified management officials, or by any other Institutions Act of 1994 (12 U.S.C. 4701 by such regulator. An ‘‘enforcement means. et seq.), other than a bank or savings action’’ does not include a board of Aggregate unpaid loan principal association insured under the Federal directors’ resolution adopted by the means the aggregate unpaid principal of Deposit Insurance Act (12 U.S.C. 1811 et applicant in response to examination a subscriber’s or member’s home seq.), a holding company for such a weaknesses identified by such regulator.

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Funded residential construction loan Multifamily property means: Other real estate owned means all means the portion of a loan secured by (1) Real property that is solely other real estate owned (i.e., foreclosed real property made to finance the on-site residential and includes five or more and repossessed real estate), reported on construction of dwelling units on one- dwelling units; a regulatory financial report, and does to-four family property or multifamily (2) Real property that includes five or not include direct and indirect property disbursed to the borrower. more dwelling units combined with investments in real estate ventures. Gross revenues means, in the case of commercial units, provided that the Regulatory examination report means a CDFI applicant, total revenues property is primarily residential; or a written report of examination received from all sources, including (3) Nursing homes, dormitories, or prepared by the applicant’s appropriate grants and other donor contributions homes for the elderly. regulator, containing, in the case of and earnings from operations. NAIC means the National Association insured depository institution Home mortgage loan means: of Insurance Commissioners. applicants, a composite rating assigned (1) A loan, whether or not fully Nonperforming loans and leases to the institution following the amortizing, or an interest in such a loan, means the sum of the following, guidelines of the Uniform Financial which is secured by a mortgage, deed of reported on a regulatory financial Institutions Rating System, including a trust, or other security agreement that report: CAMELS rating or other similar rating. creates a first lien on one of the (1) Loans and leases that have been Regulatory financial report means a following interests in property: past due for 90 days (60 days, in the financial report that an applicant is (i) One-to-four family property or case of credit union applicants) or required to file with its appropriate multifamily property, in fee simple; longer but are still accruing; regulator on a specific periodic basis, (ii) A leasehold on one-to-four family (2) Loans and leases on a nonaccrual including the quarterly call report for property or multifamily property under basis; and commercial banks and savings a lease of not less than 99 years that is (3) Restructured loans and leases (not associations, quarterly or semi-annual renewable, or under a lease having a already reported as nonperforming). call report for credit unions, NAIC’s period of not less than 50 years to run Nonresidential real property means annual or quarterly statement for from the date the mortgage was real property that is not used for insurance companies, or other similar executed; or residential purposes, including business report, including such report (iii) Combination business or farm or industrial property, hotels, motels, maintained by the appropriate regulator property where at least fifty (50) percent churches, hospitals, educational and in an electronic database. of the total appraised value of the charitable institution buildings or Residential mortgage loan means any combined property is attributable to the facilities, clubs, lodges, association one of the following types of loans, residential portion of the property, or in buildings, golf courses, recreational whether or not fully amortizing: the case of any community financial facilities, farm property not containing a (1) A home mortgage loan; institution, combination business or dwelling unit, or similar types of (2) A funded residential construction farm property, on which is located a property. loan; permanent structure actually used as a One-to-four family property means: (3) A loan secured by manufactured residence (other than for temporary or (1) Real property that is solely housing whether or not defined by State seasonal housing), where the residence residential, including one-to-four family law as secured by an interest in real constitutes an integral part of the dwelling units or more than four family property; property; or dwelling units if each dwelling unit is (4) A loan secured by a junior lien on (2) A security representing: separated from the other dwelling units one-to-four family property or (i) A right to receive a portion of the by dividing walls that extend from multifamily property; cash flows from a pool of long-term ground to roof, such as row houses, (5) A security representing: loans, provided that, at the time of townhouses, or similar types of (i) A right to receive a portion of the issuance of the security, all of the loans property; cash flows from a pool of loans, meet the requirements of paragraph (1) (2) Manufactured housing if provided that, at the time of issuance of of this definition; or applicable State law defines the the security, all of the loans meet the (ii) An interest in other securities, all purchase or holding of manufactured requirements of one of paragraphs (1) of which meet the requirements of housing as the purchase or holding of through (4) of this definition; or paragraph (2)(i) of this definition. real property; (ii) An interest in other securities that Insurance company means an entity (3) Individual condominium dwelling meet the requirements of paragraph that holds an insurance license or units or interests in individual (5)(i) of this definition; charter under the laws of a State and cooperative housing dwelling units that (6) A home mortgage loan secured by whose primary business is the are part of a condominium or a leasehold interest, as defined in underwriting of insurance for persons or cooperative building without regard to paragraph (1)(ii) of the definition of entities that are not its affiliates. the number of total dwelling units ‘‘home mortgage loan,’’ except that the Insured depository institution means therein; or period of the lease term may be for any an insured depository institution as (4) Real property which includes one- duration; or defined in section 2(9) of the Bank Act, to-four family dwelling units combined (7) A loan that finances one or more as amended (12 U.S.C. 1422(9)). with commercial units, provided the properties or activities that, if made by Long-term means a term to maturity of property is primarily residential. a member, would satisfy the statutory five years or greater at the time of Operating expenses means, in the requirements for the Community origination. case of a CDFI applicant, expenses for Investment Program established under Manufactured housing means a business operations, including, but not section 10(i) of the Bank Act (12 U.S.C. manufactured home as defined in limited to, staff salaries and benefits, 1430(i)), or the regulatory requirements section 603(6) of the National professional fees, interest, loan loss established for any Community Manufactured Housing Construction provision, and depreciation, contained Investment Cash Advance program. and Safety Standards Act of 1974, as in the applicant’s audited financial Restricted assets means both amended (42 U.S.C. 5402(6)). statements. permanently restricted assets and

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temporarily restricted assets, as those membership or, in the case of an appeal (ii) The applicant meets all of the terms are used in Financial Accounting to FHFA, for three years after the membership eligibility criteria of the Standard No. 117, or any successor resolution of the appeal. The Bank Act and this part. publication. membership file shall contain at a (c) Action on applications. The Bank Total assets means the total assets minimum: shall act on an application within 60 reported on a regulatory financial report (1) Digest. The digest required by calendar days of the date the Bank or, in the case of a CDFI applicant, the paragraph (b) of this section. deems the application to be complete. An application is ‘‘complete’’ when a total assets contained in the applicant’s (2) Required documents. All Bank has obtained all the information audited financial statements. documents required by §§ 1263.6 to required by this part, and any other Unrestricted cash and cash 1263.18, including documents required information the Bank deems necessary, equivalents means, in the case of a CDFI to establish or rebut a presumption to process the application. If an applicant, cash and highly liquid assets under this part, shall be described in application that was deemed complete that can be easily converted into cash and attached to the digest. The Bank is subsequently is deemed incomplete that are not restricted in a manner that not required to retain in the file portions because the Bank determines during the prevents their use in paying expenses, of regulatory financial reports that are review process that additional as contained in the applicant’s audited not relevant to its decision on the financial statements. information is necessary to process the membership application. If an application, the Bank may suspend the Subpart B—Membership Application applicant’s appropriate regulator 60-day processing period until the Bank Process requires return or destruction of a again deems the application to be regulatory examination report, the date complete, at which time the processing § 1263.2 Membership application that the report is returned or destroyed period shall resume. The Bank shall requirements. shall be noted in the file. notify an applicant in writing when it (a) Application. Except as otherwise (3) Additional documents. Any deems the applicant’s application to be specified in this part, no institution may additional document submitted by the complete, and shall maintain a copy of become a member of a Bank unless it applicant, or otherwise obtained or the notice in the applicant’s has submitted to that Bank an generated by the Bank, concerning the membership file. The Bank shall notify application that satisfies the applicant. an applicant whenever it suspends or requirements of this part. The (4) Decision resolution. The decision resumes the 60-day processing period, application shall include a written resolution described in § 1263.3(b). and shall maintain a written record of resolution or certification duly adopted those notifications in the applicant’s by the applicant’s board of directors, or § 1263.3 Decision on application. membership file. Within three business by an individual with authority to act (a) Authority. FHFA hereby authorizes days of a Bank’s decision on an on behalf of the applicant’s board of the Banks to approve or deny all application, the Bank shall provide the directors, of the following: applications for membership, subject to applicant and FHFA with a copy of the (1) Applicant review. The applicant the requirements of this part. The Bank’s decision resolution. has reviewed the requirements of this authority to approve membership part and, as required by this part, has applications may be exercised only by a § 1263.4 Automatic membership. provided to the best of its knowledge committee of the Bank’s board of (a) Automatic membership for certain the most recent, accurate, and complete directors, the Bank president, or a senior charter conversions. An insured information available; and officer who reports directly to the Bank depository institution member that (2) Duty to supplement. The applicant president, other than an officer with converts from one charter type to will promptly supplement the responsibility for business development. another automatically shall become a application with any relevant (b) Decision resolution. For each member of the Bank of which the information that comes to its attention applicant, the Bank shall prepare a converting institution was a member on prior to the Bank’s decision on whether written resolution duly adopted by the the effective date of the conversion, to approve or deny the application, and Bank’s board of directors, by a provided that the converted institution if the Bank’s decision is appealed committee of the board of directors, or continues to be an insured depository pursuant to § 1263.5, prior to resolution by an officer with delegated authority to institution and the assets of the of any appeal by FHFA. approve membership applications. The institution immediately before and (b) Digest. The Bank shall prepare a decision resolution shall state: immediately after the conversion are not written digest for each applicant stating materially different. In such case, all (1) That the statements in the digest whether or not the applicant meets each relationships existing between the are accurate to the best of the Bank’s of the requirements in §§ 1263.6 to member and the Bank at the time of knowledge, and are based on a diligent 1263.18, the Bank’s findings, and the such conversion may continue. reasons therefor. In preparing a digest and comprehensive review of all (b) Automatic membership for for an applicant whose satisfaction of available information identified in the transfers. Any member that relocates its the membership eligibility requirements digest; and principal place of business to another of § 1263.6(a) is contingent upon its (2) The Bank’s decision and the Bank district or that redesignates its meeting the definition of ‘‘insurance reasons therefor. Decisions to approve principal place of business to another company’’ set forth in § 1263.1, the an application should state specifically Bank district pursuant to § 1263.18(c) Bank shall state its conclusion as to that: automatically shall become a member of whether the applicant meets that (i) The applicant is authorized under the Bank of that district upon the definition and summarize the bases for the laws of the United States and the purchase of the minimum amount of that conclusion. laws of the appropriate State to become Bank stock required for membership in (c) File. The Bank shall maintain a a member of, purchase stock in, do that Bank, as required by § 1263.20. membership file for each applicant for business with, and maintain deposits in, (c) Automatic membership, in the at least three years after the Bank the Bank to which the applicant has Bank’s discretion, for certain decides whether to approve or deny applied; and consolidations. (1) If a member

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institution (or institutions) and a materials provided to FHFA as any new depository institution also must have nonmember institution are materials are received. mortgage-related assets that reflect a consolidated, and the consolidated (2) Additional information. FHFA commitment to housing finance, as institution has its principal place of may request additional information or determined by the Bank in its business in a State in the same Bank further supporting arguments from the discretion. district as the disappearing institution appellant, the appellee Bank, or any (d) Ineligibility. Except as provided in (or institutions), and the consolidated other party that FHFA deems paragraph (e) of this section, an institution will operate under the appropriate. institution that does not satisfy the charter of the nonmember institution, (c) Deciding appeals. FHFA shall requirements of this part shall be on the effective date of the consider the record for appeal described ineligible for membership. consolidation, the consolidated in paragraph (b) of this section and shall (e) Treatment of captives previously institution may, in the discretion of the resolve the appeal based on the admitted to membership. A Bank that Bank of which the disappearing requirements of the Bank Act and this admitted one or more captives to institution (or institutions) was a part within 90 calendar days of the date membership prior to February 19, 2016 member immediately prior to the the appeal is filed with FHFA. In shall wind down its relationship with, effective date of the consolidation, deciding the appeal, FHFA shall apply and terminate the membership of, each automatically become a member of such the presumptions in this part, unless the of those captives as provided in this Bank upon the purchase of the appellant or appellee Bank presents paragraph (e). minimum amount of Bank stock evidence to rebut a presumption as (1) Captives admitted prior to required for membership in that Bank, provided in § 1263.17. September 12, 2014.—(i) A Bank shall as required by § 1263.20, provided that: have until February 19, 2021 to wind (i) 90 percent or more of the Subpart C—Eligibility Requirements down its business transactions with any consolidated institution’s total assets are § 1263.6 General eligibility requirements. captive that it had admitted to derived from the total assets of the (a) Requirements. Any building and membership prior to September 12, disappearing member institution (or loan association, savings and loan 2014, notwithstanding the captive’s institutions); and association, cooperative bank, ineligibility for Bank membership. The (ii) The consolidated institution homestead association, insurance Bank may make or renew an advance to provides written notice to such Bank, company, savings bank, community such a captive only if: within 60 calendar days after the development financial institution (A) After making or renewing the effective date of the consolidation, that (including a CDFI credit union), or advance, its total outstanding advances it desires to be a member of the Bank. insured depository institution shall be to that captive would not exceed 40 (2) The provisions of § 1263.24(b)(4)(i) eligible for Bank membership if: percent of the captive’s total assets; and shall apply, and upon approval of (1) It is duly organized under tribal (B) The new or renewed advance has automatic membership by the Bank, the law, or under the laws of any State or a maturity date no later than February provisions of § 1263.24(c) shall apply. of the United States; 19, 2021. (ii) A Bank shall terminate the § 1263.5 Appeals. (2) It is subject to inspection and regulation under the banking laws, or membership of any captive described in (a) Appeals by applicants.—(1) Filing under similar laws, of any State or of the paragraph (e)(1)(i) of this section no procedure. Within 90 calendar days of United States or, in the case of a CDFI, later than February 19, 2021, as the date of a Bank’s decision to deny an is certified by the CDFI Fund; provided under § 1263.27. After application for membership, the (3) It makes long-term home mortgage termination, the Bank shall require the applicant may file a written appeal of loans; liquidation of any outstanding the decision with FHFA. (4) Its financial condition is such that indebtedness owed by, and the (2) Documents. The applicant’s appeal advances may be safely made to it; settlement of all other outstanding shall be addressed to the Deputy (5) The character of its management is business transactions with, such Director for Federal Home Loan Bank consistent with sound and economical terminated captive, and shall redeem or Regulation, Federal Housing Finance home financing; repurchase the Bank stock owned by the Agency, 400 Seventh Street SW., (6) Its home financing policy is captive in accordance with § 1263.29; Washington, DC 20219, with a copy to consistent with sound and economical provided that the Bank may allow the the Bank, and shall include the home financing; and captive to repay any outstanding following documents: (7) It has complied with any advance made or last renewed in (i) Bank’s decision resolution. A copy applicable requirement of paragraphs (b) accordance with the applicable of the Bank’s decision resolution; and and (c) of this section. requirements then in effect and having (ii) Basis for appeal. An applicant (b) Additional eligibility requirement a maturity date later than its date of must provide a statement of the basis for for insured depository institutions other termination in accordance with its terms the appeal with sufficient facts, than community financial institutions. and delay the repurchase of any Bank information, analysis, and explanation In order to be eligible to become a stock held in support of that advance to rebut any applicable presumptions, or member of a Bank, an insured until after the advance has been repaid, otherwise to support the applicant’s depository institution applicant other in accordance with the Bank’s capital position. than a community financial institution plan. (b) Record for appeal.—(1) Copy of also must have at least 10 percent of its (2) Captives admitted on or after membership file. Upon receiving a copy total assets in residential mortgage September 12, 2014.—(i) A Bank shall of an appeal, the Bank whose action has loans. have until February 19, 2017 to wind been appealed (appellee Bank) shall (c) Additional eligibility requirement down its business transactions with any provide FHFA with a copy of the for applicants that are not insured captive that it had admitted to applicant’s complete membership file. depository institutions. In order to be membership on or after September 12, Until FHFA resolves the appeal, the eligible to become a member of a Bank, 2014, notwithstanding the captive’s appellee Bank shall supplement the an applicant that is not an insured ineligibility for Bank membership. The

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Bank shall not make or renew any 1424(a)(2)(A)) and § 1263.6(b) shall be regulatory examination report prepared advance to such a captive. deemed to comply with that by its appropriate regulator, a summary (ii) A Bank shall terminate the requirement if, based on the applicant’s prepared by the Bank of the applicant’s membership of any captive described in most recent regulatory financial report strengths and weaknesses as cited in the paragraph (e)(2)(i) of this section no filed with its appropriate regulator, the regulatory examination report, and a later than February 19, 2017, as applicant has at least 10 percent of its summary prepared by the Bank or provided under § 1263.27. Upon total assets in residential mortgage applicant of actions taken by the termination, the Bank shall require the loans, except that any assets used to applicant to respond to examination liquidation of any outstanding secure mortgage-backed securities as weaknesses; indebtedness owed by, and the described in paragraph (5) of the (4) Enforcement actions. A settlement of all other outstanding definition of ‘‘residential mortgage description prepared by the Bank or business transactions with, such loan’’ set forth in § 1263.1 shall not be applicant of any outstanding terminated captive, and shall redeem or used to meet this requirement. enforcement actions against the repurchase the Bank stock owned by the applicant, responses by the applicant, captive in accordance with § 1263.29; § 1263.11 Financial condition requirement reports as required by the enforcement for depository institutions and CDFI credit provided that all advances outstanding unions. action, and verbal or written to that member must be repaid in full by indications, if available, from the (a) Review requirement. In the termination date. appropriate regulator of how the determining whether a building and applicant is complying with the terms of § 1263.7 Duly organized requirement. loan association, savings and loan the enforcement action; and An applicant shall be deemed to be association, cooperative bank, (5) Additional information. Any other duly organized, as required by section homestead association, savings bank, relevant document or information 4(a)(1)(A) of the Bank Act (12 U.S.C. insured depository institution, or CDFI concerning the applicant that comes to credit union has complied with the 1424(a)(1)(A)) and § 1263.6(a)(1), if it is the Bank’s attention in reviewing the financial condition requirements of chartered by a State or federal agency as applicant’s financial condition. a building and loan association, savings section 4(a)(2)(B) of the Bank Act (12 (b) Standards. An applicant of the and loan association, cooperative bank, U.S.C. 1424(a)(2)(B)) and § 1263.6(a)(4), type described in paragraph (a) of this homestead association, insurance the Bank shall obtain as a part of the section shall be deemed to be in company, savings bank, or insured membership application and review compliance with the financial condition depository institution or, in the case of each of the following documents: requirement of section 4(a)(2)(B) of the (1) Regulatory financial reports. The a CDFI applicant, is incorporated under Bank Act (12 U.S.C. 1424(a)(2)(B)) and regulatory financial reports filed by the State or tribal law. § 1263.6(a)(4), if: applicant with its appropriate regulator (1) Recent composite regulatory § 1263.8 Subject to inspection and for the last six calendar quarters and examination rating. The applicant has regulation requirement. three year-ends preceding the date the received a composite regulatory An applicant shall be deemed to be Bank receives the application; examination rating from its appropriate subject to inspection and regulation, as (2) Financial statement. In order of regulator within two years preceding the required by section 4(a)(1)(B) of the preference— (i) The most recent independent audit date the Bank receives the application; Bank Act (12 U.S.C. 1424 (a)(1)(B)) and (2) Capital requirement. The applicant § 1263.6(a)(2) if, in the case of an of the applicant conducted in accordance with generally accepted meets all of its minimum statutory and insured depository institution or regulatory capital requirements as insurance company applicant, it is auditing standards by a certified public accounting firm which submits a report reported in its most recent quarter-end subject to inspection and regulation by regulatory financial report filed with its its appropriate regulator. A CDFI on the applicant; (ii) The most recent independent appropriate regulator; and applicant that is certified by the CDFI (3) Minimum performance standard— Fund is not subject to this requirement. audit of the applicant’s parent holding company conducted in accordance with (i) Except as provided in paragraph § 1263.9 Makes long-term home mortgage generally accepted auditing standards (b)(3)(iii) of this section, the applicant’s loans requirement. by a certified public accounting firm most recent composite regulatory An applicant shall be deemed to make which submits a report on the examination rating from its appropriate long-term home mortgage loans, as consolidated holding company but not regulator within the past two years was required by section 4(a)(1)(C) of the on the applicant separately; ‘‘1’’, or the most recent rating was ‘‘2’’ Bank Act (12 U.S.C. 1424(a)(1)(C)) and (iii) The most recent directors’ or ‘‘3’’ and, based on the applicant’s § 1263.6(a)(3), if, based on the examination of the applicant conducted most recent regulatory financial report applicant’s most recent regulatory in accordance with generally accepted filed with its appropriate regulator, the financial report filed with its auditing standards by a certified public applicant satisfied all of the following appropriate regulator, or other accounting firm; performance trend criteria— documentation provided to the Bank, in (iv) The most recent directors’ (A) Earnings. The applicant’s adjusted the case of a CDFI applicant that does examination of the applicant performed net income was positive in four of the not file such reports, the applicant by other external auditors; six most recent calendar quarters; originates or purchases long-term home (v) The most recent review of the (B) Nonperforming assets. The mortgage loans. applicant’s financial statements by applicant’s nonperforming loans and external auditors; leases plus other real estate owned, did § 1263.10 Ten percent requirement for (vi) The most recent compilation of not exceed 10 percent of its total loans certain insured depository institution the applicant’s financial statements by and leases plus other real estate owned, applicants. external auditors; or in the most recent calendar quarter; and An insured depository institution (vii) The most recent audit of other (C) Allowance for loan and lease applicant that is subject to the 10 procedures of the applicant. losses. The applicant’s ratio of its percent requirement of section (3) Regulatory examination report. allowance for loan and lease losses plus 4(a)(2)(A) of the Bank Act (12 U.S.C. The applicant’s most recent available the allocated transfer risk reserve to

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nonperforming loans and leases was 60 (b) CDFIs other than CDFI credit membership a written justification percent or greater during four of the six unions. A CDFI applicant, other than a acceptable to the Bank of how its home most recent calendar quarters. CDFI credit union, shall be deemed to financing credit policy and lending (ii) For applicants that are not be in compliance with the character of practices will include originating or required to report financial data to their management requirement of purchasing long-term home mortgage appropriate regulator on a quarterly § 1263.6(a)(5), if the applicant provides loans. basis, the information required in an unqualified written certification duly (c) 10 percent requirement.—(1) paragraph (b)(3)(i) of this section may be adopted by the applicant’s board of Conditional approval. If a de novo reported on a semi-annual basis. directors, or by an individual with insured depository institution applicant (iii) A CDFI credit union applicant authority to act on behalf of the that commenced its initial business must meet the performance trend applicant’s board of directors, that: operations less than one year before criteria in paragraph (b)(3)(i) of this (1) Criminal, civil or administrative applying for Bank membership is section irrespective of its composite proceedings. Neither the applicant nor subject to, but cannot yet meet, the 10 regulatory examination rating. any of its directors or senior officers has percent requirement of section (c) Eligible collateral not considered. been the subject of any criminal, civil or 4(a)(2)(A) of the Bank Act (12 U.S.C. The availability of sufficient eligible administrative proceedings reflecting 1424(a)(2)(A)) and § 1263.6(b) as collateral to secure advances to the upon creditworthiness, business provided in § 1263.10, a Bank may applicant is presumed and shall not be judgment, or moral turpitude in the past conditionally approve that applicant for considered in determining whether an three years; and membership if it meets all other applicant is in the financial condition (2) Criminal, civil or administrative applicable requirements. required by section 4(a)(2)(B) of the monetary liabilities, lawsuits or (2) Approval may become final. If, Bank Act (12 U.S.C. 1424(a)(2)(B)) and judgments. There are no known within one year after commencement of § 1263.6(a)(4). potential criminal, civil or its initial business operations, an administrative monetary liabilities, institution that was conditionally § 1263.12 Character of management material pending lawsuits, or approved for membership under requirement. unsatisfied judgments against the paragraph (c)(1) of this section supplies (a) General. A building and loan applicant or any of its directors or evidence acceptable to the Bank that it association, savings and loan senior officers arising within the past satisfies the 10 percent requirement as association, cooperative bank, three years that are significant to the provided under § 1263.10, its homestead association, savings bank, applicant’s operations. membership approval shall become insured depository institution, § 1263.13 Home financing policy final. insurance company, and CDFI credit requirement. (3) Approval may become void. If an union shall be deemed to be in institution that was conditionally (a) Standard. An applicant shall be compliance with the character of approved for membership under deemed to be in compliance with the management requirements of section paragraph (c)(1) does not satisfy the home financing policy requirements of 4(a)(2)(C) of the Bank Act (12 U.S.C. requirements of paragraph (c)(2) of this section 4(a)(2)(C) of the Bank Act (12 1424(a)(2)(C)) and § 1263.6(a)(5) if the section, it shall be deemed to be out of U.S.C. 1424(a)(2)(C)) and § 1263.6(a)(6), applicant provides to the Bank an compliance with the 10 percent if the applicant has received a CRA unqualified written certification duly requirement, and its conditional rating of ‘‘Satisfactory’’ or better on its adopted by the applicant’s board of membership approval shall become most recent CRA performance directors, or by an individual with void. evaluation. authority to act on behalf of the (d) Home financing policy applicant’s board of directors, that: (b) Written justification required. An applicant that is not subject to the CRA requirement.—(1) Conditional approval. (1) Enforcement actions. Neither the shall file, as part of its application for If a de novo insured depository applicant nor any of its directors or membership, a written justification institution applicant cannot meet the senior officers is subject to, or operating acceptable to the Bank of how and why home financing policy requirement of under, any enforcement action the applicant’s home financing policy is section 4(a)(2)(C) of the Bank Act (12 instituted by its appropriate regulator; consistent with the Bank System’s U.S.C. 1424(a)(2)(C)) and § 1263.6(a)(6) (2) Criminal, civil or administrative housing finance mission. as provided under § 1263.13 because it proceedings. Neither the applicant nor has not received its first CRA any of its directors or senior officers has § 1263.14 De novo insured depository performance evaluation, a Bank may been the subject of any criminal, civil or institution applicants. conditionally approve that applicant for administrative proceedings reflecting (a) Presumptive compliance. A de membership if it meets all other upon creditworthiness, business novo insured depository institution applicable requirements and has judgment, or moral turpitude since the applicant shall be deemed to meet the included in its application a written most recent regulatory examination duly organized, subject to inspection justification acceptable to the Bank of report; and and regulation, financial condition, and how and why its home financing credit (3) Criminal, civil or administrative character of management requirements policy and lending practices will meet monetary liabilities, lawsuits or of §§ 1263.7, 1263.8, 1263.11 and the credit needs of its community. judgments. There are no known 1263.12, respectively. (2) Approval may become final. If an potential criminal, civil or (b) Makes long-term home mortgage institution that was conditionally administrative monetary liabilities, loans requirement. A de novo insured approved for membership under material pending lawsuits, or depository institution applicant shall be paragraph (d)(1) of this section supplies unsatisfied judgments against the deemed to make long-term home evidence acceptable to the Bank that it applicant or any of its directors or mortgage loans, as required by section has satisfied the home financing policy senior officers since the most recent 4(a)(1)(C) of the Bank Act (12 U.S.C. requirement as provided under regulatory examination report, that are 1424(a)(1)(C)) and § 1263.6(a)(3), if it § 1263.13 by receiving a CRA rating of significant to the applicant’s operations. has filed as part of its application for ‘‘Satisfactory’’ or better on its first CRA

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performance evaluation, its membership (c) Makes long-term home mortgage statements, statements of activities, approval shall cease to be conditional. loans requirement; 10 percent statements of financial position, and (3) Approval may become void. If an requirement. For purposes of statements of cash flows. The financial institution that was conditionally determining compliance with §§ 1263.9 statement for the most recent year must approved for membership under and 1263.10, a Bank may, in its include separate schedules or paragraph (d)(1) of this section receives discretion, permit a recently disclosures of the financial position of a rating of ‘‘Needs to Improve’’ or consolidated applicant that has not yet each of the applicant’s affiliates, ‘‘Substantial Non-Compliance’’ on its filed a regulatory financial report as a descriptions of their lines of business, first CRA performance evaluation, and consolidated entity to provide the pro detailed financial disclosures of the fails to rebut the presumption of non- forma financial statement for the relationship between the applicant and compliance with the home financing consolidated entity that the its affiliates (such as indebtedness or policy requirement as provided under consolidating entities filed with the subordinate debt obligations), § 1263.17(f), it shall be deemed to be out regulator that approved the disclosures of interlocking directorships of compliance with that requirement consolidation. with each affiliate, and identification of and its conditional membership temporary and permanently restricted § 1263.16 Financial condition requirement funds and the requirements of these approval shall become void. for insurance company and certain CDFI (e) Other rules. An institution that has restrictions; applicants. (ii) CDFI Fund certification. The been conditionally approved for (a) Insurance companies.—(1) An membership under paragraph (c)(1) or certification that the applicant has insurance company applicant shall be received from the CDFI Fund. If the (d)(1) of this section shall be subject to deemed to meet the financial condition all regulations applicable to members certification is more than three years requirement of § 1263.6(a)(4) if the Bank old, the applicant must also submit a generally, including those relating to determines: stock purchase requirements and or written statement attesting that there (i) Based on the information have been no material events or collateral, notwithstanding that its contained in the applicant’s most recent occurrences since the date of membership may be conditional for regulatory financial report filed with its certification that would adversely affect some period of time. If an institution’s appropriate regulator, that the applicant its strategic direction, mission, or conditional membership approval meets all of its minimum statutory and business operations; and becomes void as provided in paragraphs regulatory capital requirements and the (iii) Additional information. Any (c)(3) or (d)(3) of this section, then the capital standards established by the other relevant document or information Bank shall liquidate any outstanding NAIC; and a Bank requests concerning the indebtedness owed by the institution to (ii) Based on the applicant’s most applicant’s financial condition that is the Bank and redeem or repurchase its recent audited financial statements, that not contained in the applicant’s capital stock in accordance with the applicant’s financial condition is financial statements, as well as any § 1263.29. such that the Bank can safely make other information that the applicant § 1263.15 Recently consolidated advances to it. believes demonstrates that it satisfies applicants. (2) In making the determination the financial condition requirement of required under paragraph (a)(1)(ii) of § 1263.6(a)(4), notwithstanding its An applicant that has recently this section, the Bank shall use audited consolidated with another institution is failure to meet any of the financial financial statements that have been condition standards of paragraph (b)(2) subject to the requirements of §§ 1263.7 prepared in accordance with generally to 1263.13 except as provided in this of this section. accepted accounting principles, if they (2) Standards. A CDFI applicant, section. are available. If they are not available, other than a CDFI credit union, shall be (a) Financial condition requirement. the Bank may use audited financial deemed to be in compliance with the For purposes of § 1263.11(a)(1) and statements prepared in accordance with financial condition requirement of 1263.11(b)(3)(i)(A), a recently statutory accounting principles. § 1263.6(a)(4) if it meets all of the consolidated applicant that has not yet (b) CDFIs other than CDFI credit following minimum financial filed regulatory financial reports as a unions.—(1) Review requirement. In standards— consolidated entity for six quarters or order for a Bank to determine whether (i) Net asset ratio. The applicant’s three calendar year-ends shall provide a CDFI applicant, other than a CDFI ratio of net assets to total assets is at to the Bank: credit union, has complied with the least 20 percent, with net and total (1) All regulatory financial reports financial condition requirement of assets including restricted assets, where that the applicant has filed as a § 1263.6(a)(4), the applicant shall net assets is calculated as the residual consolidated entity; and submit, as a part of its membership value of assets over liabilities and is (2) Pro forma combined financial application, each of the following based on information derived from the statements for those quarters for which documents, and the Bank shall consider applicant’s most recent financial actual combined regulatory financial all such information prior to acting on statements; reports are unavailable. the application for membership: (ii) Earnings. The applicant has (b) Home financing policy (i) Financial statements. An shown positive net income, where net requirement. For purposes of § 1263.13, independent audit conducted within the income is calculated as gross revenues a recently consolidated applicant that prior year in accordance with generally less total expenses, is based on has not yet received its first CRA accepted auditing standards by a information derived from the performance evaluation as a certified public accounting firm, plus applicant’s most recent financial consolidated entity shall file as part of more recent quarterly statements, if statements, and is measured as a rolling its application a written justification available, and financial statements for three-year average; acceptable to the Bank of how and why the two years prior to the most recent (iii) Loan loss reserves. The the applicant’s home financing credit audited financial statement. At a applicant’s ratio of loan loss reserves to policy and lending practices will meet minimum, all such financial statements loans and leases 90 days or more the credit needs of its community. must include income and expense delinquent (including loans sold with

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full recourse) is at least 30 percent, variance from a performance trend appropriate regulator that the where loan loss reserves are a specified criterion required by § 1263.11(b)(3)(i), proceedings will not likely result in an balance sheet account that reflects the the applicant or the Bank shall prepare enforcement action; or amount reserved for loans expected to a written justification pertaining to such (ii) Written analysis. A written be uncollectible and are based on requirement that provides substantial analysis acceptable to the Bank information derived from the evidence acceptable to the Bank that the indicating that the proceedings will not applicant’s most recent financial applicant is in the financial condition likely result in an enforcement action statements; required by § 1263.6(a)(4), or, in the case of a CDFI applicant, that (iv) Liquidity. The applicant has an notwithstanding the lack of rating or the proceedings will not likely have a operating liquidity ratio of at least 1.0 variance. significantly deleterious effect on the for the four most recent quarters, and for (2) Applicants subject to § 1263.16. applicant’s operations. The written one or both of the two preceding years, For applicants subject to § 1263.16, in analysis shall state the severity of the where the numerator of the ratio the case of an insurance company charges, and any mitigating action taken includes unrestricted cash and cash applicant’s variance from a capital by the applicant or its directors or equivalents and the denominator of the requirement or standard of § 1263.16(a) senior officers. ratio is the average quarterly operating or, in the case of a CDFI applicant’s (3) Criminal, civil or administrative expense. variance from the standards of monetary liabilities, lawsuits or § 1263.16(b), the applicant or the Bank judgments. If there are any known § 1263.17 Rebuttable presumptions. shall prepare a written justification potential criminal, civil or (a) Rebutting presumptive pertaining to such requirement or administrative monetary liabilities, compliance. The presumption that an standard that provides substantial material pending lawsuits, or applicant meeting the requirements of evidence acceptable to the Bank that the unsatisfied judgments against the §§ 1263.7 to 1263.16 is in compliance applicant is in the financial condition applicant or any of its directors or with the corresponding eligibility required by § 1263.6(a)(4), senior officers since the most recent requirements of section 4(a) of the Bank notwithstanding the variance. regulatory examination report or, in the Act (12 U.S.C. 1424(a)) and § 1263.6(a) (e) Presumptive noncompliance with case of a CDFI applicant, occurring and (b), may be rebutted, and the Bank character of management requirement within the past three years, that are may deny membership to an applicant, of § 1263.12—(1) Enforcement actions. If significant to the applicant’s operations, if the Bank obtains substantial evidence an applicant or any of its directors or the applicant shall provide or the Bank to overcome the presumption of senior officers is subject to, or operating shall obtain— compliance. under, any enforcement action (i) Regulator confirmation. Written or (b) Rebutting presumptive instituted by its appropriate regulator, verbal confirmation from the applicant’s noncompliance. The presumption that the applicant shall provide or the Bank appropriate regulator that the liabilities, an applicant not meeting a particular shall obtain: lawsuits or judgments will not likely requirement of §§ 1263.8, 1263.11, (i) Regulator confirmation. Written or cause the applicant to fall below its 1263.12, 1263.13, or 1263.16, is not in verbal confirmation from the applicant’s applicable capital requirements set forth compliance with the corresponding appropriate regulator that the applicant in §§ 1263.11(b)(2) and 1263.16(a); or eligibility requirement of section 4(a) of or its directors or senior officers are in (ii) Written analysis. A written the Bank Act (12 U.S.C. 1424(a)) and substantial compliance with all aspects analysis acceptable to the Bank § 1263.6(a) may be rebutted and the of the enforcement action; or indicating that the liabilities, lawsuits or applicant shall be deemed to be in (ii) Written analysis. A written judgments will not likely cause the compliance with an eligibility analysis acceptable to the Bank applicant to fall below its applicable requirement, if it satisfies the applicable indicating that the applicant or its capital requirements set forth in requirements in this section. directors or senior officers are in § 1263.11(b)(2) or § 1263.16(a), or the (c) Presumptive noncompliance by substantial compliance with all aspects net asset ratio set forth in insurance company applicant with of the enforcement action. The written § 1263.16(b)(2)(i). The written analysis ‘‘subject to inspection and regulation’’ analysis shall state each action the shall state the likelihood of the requirement of § 1263.8. If an insurance applicant or its directors or senior applicant or its directors or senior company applicant is not subject to officers are required to take by the officers prevailing, and the financial inspection and regulation by an enforcement action, the actions actually consequences if the applicant or its appropriate State regulator accredited taken by the applicant or its directors or directors or senior officers do not by the NAIC, as required by § 1263.8, senior officers, and whether the prevail. the applicant or the Bank shall prepare applicant regards this as substantial (f) Presumptive noncompliance with a written justification that provides compliance with all aspects of the home financing policy requirements of substantial evidence acceptable to the enforcement action. §§ 1263.13 and 1263.14(d). If an Bank that the applicant is subject to (2) Criminal, civil or administrative applicant received a ‘‘Substantial Non- inspection and regulation as required by proceedings. If an applicant or any of its Compliance’’ rating on its most recent § 1263.6(a)(2), notwithstanding the directors or senior officers has been the CRA performance evaluation, or a regulator’s lack of NAIC accreditation. subject of any criminal, civil or ‘‘Needs to Improve’’ CRA rating on its (d) Presumptive noncompliance with administrative proceedings reflecting most recent CRA performance financial condition requirements of upon creditworthiness, business evaluation and a CRA rating of ‘‘Needs §§ 1263.11 and 1263.16—(1) Applicants judgment, or moral turpitude since the to Improve’’ or better on any subject to § 1263.11. For applicants most recent regulatory examination immediately preceding formal CRA subject to § 1263.11, in the case of an report or, in the case of a CDFI performance evaluation, the applicant applicant’s lack of a composite applicant, during the past three years, shall provide or the Bank shall obtain: regulatory examination rating within the the applicant shall provide or the Bank (1) Regulator confirmation. Written or two-year period required by shall obtain— verbal confirmation from the applicant’s § 1263.11(b)(1), a variance from the (i) Regulator confirmation. Written or appropriate regulator of the applicant’s rating required by § 1263.11(b)(3)(i), or a verbal confirmation from the applicant’s recent satisfactory CRA performance,

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including any corrective action that constituent committees are conducted its business activities in a particular substantially improved upon the in such designated State; and State if any two of the following three deficiencies cited in the most recent (iii) A majority of the institution’s five factors are present: CRA performance evaluation(s); or highest paid officers have their place of (i) The institution’s largest office, as (2) Written analysis. A written employment located in such designated measured by the number of employees, analysis acceptable to the Bank State. is located in that State; demonstrating that the CRA rating is (2) Written notice of a designation (ii) A plurality of the institution’s unrelated to home financing, and made pursuant to paragraph (c)(1) of employees are located in that State; or providing substantial evidence of how this section shall be sent to the Bank in (iii) The places of employment for a and why the applicant’s home financing the district containing the designated plurality of the institution’s senior credit policy and lending practices meet State, FHFA, and the institution. executives are located in that State. the credit needs of its community. (3) The notice of designation made (3) If a Bank cannot designate a State pursuant to paragraph (c)(1) of this as the principal place of business under § 1263.18 Determination of appropriate section shall include the State Bank district for membership. paragraph (f)(1) of this section, and designated as the principal place of cannot otherwise identify a geographic (a) Eligibility. (1) An institution business and the Bank of which the location from which the institution eligible to be a member of a Bank under subject institution is eligible to be a actually conducts the predominant the Bank Act and this part may be a member. portion of its business activities, it shall member only of the Bank of the district (4) If the board of directors of the designate the State of domicile or in which the institution’s principal Bank in the district where the incorporation as the principal place of place of business is located, except as institution maintains its home office business for that institution. provided in paragraph (a)(2) of this fails to make the designation requested (4) For purposes of paragraph (f)(2) of section. A member shall promptly notify by the member or applicant pursuant to this section, the term ‘‘senior executive’’ its Bank in writing whenever it relocates paragraph (c)(1) of this section, then the means all officers at or above the level its principal place of business to another member or applicant may request in of ‘‘senior vice president’’ and includes State and the Bank shall inform FHFA writing that FHFA make the the positions of president, executive in writing of any such relocation. designation. vice president, chief executive officer, (2) An institution eligible to become (d) Transfer of membership. (1) In the chief financial officer, chief operating a member of a Bank under the Bank Act case of a member whose principal place officer, general counsel, as well as any and this part may be a member of the of business has been designated as a individuals who perform functions Bank of a district adjoining the district State located in another Bank district in similar to those positions whether or not in which the institution’s principal accordance with paragraph (c) of this the individual has an official title. place of business is located, if section, or in the case of a member that (g) Records. A Bank designating the demanded by convenience and then has relocated its principal place of principal place of business for a member only with the approval of FHFA. business to a State in another Bank under this section shall document the (b) Principal place of business. Except district, the transfer of membership from bases for its determination in writing as otherwise designated in accordance one Bank to another Bank shall not take and shall include that documentation in with this section, the principal place of effect until the Banks involved reach an the membership digest and application business of an institution is the State in agreement on a method of orderly file for the institution that are required which the institution maintains its transfer. home office established as such in (2) In the event that the Banks under § 1263.2. conformity with the laws under which involved fail to agree on a method of Subpart D—Stock Requirements the institution is organized and from orderly transfer, FHFA shall determine which the institution conducts business the conditions under which the transfer § 1263.19 [Reserved] operations. shall take place. (c) Designation of principal place of (e) Effect of transfer. A transfer of § 1263.20 Stock purchase. business—(1) A member or an applicant membership pursuant to this section (a) Minimum purchase requirement. for membership may request in writing shall be effective for all purposes, but An institution that has been approved to the Bank in the district where the shall not affect voting rights in the year for membership in a Bank as provided institution maintains its home office of the transfer and shall not be subject in this part shall become a member of that a State other than the State in to the provisions on termination of that Bank upon purchasing the amount which it maintains its home office be membership set forth in section 6 of the of stock required under the membership designated as its principal place of Bank Act (12 U.S.C. 1426) or §§ 1263.26 stock purchase provisions of that Bank’s business. Within 90 calendar days of and 1263.27, nor the restriction on capital structure plan. If an institution receipt of such written request, the reacquiring Bank membership set forth fails to purchase the minimum amount board of directors of the Bank in the in § 1263.30. of stock required for membership within district where the institution maintains (f) Insurance companies and CDFIs. 60 calendar days after the date on which its home office shall designate a State (1) For an insurance company or CDFI it is approved for membership, the other than the State where the that cannot satisfy the requirements of membership approval shall become void institution maintains its home office as paragraphs (b) or (c) of this section for and that institution may not become a the institution’s principal place of designating its principal place of member of that Bank until after it has business, provided that, all of the business, a Bank shall designate as the filed a new application and the Bank following criteria are satisfied: principal place of business the has approved that application pursuant (i) At least 80 percent of the geographic location from which the to the requirements of this part. institution’s accounting books, records, institution actually conducts the (b) Issuance of stock. After approving and ledgers are maintained, located or predominant portion of its business an institution for membership, and in held in such designated State; activities. return for payment in full of the par (ii) A majority of meetings of the (2) A Bank may deem an institution value, a Bank shall issue to that institution’s board of directors and to conduct the predominant portion of institution the amount of capital stock

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required to be purchased under the consolidating institutions, the business transactions with the former Bank’s capital structure plan. membership of the surviving institution member, and shall redeem or (c) Reports. Each Bank shall report to shall continue and the membership of repurchase the Bank stock owned by the FHFA information regarding the each disappearing institution shall former member in accordance with minimum investment in Bank capital terminate on the cancellation of its § 1263.29. stock made by each new member charter. Upon the consolidation of two (4) Outstanding indebtedness. If a referred to in paragraph (a) of this or more institutions, at least two of member has consolidated into a section, in accordance with the which are members of different Banks, nonmember institution, the Bank need instructions provided in the Data into one institution operating under the not require the former member or its Reporting Manual. charter of one of the consolidating successor to liquidate any outstanding institutions, the membership of the indebtedness owed to the Bank or to § 1263.21 [Reserved] surviving institution shall continue and redeem its Bank stock, as otherwise may § 1263.22 Annual calculation of stock the membership of each disappearing be required under § 1263.29, during: holdings. institution shall terminate upon (i) The initial 60 calendar-day A Bank shall calculate annually each cancellation of its charter, provided, notification period; member’s required minimum holdings however, that if more than 80 percent of (ii) The 60 calendar-day period of Bank stock using calendar year-end the assets of the consolidated institution following receipt of a notification that financial data provided by the member are derived from the assets of a the consolidated institution intends to to the Bank, pursuant to § 1263.31(d), disappearing institution, then the apply for membership; and and shall notify each member of the consolidated institution shall continue (iii) The period of time during which result. The notice shall clearly state that to be a member of the Bank of which the Bank processes the application for the Bank’s calculation of each member’s that disappearing institution was a membership. minimum stock holdings is to be used member prior to the consolidation, and (5) Approval of membership. If the to determine the number of votes that the membership of the other institutions application of such a consolidated the member may cast in that year’s shall terminate upon the effective date institution is approved, the consolidated election of directors and shall identify of the consolidation. institution shall become a member of (b) Consolidation into nonmember— the State within the district in which that Bank upon the purchase of the (1) In general. Upon the consolidation of the member will vote. A member that amount of Bank stock necessary, when a member into an institution that is not does not agree with the Bank’s combined with any Bank stock acquired a member of a Bank, where the calculation of the minimum stock from the disappearing member, to consolidated institution operates under purchase requirement or with the satisfy the minimum stock purchase the charter of the nonmember identification of its voting State may requirements established by the Bank’s institution, the membership of the request FHFA to review the Bank’s capital structure plan. disappearing institution shall terminate determination. FHFA shall promptly (6) Disapproval of membership. If the upon the cancellation of its charter. Bank disapproves the application for determine the member’s minimum (2) Notification. If a member has required holdings and its proper voting membership of the consolidated consolidated into a nonmember that has institution, the Bank shall require the State, which determination shall be its principal place of business in a State final. liquidation of any outstanding in the same Bank district as the former indebtedness owed by, and the § 1263.23 Excess stock. member, the consolidated institution settlement of all other outstanding shall have 60 calendar days after the (a) Sale of excess stock. Subject to the business transactions with, the former cancellation of the charter of the former restriction in paragraph (b) of this member, and shall redeem or member within which to notify the section, a member may purchase excess repurchase the Bank stock owned by the Bank of the former member that the stock as long as the purchase is former member in accordance with consolidated institution intends to approved by the member’s Bank and is § 1263.29. apply for membership in such Bank. If permitted by the laws under which the (c) Dividends on acquired Bank stock. the consolidated institution does not so member operates. A consolidated institution shall be notify the Bank by the end of the period, (b) Restriction. Any Bank with excess entitled to receive dividends on the the Bank shall require the liquidation of stock greater than one percent of its total Bank stock that it acquires as a result of any outstanding indebtedness owed by assets shall not declare or pay any a consolidation with a member in dividends in the form of additional the former member, shall settle all outstanding business transactions with accordance with applicable FHFA shares of Bank stock or otherwise issue regulations. any excess stock. A Bank shall not issue the former member, and shall redeem or excess stock, as a dividend or otherwise, repurchase the Bank stock owned by the § 1263.25 [Reserved] former member in accordance with if after the issuance, the outstanding § 1263.29. § 1263.26 Voluntary withdrawal from excess stock at the Bank would be (3) Application. If such a consolidated membership. greater than one percent of its total institution has notified the appropriate (a) In general—(1) Any institution assets. Bank of its intent to apply for may withdraw from membership by Subpart E—Withdrawal, Termination membership, the consolidated providing to the Bank written notice of and Readmission institution shall submit an application its intent to withdraw from for membership within 60 calendar days membership. A member that has so § 1263.24 Consolidations involving of so notifying the Bank. If the notified its Bank shall be entitled to members. consolidated institution does not submit have continued access to the benefits of (a) Consolidation of members. Upon an application for membership by the membership until the effective date of the consolidation of two or more end of the period, the Bank shall require its withdrawal. The Bank need not institutions that are members of the the liquidation of any outstanding commit to providing any further same Bank into one institution indebtedness owed by the former services, including advances, to a operating under the charter of one of the member, shall settle all outstanding withdrawing member that would mature

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or otherwise terminate subsequent to (3) Would jeopardize the safety or or acquire any capital stock of any Bank, the effective date of the withdrawal. A soundness of the Bank if it were to for a period of five years from the date member may cancel its notice of remain a member. on which its membership terminated withdrawal at any time prior to its (b) Stock redemption periods. The and it divested all of its shares of Bank effective date by providing a written applicable 6-month and 5-year stock stock. cancellation notice to the Bank. A Bank redemption periods, respectively, for all (b) Exceptions. An institution that may impose a fee on a member that of the Class A and Class B stock owned transfers membership between two cancels a notice of withdrawal, by a member and not already subject to Banks without interruption shall not be provided that the fee or the manner of a pending request for redemption, shall deemed to have withdrawn from Bank its calculation is specified in the Bank’s commence on the date that the Bank membership or had its membership capital plan. terminates the institution’s membership. terminated. (2) A Bank shall notify FHFA within (c) Membership rights. An institution 10 calendar days of receipt of any notice whose membership is terminated Subpart F—Other Membership of withdrawal or notice of cancellation involuntarily under this section shall Provisions of withdrawal from membership. cease being a member as of the date on (b) Effective date of withdrawal. The which the board of directors of the Bank § 1263.31 Reports and examinations. membership of an institution that has acts to terminate the membership, and As a condition precedent to Bank submitted a notice of withdrawal shall the institution shall have no right to membership, each member: terminate as of the date on which the obtain any of the benefits of (a) Consents to such examinations as last of the applicable stock redemption membership after that date, but shall be periods ends for the stock that the the Bank or FHFA may require for entitled to receive any dividends purposes of the Bank Act; member is required to hold, as of the declared on its stock until the stock is date that the notice of withdrawal is redeemed or repurchased by the Bank. (b) Agrees that reports of examination submitted, under the terms of a Bank’s by local, State or federal agencies or capital plan as a condition of § 1263.28 [Reserved] institutions may be furnished by such authorities to the Bank or FHFA upon membership, unless the institution has § 1263.29 Disposition of claims. cancelled its notice of withdrawal prior request; (a) In general. If an institution to the effective date of the termination (c) Agrees to give the Bank or the withdraws from membership or its of its membership. appropriate Federal banking agency, membership is otherwise terminated, (c) Stock redemption periods. The upon request, such information as the the Bank shall determine an orderly receipt by a Bank of a notice of Bank or the appropriate Federal banking manner for liquidating all outstanding withdrawal shall commence the agency may need to compile and indebtedness owed by that member to applicable 6-month and 5-year stock publish cost of funds indices and to the Bank and for settling all other claims redemption periods, respectively, for all publish other reports or statistical against the member. After all such of the Class A and Class B stock held by summaries pertaining to the activities of obligations and claims have been that member that is not already subject Bank members; to a pending request for redemption. In extinguished or settled, the Bank shall return to the member all collateral (d) Agrees to provide the Bank with the case of an institution, the calendar year-end financial data each membership of which has been pledged by the member to the Bank to secure its obligations to the Bank. year, for purposes of making the terminated as a result of a merger or calculation described in § 1263.22; and other consolidation into a nonmember (b) Bank stock. If an institution that or into a member of another Bank, the has withdrawn from membership or that (e) Agrees to provide the Bank with applicable stock redemption periods for otherwise has had its membership copies of reports of condition and any stock that is not subject to a terminated remains indebted to the operations required to be filed with the pending notice of redemption shall be Bank or has outstanding any business member’s appropriate Federal banking deemed to commence on the date on transactions with the Bank after the agency, if applicable, within 20 calendar which the charter of the former member effective date of its termination of days of filing, as well as copies of any is cancelled. membership, the Bank shall not redeem annual report of condition and or repurchase any Bank stock that is operations required to be filed. § 1263.27 Involuntary termination of required to support the indebtedness or membership. the business transactions until after all § 1263.32 Official membership insignia. (a) Grounds. The board of directors of such indebtedness and business Members may display the approved a Bank may terminate the membership transactions have been extinguished or insignia of membership on their of any institution that: settled. documents, advertising and quarters, (1) Fails to comply with any and likewise use the words ‘‘Member requirement of the Bank Act, any § 1263.30 Readmission to membership. Federal Home Loan Bank System.’’ regulation adopted by FHFA, or any (a) In general. An institution that has Dated: January 11, 2016. requirement of the Bank’s capital plan; withdrawn from membership or (2) Becomes insolvent or otherwise otherwise has had its membership Melvin L. Watt, subject to the appointment of a terminated and which has divested all Director, Federal Housing Finance Agency. conservator, receiver, or other legal of its shares of Bank stock, may not be [FR Doc. 2016–00761 Filed 1–19–16; 8:45 am] custodian under federal or State law; or readmitted to membership in any Bank, BILLING CODE 8070–01–P

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Reader Aids Federal Register Vol. 81, No. 12 Wednesday, January 20, 2016

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Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 12 CFR Presidential Documents 2 CFR 1263...... 3246 Executive orders and proclamations 741–6000 2701...... 1115 The United States Government Manual 741–6000 Proposed Rules: 3 CFR Ch. I ...... 1923 Other Services Ch. II ...... 1923 Proclamations: Ch. III ...... 1923 Electronic and on-line services (voice) 741–6020 9385...... 713 Privacy Act Compilation 741–6064 9386...... 715 13 CFR Public Laws Update Service (numbers, dates, etc.) 741–6043 9387...... 717 143...... 1115 9388...... 1851 Proposed Rules: ELECTRONIC RESEARCH Administrative Orders: 120...... 2129 Memorandums: World Wide Web Memorandum of 14 CFR January 4, 2016 ...... 719 21...... 1482 Full text of the daily Federal Register, CFR and other publications 39 ...145, 147, 869, 1291, 1483, is located at: www.fdsys.gov. 5 CFR 1486, 1489, 1492, 1494, Federal Register information and research tools, including Public Proposed Rules: 1497, 1502, 1504, 1508, Inspection List, indexes, and Code of Federal Regulations are 870...... 1336 1870, 1874 located at: www.ofr.gov. 45...... 1482 7 CFR 61...... 1, 1292 E-mail 57...... 1481 71 ...... 1511, 1877, 2084, 2986, FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 205...... 2067 2987 an open e-mail service that provides subscribers with a digital 271...... 2725 91...... 721, 727 form of the Federal Register Table of Contents. The digital form 272...... 2725 97...... 1511 of the Federal Register Table of Contents includes HTML and 275...... 2725 121...... 1 PDF links to the full text of each document. 3570...... 1861 135...... 1 183...... 1292 To join or leave, go to http://listserv.access.gpo.gov and select Proposed Rules: 271...... 398 Proposed Rules: Online mailing list archives, FEDREGTOC-L, Join or leave the list 36...... 1923 (or change settings); then follow the instructions. 272...... 398 273...... 398 39.....22, 24, 27, 28, 30, 32, 34, PENS (Public Law Electronic Notification Service) is an e-mail 274...... 398 38, 191, 1345, 1563, 1565, service that notifies subscribers of recently enacted laws. 278...... 398 1568, 1570, 1573, 1577, To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 331...... 2762 1580, 1582, 1584, 1586, and select Join or leave the list (or change settings); then follow 457...... 1337 1588, 2131, 2134, 2783, the instructions. 810...... 2774, 2775 2785, 3038, 3042, 3045, 996...... 2775 3051, 3053, 3056, 3059, FEDREGTOC-L and PENS are mailing lists only. We cannot 3061, 3066 respond to specific inquiries. 7 CFR 71...... 1590 Reference questions. Send questions and comments about the Proposed Rules: 91...... 1923 Federal Register system to: [email protected] 319...... 3033 382...... 193 The Federal Register staff cannot interpret specific documents or 15 CFR 8 CFR regulations. 902...... 150, 1878 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 204...... 2068 950...... 1118 214...... 2068 longer appears in the Federal Register. This information can be Proposed Rules: 248...... 2068 found online at http://bookstore.gpo.gov/. 922...... 879 274a...... 2068 16 CFR FEDERAL REGISTER PAGES AND DATE, JANUARY 9 CFR 1...... 2742 1–144...... 4 91...... 2967 306...... 2054 145–370...... 5 Proposed Rules: 1109...... 2 121...... 2762 371–718...... 6 1500...... 2 Proposed Rules: 719–868...... 7 10 CFR 23...... 1349 869–1114...... 8 72...... 371, 1116 1115–1290...... 11 429 ...... 580, 1028, 2628 17 CFR 1291–1480...... 12 430 ...... 580, 2320, 2328 23...... 636 1481–1850...... 13 431...... 1028, 2420 140...... 636 1851–2066...... 14 Proposed Rules: 229...... 2743 2067–2724...... 15 50...... 410 232...... 3 2725–2966...... 19 72...... 412 239...... 2743 2967–3288...... 20 430...... 1688 Proposed Rules: 431...... 2111 3...... 1359

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240...... 733 Proposed Rules: 56...... 3004 47 CFR 110...... 194 57...... 3004 1...... 396 18 CFR 165...... 3069 59...... 3004 5...... 1899 381...... 2748 59a...... 3004 36 CFR 20...... 173 62...... 3004 52...... 1131 19 CFR Proposed Rules: 63a...... 3004 73...... 2751 10...... 2085 13...... 1592 64...... 3004 90...... 2106 261...... 2788 65...... 3004 12...... 2086 Proposed Rules: 65a...... 3004 24...... 2085 1...... 1802 38 CFR 66...... 3004 162...... 2085 2...... 1802 3...... 1512 67...... 3004 163...... 2085 15...... 1802 124...... 3004 178...... 2085 Proposed Rules: 20...... 204 136...... 3004 17...... 196 25...... 1802 20 CFR 403...... 3004 30...... 1802 39 CFR 417...... 3004 Proposed Rules: 64...... 3085 430...... 3004 30...... 2787 3017...... 869 69...... 3086 433...... 3004 404...... 41 Proposed Rules: 73...... 2818 434...... 3004 3000...... 1931 74...... 2818 21 CFR 435...... 3004 3001...... 1931 101...... 1802 176...... 5 3008...... 1931 436...... 3004 884 ...... 354, 364, 378 438...... 3004 48 CFR 40 CFR 440...... 3004 Proposed Rules: 501...... 1531 52 ...... 296, 1122, 1124, 1127, 441...... 3004 172...... 42 504...... 1531 1128, 1320, 1514, 1881, 456...... 3004 509...... 1531 22 CFR 1882, 1884, 1887, 1890, 457...... 3004 519...... 1531 2090, 2991, 2993 1001...... 3004 171...... 2988 522...... 1531 62...... 380 Proposed Rules: Proposed Rules: 536...... 1531 70...... 1890, 2090 73...... 2805 147...... 44 537...... 1531 81...... 1514, 2993 100...... 884 552...... 1531 141...... 13 24 CFR 570...... 1531 174...... 3001 200...... 1120 44 CFR 1022...... 2760 180 ...... 1522, 1526, 1890 280...... 1120 64...... 1894, 1897 1052...... 2760 Proposed Rules: 570...... 1120 Proposed Rules: Proposed Rules: Ch. I ...... 1365 Proposed Rules: 206...... 3082 19...... 3087 52 ...... 1133, 1136, 1141, 1144, Ch. IX...... 881 42...... 3087 1935, 2004, 2136, 2140, 52...... 3087 2159, 3078 45 CFR 26 CFR 216...... 1596 62...... 414 1...... 2088 16...... 3004 225...... 1596 70...... 2159 63...... 3004 252...... 1596 Proposed Rules: 81...... 1144 75...... 3004 1 ....194, 882, 1364, 1592, 3069 98...... 2536 87...... 3004 20...... 1364 49 CFR 122...... 415 95...... 3004 25...... 1364 130...... 2791 98...... 3004 Proposed Rules: 26...... 1364 180...... 2803 164...... 382 195...... 885 31...... 1364 261...... 3004 512...... 47 301...... 1364 41 CFR 262...... 2092, 3004 50 CFR 27 CFR Proposed Rules: 263...... 3004 300–3...... 884 264...... 2092 16...... 1534 478...... 1307 301–11...... 884 265...... 2092, 3004 17...... 1322, 1900 479...... 2658 301–12...... 884 286...... 3004 223...... 3023 300...... 1878, 2110 28 CFR 301–70...... 884 287...... 3004 301...... 3004 600...... 1762 571...... 1880 42 CFR 302...... 3004 622...... 1762, 3031 635...... 19 29 CFR 38...... 3004 303...... 3004 50...... 3004 304...... 3004 660...... 183 4022...... 2088 51...... 3004 309...... 3004 665...... 2761 51a...... 3004 400...... 3004 679 ...... 150, 184, 188 31 CFR 51b...... 3004 1000...... 3004 680...... 1557 285...... 1318 51c ...... 3004 1301...... 3004 Proposed Rules: 51d...... 3004 1304...... 3004 17 ...... 214, 435, 1000, 1368, 32 CFR 52...... 3004 1309...... 3004 1597 706...... 8 52a...... 3004 1321...... 3004 32...... 886, 887 52b...... 3004 1326...... 3004 36...... 886, 887 33 CFR 52c ...... 3004 1328...... 3004 223...... 1376 117 ...... 10, 1121, 2089 52d...... 3004 1336...... 3004 224...... 1376 151...... 173 52e...... 3004 1355...... 3004 660...... 215, 2831 165 ...... 11, 2749, 2989 55a...... 3004 1357...... 3004 679...... 897

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in today’s List of Public enacted public laws. To Laws. subscribe, go to http:// LIST OF PUBLIC LAWS Public Laws Electronic listserv.gsa.gov/archives/ Last List December 23, 2015 Notification Service publaws-l.html (PENS) Note: No public bills which Note: This service is strictly have become law were for E-mail notification of new received by the Office of the PENS is a free electronic mail laws. The text of laws is not Federal Register for inclusion notification service of newly available through this service. PENS cannot respond to specific inquiries sent to this address.

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