Vol. 76 Tuesday, No. 109 June 7, 2011 Pages 32851–33120

Vol. 76 Tuesday, No. 109 June 7, 2011

Pages 32851–33120

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 76, No. 109

Tuesday, June 7, 2011

Agriculture Department Environmental Protection Agency See Food Safety and Inspection Service PROPOSED RULES See Rural Business-Cooperative Service Control of Emissions from New Highway Vehicles and Engines: Arts and Humanities, National Foundation Guidance on Certification Requirements for Heavy-Duty See National Foundation on the Arts and the Humanities Diesel Engines Using Selective Catalytic Reduction Technology, 32886–32896 Census Bureau NOTICES Executive Office of the President Agency Information Collection Activities; Proposals, See Presidential Documents Submissions, and Approvals: 2012 Economic Census of Island Areas, 32950 Federal Aviation Administration PROPOSED RULES Commerce Department Proposed Modifications of Class E Airspace: See Census Bureau Forsyth, MT, 32879–32880 See International Trade Administration NOTICES See National Oceanic and Atmospheric Administration Agency Information Collection Activities; Proposals, Commodity Futures Trading Commission Submissions, and Approvals: FAA Entry Point Filing Form – International Registry, PROPOSED RULES 33021–33022 Adaptation of Regulations to Incorporate Swaps, 33066– Implementation to Equal Access to Justice Act, 33022 33113 Mixed Swaps; Security-Based Swap Agreement Meetings: Recordkeeping: RTCA Special Committee 159; Global Positioning System, Definitions of Swap, Security-Based Swap, and Security- 33022–33023 Based Swap Agreement; Correction, 32880 Federal Communications Commission Defense Department RULES See Navy Department Cable Landing Licenses; Correction, 32866–32867 NOTICES PROPOSED RULES 36(b)(1) Arms Sales Notifications, 32958–32961 Provisions of Fixed and Mobile Broadband Access, Educational and Other Advanced Services: Department of Transportation 2150–2162 and 2500–2690 MHz Bands, 32901–32906 See Pipeline and Hazardous Materials Safety NOTICES Administration Meetings; Sunshine Act, 32974 Education Department Federal Emergency Management Agency NOTICES PROPOSED RULES Grant Awards Programs: Proposed Flood Elevation Determinations, 32896–32901 Deadline Dates for Receipt of Applications, Reports, and NOTICES Other Records, 32961–32966 Agency Information Collection Activities; Proposals, Proposed Extensions and Waivers: Submissions, and Approvals: National Center to Enhance Professional Development of Write Your Own Program, 32981–32982 School Personnel, etc., 32968–32969 Emergencies and Related Determinations: National Early Childhood Technical Assistance Center, Alabama, 32982 32967–32968 Major Disasters and Related Determinations: National Technical Assistance and Dissemination Center Alabama, 32982–32983 for Children Who are Deaf–Blind, 32969–32971 Arkansas, 32984–32985 Proposed Priorities: Georgia, 32985 National Institute on Disability and Rehabilitation Kentucky, 32985–32986 Research, 32971–32974 Mississippi, 32984 Tennessee, 32983 Employment and Training Administration NOTICES Federal Maritime Commission Requests for Certification of Compliance: NOTICES Rural Industrialization Loan and Grant Program, 32989 Agency Information Collection Activities; Proposals, Workforce Investment Act of 1998; Incentive Funding Submissions, and Approvals, 32974–32975 Availabilities: Program Year 2009 Performance; Correction, 32990– Federal Motor Carrier Safety Administration 32991 PROPOSED RULES Inspection, Repair, and Maintenance: Employment Standards Administration Driver–Vehicle Inspection Report for Intermodal See Wage and Hour Division Equipment, 32906–32911

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Federal Reserve System International Trade Administration NOTICES NOTICES Change in Bank Control Notices; Acquisitions of Shares of Coal Mining Equipment, Technologies and Services Trade Bank or Bank Holding Company, 32975–32976 Mission to China and Mongolia, 32951–32953 Transportation Infrastructure/Multimodal Products and Fish and Wildlife Service Services Trade Mission to Doha, Qatar, and Abu Dhabi RULES and Dubai, United Arab Emirates, 32953–32956 Endangered and Threatened Wildlife and Plants: Designation of Critical Habitat for Roswell Springsnail, International Trade Commission Koster’s Springsnail, Noel’s Amphipod, and Pecos NOTICES Assiminea, 33036–33064 Complaints: PROPOSED RULES Solicitation of Comments Relating to Public Interest, Endangered and Threatened Wildlife and Plants: 32987–32988 Petition to List Striped Newt as Threatened, 32911–32929 Labor Department See Employment and Training Administration Food and Drug Administration See Wage and Hour Division RULES NOTICES Guidance for Industry and Investigators on Enforcement of Agency Information Collection Activities; Proposals, Safety Reporting Requirements: Submissions, and Approvals: Investigational New Drug Applications and Grain Handling Facilities, 32988–32989 Bioavailability/Bioequivalence Studies; Availability, 32863–32864 National Foundation on the Arts and the Humanities NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals, 32992–32993 Infant Formula Recall Regulations, 32976–32977 National Institutes of Health Food Safety and Inspection Service NOTICES NOTICES Meetings: International Standard-Setting Activities, 32933–32943 Eunice Kennedy Shriver National Institute of Child Health and Human Development, 32979–32980 Health and Human Services Department National Institute of Allergy and Infectious Diseases, See Food and Drug Administration 32980 See National Institutes of Health National Institute of Diabetes and Digestive and Kidney Diseases, 32978–32979 National Institute of General Medical Sciences, 32979– Homeland Security Department 32980 See Federal Emergency Management Agency National Institute of Nursing Research, 32978 NOTICES Agency Information Collection Activities; Proposals, National Institute on Aging, 32977–32978 Submissions, and Approvals: National Institute on Alcohol Abuse and Alcoholism, Telecommunications Service Priority System, 32980– 32978 32981 National Oceanic and Atmospheric Administration RULES Interior Department Fisheries of Northeastern United States: See Fish and Wildlife Service 2011 Specifications for Spiny Dogfish Fishery, 32873– See National Park Service 32876 NOTICES Fisheries Off West Coast States: Meetings: West Coast Salmon Fisheries; 2011 Management Vendor Outreach Workshop for Small Businesses in Measures; Correction, 32876–32877 Texas Intermountain Region, 32986 PROPOSED RULES Western Pacific Pelagic Fisheries: Internal Revenue Service American Samoa Longline Gear Modifications to Reduce RULES Turtle Interactions, 32929–32932 Extension of Withholding to Certain Payments Made by NOTICES Government Entities; Correction:, 32864–32865 Meetings: PROPOSED RULES Fisheries of South Atlantic; Southeast Data, Assessment, Encouraging New Markets Tax Credit Non-Real Estate and Review, 32956–32957 Investments, 32880–32882 Gulf of Mexico Fishery Management Council, 32956 New Markets Tax Credit Non-Real Estate Investments: Membership Solicitations; Hydrographic Services Review Public Hearing, 32882–32885 Panel, 32957–32958 Withholding on Payments by Government Entities to Persons Providing Property or Services: National Park Service Correction, 32885–32886 NOTICES NOTICES Meetings: Agency Information Collection Activities; Proposals, National Capital Memorial Advisory Commission, 32986– Submissions, and Approvals, 33023–33026 32987

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National Science Foundation Railroad Retirement Board NOTICES NOTICES Meetings: Agency Information Collection Activities; Proposals, Toward Innovative Spectrum-Sharing Technologies, etc.; Submissions, and Approvals, 33002–33003 Technical Workshop, 32993 Rural Business-Cooperative Service NOTICES National Transportation Safety Board Rural Cooperative Development Grant Application NOTICES Deadlines, 32943–32949 Meetings; Sunshine Act, 32993–32994 Securities and Exchange Commission Navy Department PROPOSED RULES RULES Mixed Swaps; Security-Based Swap Agreement Certifications and Exemptions under International Recordkeeping: Regulations for Preventing Collisions at Sea, 1972, Definitions of Swap, Security-Based Swap, and Security- 32865–32866 Based Swap Agreement; Correction, 32880 NOTICES Applications for Orders under Section 26(c) of Investment Nuclear Regulatory Commission Company Act of 1940, as Amended: PROPOSED RULES TIAA–CREF Life Insurance Co., et al., 33003–33011 Draft Regulatory Guides: Self-Regulatory Organizations; Proposed Rule Changes: Preoperational Testing of Emergency Core Cooling NASDAQ OMX BX, 33014–33015 Systems for Pressurized-Water Reactors, 32878– NASDAQ OMX BX Inc. LLC, 33011–33012 32879 NASDAQ OMX PHLX LLC, 33012–33013, 33015–33017 NOTICES NASDAQ Stock Market LLC, 33017–33018 Combined License Applications: Sunshine Act Meeting, 33018 Nine Mile Point 3 Nuclear Project, LLC and UniStar Nuclear Operating Services, LLC, 32994–32996 State Department NOTICES Personnel Management Office Waiver of Restriction on Assistance to Royal Government of Cambodia, 33019 RULES General Schedule Locality Pay Areas, 32859–32863 Susquehanna River Basin Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Projects Approved for Consumptive Uses of Water, 33019– Submissions, and Approvals: 33021 Designation of Beneficiary (FERS), 32996 Health Benefits Election Form, 32996–32997 Transportation Department Request for Change to Unreduced Annuity, 32997 See Federal Aviation Administration Privacy Act; Systems of Records, 32997–33002 See Federal Motor Carrier Safety Administration See Pipeline and Hazardous Materials Safety Pipeline and Hazardous Materials Safety Administration Administration RULES Hazardous Materials Treasury Department Requirements for Storage of Explosives During See Internal Revenue Service Transportation, 32867–32873 See United States Mint NOTICES United States Mint Safety Advisories: Unauthorized Marking of Compressed Gas Cylinders, NOTICES 33023 Pricing for 2011 American Eagle Silver Proof Coin, 33026– 33027

Presidential Documents Veterans Affairs Department PROCLAMATIONS NOTICES Special Observances: Agency Information Collection Activities; Proposals, African-American Music Appreciation Month (Proc. Submissions, and Approvals: 8684), 32851–32852 Application for Exclusion of Children’s Income, 33028 Great Outdoors Month (Proc. 8687), 32857–32858 Certification of School Attendance – REPS, 33030–33031 Lesbian, Gay, Bisexual, and Transgender Pride Month Certification of School Attendance or Termination, (Proc. 8685), 32853–32854 33027–33028 National Caribbean-American Heritage Month (Proc. Disability Benefits Questionnaires – Group 1, 33029– 8686), 32855–32856 33030 National Oceans Month (Proc. 8688), 33119–33120 Information from Remarried Widow/er, 33030 ADMINISTRATIVE ORDERS Information Regarding Apportionment of Beneficiary’s Government Agencies and Employees: Award, 33029 Health and Human Services, Department of; Public National Practitioner Data Bank Regulation, 33032 Health Services, Ready Reserve Corps, Appointment Request for Contact Information, 33031 Authority (Memorandum of May 31, 2011), 33115– Requirements for Interest Rate Reduction Refinancing 33117 Loans, 33028–33029

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Statement of Marital Relationship, 33027 Part III Supplemental Income Questionnaire (For Philippine Commodity Futures Trading Commission, 33066–33113 Claims Only), 33027 Veteran’s Application for Increased Compensation Based on Unemployability, 33031–33032 Part IV Veteran’s Supplemental Application for Assistance in Presidential Documents, 33115–33117, 33119–33120 Acquiring Specially Adapted Housing, 33032–33033 Wage and Hour Division NOTICES Reader Aids Agency Information Collection Activities; Proposals, Consult the Reader Aids section at the end of this page for Submissions, and Approvals: phone numbers, online resources, finding aids, reminders, Family Medical Leave Act Employee and Employer and notice of recently enacted public laws. Surveys, 32991–32992 To subscribe to the Federal Register Table of Contents LISTSERV electronic mailing list, go to http:// Separate Parts In This Issue listserv.access.gpo.gov and select Online mailing list archives, FEDREGTOC-L, Join or leave the list (or change Part II settings); then follow the instructions. Interior Department, Fish and Wildlife Service, 33036– 33064

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR 665...... 32929 Proclamations: 8684...... 32851 8685...... 32853 8686...... 32855 8687...... 32857 8688...... 33119 Administrative Orders: Memorandums: Memorandum of May 31, 2011 ...... 33117 5 CFR 531...... 32859 10 CFR Proposed Rules: 50...... 32878 14 CFR Proposed Rules: 71...... 32879 17 CFR Proposed Rules: 1 (2 documents) ...... 32880, 33066 5...... 33066 7...... 33066 8...... 33066 15...... 33066 18...... 33066 21...... 33066 36...... 33066 41...... 33066 140...... 33066 145...... 33066 155...... 33066 166...... 33066 240...... 32880 21 CFR 312...... 32863 320...... 32863 26 CFR 31...... 32864 Proposed Rules: 1 (2 documents) ...... 32880, 32882 31...... 32885 32 CFR 706...... 32865 40 CFR Proposed Rules: 86...... 32886 44 CFR Proposed Rules: 67...... 32896 47 CFR 1...... 32866 Proposed Rules: 27...... 32901 49 CFR 171...... 32867 177...... 32867 Proposed Rules: 390...... 32906 396...... 32906 50 CFR 17...... 33036 648...... 32873 660...... 32876 Proposed Rules: 17...... 32911

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Federal Register Presidential Documents Vol. 76, No. 109

Tuesday, June 7, 2011

Title 3— Proclamation 8684 of May 31, 2011

The President African-American Music Appreciation Month, 2011

By the President of the United States of America

A Proclamation The music of our Nation has always spoken to the condition of our people and reflected the diversity of our Union. African-American musicians, composers, singers, and songwriters have made enormous contributions to our culture by capturing the hardships and aspirations of a community and reminding us of our shared values. During African-American Music Apprecia- tion Month, we honor the rich musical traditions of African-American musicians and their gifts to our country and our world. From the cadenced hums of spirituals to the melodies of rhythm and blues, African-American music has been used to communicate, to challenge, to praise, and to uplift in times of both despair and triumph. The rhythmic chords embedded in spirituals have long expressed a deep faith in the power of prayer, and brought hope to slaves toiling in fields. The soulfulness of jazz and storytelling in the blues inspired a cultural renaissance, while the potent words of gospel gave strength to a generation that rose above the din of hatred to move our country toward justice and equality for all. Today, African-American musicians continue to create new musical genres and transform the scope of traditional musical formats. The artistic depth of soul, rock and roll, and hip-hop not only bring together people across our Nation, but also energize and shape the creativity of artists around the world. The contributions of African-American composers and musicians to symphony, opera, choral music, and musical theater continue to reach new audiences and encourage listeners to celebrate fresh interpretations of these and other genres. In cherished songs passed down through generations and innovative musical fusions crafted today, African-American music continues to transcend time, place, and circumstance to provide a source of pride and inspiration for all who hear its harmonies. This month, we celebrate the legacy of African-American music and its enduring power to bring life to the narrative of our Nation. NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and laws of the United States, do hereby proclaim June 2011 as African- American Music Appreciation Month. I call upon public officials, educators, and all the people of the United States to observe this month with appropriate activities and programs that raise awareness and foster appreciation of music which is composed, arranged, or performed by African Americans.

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IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of May, in the year of our Lord two thousand eleven, and of the Independence of the United States of America the two hundred and thirty-fifth.

[FR Doc. 2011–14170 Filed 6–6–11; 8:45 am] Billing code 3195–W1–P

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Proclamation 8685 of May 31, 2011

Lesbian, Gay, Bisexual, And Transgender Pride Month, 2011

By the President of the United States of America

A Proclamation

The story of America’s Lesbian, Gay, Bisexual, and Transgender (LGBT) community is the story of our fathers and sons, our mothers and daughters, and our friends and neighbors who continue the task of making our country a more perfect Union. It is a story about the struggle to realize the great American promise that all people can live with dignity and fairness under the law. Each June, we commemorate the courageous individuals who have fought to achieve this promise for LGBT Americans, and we rededicate ourselves to the pursuit of equal rights for all, regardless of sexual orientation or gender identity. Since taking office, my Administration has made significant progress towards achieving equality for LGBT Americans. Last December, I was proud to sign the repeal of the discriminatory ‘‘Don’t Ask, Don’t Tell’’ policy. With this repeal, gay and lesbian Americans will be able to serve openly in our Armed Forces for the first time in our Nation’s history. Our national security will be strengthened and the heroic contributions these Americans make to our military, and have made throughout our history, will be fully recognized. My Administration has also taken steps to eliminate discrimination against LGBT Americans in Federal housing programs and to give LGBT Americans the right to visit their loved ones in the hospital. We have made clear through executive branch nondiscrimination policies that discrimination on the basis of gender identity in the Federal workplace will not be tolerated. I have continued to nominate and appoint highly qualified, openly LGBT individuals to executive branch and judicial positions. Because we recognize that LGBT rights are human rights, my Administration stands with advocates of equality around the world in leading the fight against pernicious laws targeting LGBT persons and malicious attempts to exclude LGBT organizations from full participation in the international system. We led a global campaign to ensure ‘‘sexual orientation’’ was included in the United Nations resolution on extrajudicial execution—the only United Nations resolution that specifically mentions LGBT people—to send the unequivocal message that no matter where it occurs, state-sanctioned killing of gays and lesbians is indefensible. No one should be harmed because of who they are or who they love, and my Administration has mobilized unprecedented public commitments from countries around the world to join in the fight against hate and homophobia. At home, we are working to address and eliminate violence against LGBT individuals through our enforcement and implementation of the Matthew Shepard and James Byrd, Jr. Hate Crimes Prevention Act. We are also working to reduce the threat of bullying against young people, including LGBT youth. My Administration is actively engaged with educators and community leaders across America to reduce violence and discrimination in schools. To help dispel the myth that bullying is a harmless or inevitable part of growing up, the First Lady and I hosted the first White House Conference on Bullying Prevention in March. Many senior Administration officials have also joined

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me in reaching out to LGBT youth who have been bullied by recording ‘‘It Gets Better’’ video messages to assure them they are not alone. This month also marks the 30th anniversary of the emergence of the HIV/ AIDS epidemic, which has had a profound impact on the LGBT community. Though we have made strides in combating this devastating disease, more work remains to be done, and I am committed to expanding access to HIV/AIDS prevention and care. Last year, I announced the first comprehensive National HIV/AIDS Strategy for the United States. This strategy focuses on combinations of evidence-based approaches to decrease new HIV infections in high risk communities, improve care for people living with HIV/ AIDS, and reduce health disparities. My Administration also increased domestic HIV/AIDS funding to support the Ryan White HIV/AIDS Program and HIV prevention, and to invest in HIV/AIDS-related research. However, government cannot take on this disease alone. This landmark anniversary is an opportunity for the LGBT community and allies to recommit to raising awareness about HIV/AIDS and continuing the fight against this deadly pandemic. Every generation of Americans has brought our Nation closer to fulfilling its promise of equality. While progress has taken time, our achievements in advancing the rights of LGBT Americans remind us that history is on our side, and that the American people will never stop striving toward liberty and justice for all. NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim June 2011 as Lesbian, Gay, Bisexual, and Transgender Pride Month. I call upon the people of the United States to eliminate prejudice everywhere it exists, and to celebrate the great diversity of the American people. IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of May, in the year of our Lord two thousand eleven, and of the Independence of the United States of America the two hundred and thirty-fifth.

[FR Doc. 2011–14174 Filed 6–6–11; 8:45 am] Billing code 3195–W1–P

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Proclamation 8686 of May 31, 2011

National Caribbean-American Heritage Month, 2011

By the President of the United States of America

A Proclamation The fabric of our Nation has been woven together and enriched by the diversity of our people. Our legacy as a Nation of immigrants is part of what makes America strong, and during National Caribbean-American Herit- age Month, we celebrate the rich history and vibrant culture Caribbean Americans have brought to our shores. Immigrants from Caribbean countries have come to America for centuries. Some came through the bondage of slavery. Others willfully left behind the world they knew in search of a better life. Regardless of the circumstances of their arrival, they had faith their descendants would have a chance to realize their greatest potential. Caribbean Americans have prospered in every sector of our society and enhanced our national character while maintaining the multiethnic and multicultural traditions of their homelands. They are doctors and lawyers, public servants and scientists, and athletes and service members. Their successes inspire individuals in the United States and abroad, and we take pride in the contributions Caribbean Americans continue to make to the narrative of our Nation’s progress. Their achievements are borne of hard work and ambition, and my Administration is committed to creating pathways to prosperity that ensure future generations of Caribbean Americans, along with all Americans, are able to pursue and realize the American dream. This month, we also recognize the important friendship between the United States and the countries of the Caribbean as we expand our partnership to promote economic development, democratic governance, citizen security, and improved health and education in the region. Additionally, as Haiti continues to recover from last year’s devastating earthquake, we remain committed to standing beside the people of Haiti as they rebuild their proud nation, and to working with others in the region to bring lasting prosperity and stability to the country. NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim June 2011 as National Caribbean-American Heritage Month. I urge all Americans to commemorate this time when we celebrate the history and culture of Caribbean Americans.

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[FR Doc. 2011–14182 Filed 6–6–11; 8:45 am] Billing code 3195–W1–P

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Proclamation 8687 of May 31, 2011

Great Outdoors Month, 2011

By the President of the United States of America

A Proclamation

For generations, America’s great outdoors have ignited our imaginations, bolstered our economy, and fueled our national spirit of adventure and independence. The United States holds a stunning array of natural beauty— from sweeping rangelands and tranquil beaches, to forests stretching over rolling hills and rivers raging through stone-faced cliffs. During Great Out- doors Month, we rededicate ourselves to experiencing and protecting these unique landscapes and treasured sites. As America’s frontier diminished and our cities expanded, a few bold leaders and individuals had the foresight to protect our most precious natural and historic places. Today, we all share the responsibility to uphold their legacy of conservation, whether by protecting an iconic vast public land, or by creating a community garden or an urban park. Last year, I was proud to launch the America’s Great Outdoors Initiative, a project that empowers Americans to help build a new approach to conservation and outdoor recreation. My Administration hosted dozens of regional listening sessions to collect ideas from people from across our country with a stake in the health of our environment and natural places. Our conversations with businesspeople, ranchers, hunters, fishermen, tribal leaders, students, and community groups led to a report unveiled in February, America’s Great Outdoors: A Promise to Future Generations, which lays the foundation for smarter, more community-driven action to protect our invaluable natural heritage. Our plan will restore and increase recreational access to public lands and waterways; bolster rural landscapes, including working farms and ranches; develop the next generation of urban parks and community green spaces; and create a new Conservation Service Corps so that young people can experience and restore the great outdoors. To implement these recommendations, my Administration is dedicated to building strong working relationships with State, local, and tribal governments, as well as community, private, and non-profit partners across America. The First Lady’s ‘‘Let’s Move!’’ initiative encourages youth to enjoy what our outdoors have to offer. These programs and partnerships will improve our quality of life and our health, rejuvenate local and regional economies, spur job creation, protect wildlife and historic places, and ensure our natural legacy endures for generations to come. All Americans can read the report and learn more at www.AmericasGreatOutdoors.gov. As we commit to protecting our country’s outdoor spaces, we also celebrate all they have to offer. Our public lands and other open areas provide myriad opportunities for families and friends to explore, play, and grow together—from hiking and wildlife watching to canoeing, hunting, and fishing, and playing in a neighborhood park. These activities can help our kids stay healthy, active, and energized, while reconnecting with their natural heritage. This month, let each of us resolve to protect our great outdoors; discover their wonders; and share them with our friends, our neighbors, and our children.

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NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim June 2011 as Great Outdoors Month. I urge all Americans to explore the great outdoors and to uphold our Nation’s legacy of conserving our lands for future generations. IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of May, in the year of our Lord two thousand eleven, and of the Independence of the United States of America the two hundred and thirty-fifth.

[FR Doc. 2011–14185 Filed 6–6–11; 8:45 am] Billing code 3195–W1–P

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Rules and Regulations Federal Register Vol. 76, No. 109

Tuesday, June 7, 2011

This section of the FEDERAL REGISTER (202) 606–4264; e-mail: pay-leave- showing pay disparities between contains regulatory documents having general [email protected]. General Schedule (GS) and non-Federal applicability and legal effect, most of which pay well above that for the Rest of U.S. are keyed to and codified in the Code of SUPPLEMENTARY INFORMATION: Section 5304 of title 5, United States Code, (RUS) locality pay area. Such action also Federal Regulations, which is published under coincides with the sense of the Congress 50 titles pursuant to 44 U.S.C. 1510. authorizes locality pay for General Schedule (GS) employees with duty statement in the NAREAA that these The Code of Federal Regulations is sold by stations in the United States and its locations each be covered by a single the Superintendent of Documents. Prices of territories and possessions. The Non- separate locality pay area. The Pay new books are listed in the first FEDERAL Foreign Area Retirement Equity Agent also concluded that the other REGISTER issue of each week. Assurance Act of 2009 (NAREAA), non-foreign areas, which are not Public Law 111–84, title XIX, subtitle B covered by the NCS program, should be (October 28, 2009), extended locality treated like other locations in the United OFFICE OF PERSONNEL States where pay levels are lower than MANAGEMENT pay to the States of Alaska and Hawaii and the U.S. territories and possessions in the RUS area, or that cannot be surveyed separately and included them 5 CFR Part 531 effective in January 2010. While the statute included a sense of the Congress in the RUS area. RIN 3206–AM25 statement that one locality pay area Development of New Survey General Schedule Locality Pay Areas cover the entire State of Alaska and one Methodology cover the entire State of Hawaii, it did AGENCY: U.S. Office of Personnel not actually establish any new locality In response to earlier requests of the Management. pay areas. Federal Salary Council, BLS has ACTION: Final rule. Section 5304(f) of title 5, United developed a method for using data from States Code, authorizes the President’s its much larger Occupational SUMMARY: On behalf of the President’s Pay Agent (the Secretary of Labor, the Employment Statistics (OES) program in Pay Agent, the U.S. Office of Personnel Director of the Office of Management conjunction with National Management is issuing final regulations and Budget, and the Director of the Compensation Survey (NCS) data. The on the locality pay program for General Office of Personnel Management (OPM)) method assesses the impact of level of Schedule employees. The regulations, to determine locality pay areas. The work on pay using NCS data so that OES which became applicable as an interim boundaries of locality pay areas must be data can be used to compare GS and rule on January 2, 2011, established based on appropriate factors, which may non-Federal pay for the same levels of separate locality pay areas for the States include local labor market patterns, work in a geographic area as required by of Alaska and Hawaii and extended commuting patterns, and the practices the locality pay statute. The President’s coverage of the Rest of U.S. locality pay of other employers. The Pay Agent must Fiscal Year 2011 budget included a area to include American Samoa, the give thorough consideration to the proposal to use this new alternative Commonwealth of Puerto Rico, the views and recommendations of the approach for locality pay in order to free Commonwealth of the Northern Mariana Federal Salary Council (Council), a body up BLS resources for use in other Islands, the Territory of Guam, the U.S. composed of experts in the fields of programs while extending the Virgin Islands, and all other U.S. labor relations and pay policy and estimation of pay gaps to areas that are possessions listed in 5 CFR 591.205, representatives of Federal employee not present in the NCS sample. The applicable on the first day of the first organizations. The President appoints Federal Salary Council and the Pay pay period that began on or after the members of the Council, which Agent plan to use the new OES model January 1, 2011. submits annual recommendations to the in the future. DATES: Effective on July 7, 2011 we are Pay Agent about the locality pay While BLS does not cover Guam, adopting as a final rule, with minor program. Puerto Rico, or the U.S. Virgin Islands changes, the interim rule published at In its interim rule, the Pay Agent under the NCS program, BLS does have 75 FR 60285 on September 30, 2010. concluded that separate locality pay a robust sample for these locations and Applicability Date: The regulations areas should be established for the for Anchorage and Honolulu under were applicable on the first day of the States of Alaska and Hawaii because we OES. The Federal Salary Council first pay period beginning on or after have non-Federal salary survey data evaluated comparisons of GS and non- January 1, 2011. collected by the Bureau of Labor Federal pay for these locations before it FOR FURTHER INFORMATION CONTACT: Statistic (BLS) in its National submitted its views on the interim rule. Allan Hearne, (202) 606–2838; FAX: Compensation Survey (NCS) program Here are the results:

COMPARISON OF GS AND NON-FEDERAL PAY USING OES DATA—MARCH 2010

Non-Federal Location pay/GS pay minus RUS Location disparity disparity (percent) (percent)

Anchorage ...... 53.99 25.85 Honolulu ...... 39.19 11.05 Guam ...... ¥0.46 ¥28.60

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COMPARISON OF GS AND NON-FEDERAL PAY USING OES DATA—MARCH 2010—Continued

Non-Federal Location pay/GS pay minus RUS Location disparity disparity (percent) (percent)

Puerto Rico ...... ¥15.31 ¥43.45 U.S. Virgin Islands ...... 15.24 ¥12.90 Rest of U.S...... 28.14 NA

The results indicate that non-Federal representing American Samoa and foundation. The Caraballo settlement is pay levels in Anchorage and Honolulu Guam, and the Guam Federal Executive confined to the former cost-of-living are well above those in the RUS area Association. Comments included: allowance (COLA) program and doesn’t while non-Federal pay levels in Guam, • Some supported separate whole- apply to the GS locality pay program. Puerto Rico, and the U.S. Virgin Islands State pay areas for Alaska and Hawaii as The locality pay statute requires locality are well below those in the RUS area. provided in the regulations. pay based on comparisons of GS and • Some believe a higher rate should non-Federal pay for the same levels of Federal Salary Council Comments be approved for remote areas in Alaska. work, 5 U.S.C. 5304, not on the The Federal Salary Council met (OPM notes, however, that locality pay Caraballo settlement, living costs, or a during the comment period on the must be based on pay comparisons, not view of the ‘‘true picture of the interim regulations and submitted the remoteness.) economies.’’ following comments supporting the Pay • Some believe the statutory cap on Agent’s interim rule: locality pay is unfair. (OPM notes, Comment 2 ‘‘The Non-Foreign Area Retirement Equity however, that the caps are imposed by ‘‘Without an adjustment to account for Assurance Act of 2009 (the Act) extended statute.) • various conditions which are unique to locality pay to the ‘‘non-foreign’’ areas. The Some believe employees in the such areas (including those described Pay Agent issued an interim regulation on Northern Mariana Islands and Guam below), the living standards afforded by September 30, 2010, making Alaska and should receive a higher rate than Alaska Hawaii separate whole-State locality pay the locality pay rate will be lower than and Hawaii due to remoteness and Congress intended.’’ areas and adding American Samoa, the isolation. (OPM notes, however, that Commonwealth of the Northern Mariana locality pay must be based on pay OPM Response Islands, Guam, Puerto Rico, the U.S. Virgin comparisons, not remoteness.) Islands, and U.S. territories and possessions • We find that Congress did not to the Rest of U.S. locality pay area. The Pay Some believe Hawaii should receive prescribe a policy to address any Washington-Baltimore locality pay. Agent concluded Alaska and Hawaii should particular living standard, did not (OPM notes, however, that locality pay be separate areas based on NCS salary authorize consideration of living costs salary survey results show that is not surveys in Anchorage and Honolulu that in setting locality pay, and did not cite show higher non-Federal pay levels than in warranted by local labor market rates.) the RUS area and a sense of Congress living standards in the locality pay Many of the comments expressed the statute. See 5 U.S.C. 5304. The locality contained in the Act that Alaska and Hawaii view that Pacific locations should should be separate whole-State areas. BLS pay statute authorizes locality pay to does not conduct surveys under NCS in any receive either the Hawaii or make General Schedule rates of pay of the other ‘‘non-foreign’’ areas. The Council Washington-Baltimore locality pay rate ‘‘substantially equal (when considered concurs with the Pay Agent’s action to make due to the effect of remoteness and in the aggregate) to the rates paid to Alaska and Hawaii separate whole-State isolation from the mainland. We non-Federal workers for the same levels locality pay areas and include the other areas respond in detail below to comments of work in the same locality.’’ 5 U.S.C. in the RUS locality pay area. submitted by the attorney, since they BLS does include Guam, Puerto Rico, and 5304. Adding separate adjustments expressed similar views and were the above local labor market rates to the U.S. Virgin Islands under the OES most detailed. program and applied its OES model to these account for various conditions which locations. The results are included in Comment 1 are unique to such areas isn’t Attachment 2. Based on the OES model, non- contemplated in the locality pay statute ‘‘It is my view that including Federal pay levels in these locations are and would cause GS rates of pay to be transoceanic non-foreign areas in the below those in the RUS area. However, since higher than market rates, not Rest of U.S. locality pay area is contrary RUS is an average, it is likely about half of ‘‘substantially equal when considered in to the fundamental premise of the RUS is also below the average. Our policy in the aggregate.’’ See 5 U.S.C. 5304. the past has been that the RUS locality rate Caraballo settlement.’’ should be the floor; no location should and Comment 3 receive less than the RUS rate. We believe ‘‘The foundation of the Caraballo this is a good policy and should continue and settlement is the recognition and ‘‘If, for administrative reasons, a non- apply to Guam, Puerto Rico, and the U.S. agreement by the parties that rate-based foreign area is to be included in the Virgin Islands. cost comparisons are insufficient to locality pay area established for a The Council’s recommendations are provide a true picture of the economies broader region, then the two places posted at http://www.opm.gov/oca/fsc/ of the non-foreign areas, which are should have an affinity of some kind.’’ recommendation10.pdf. remote and isolated from the rest of the and country in many ways. This is just as ‘‘However, lumping a transoceanic Comments Received true for salary costs as for living costs.’’ non-foreign area together with Montana OPM received 49 comments on the and Wyoming makes no sense at all.’’ interim rule, including comments from OPM Response and an attorney representing employees in We conclude the fundamental ‘‘The choice made in this rule is the Caraballo v. U.S., Members of Congress premise of Caraballo is equivalent to its least costly for the Government, and

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there does not appear to be any other OPM Response Comment 7 basis for it.’’ The COLA program history is not The attorney, and other commenters, OPM Response relevant to the administration of the are concerned that living cost surveys We believe these locations do have an locality pay program. The COLA statute indicate living costs are high in the affinity. Based on available salary predates locality pay by 42 years and COLA areas while pay surveys indicate survey data, pay levels in these authorized payments in non-foreign pay levels are not so high. He adds ‘‘ locations are low. Both OPM and the areas made in consideration of living However, OPM has made no attempt to Federal Salary Council evaluated costs substantially higher than in the reconcile the results of the two available BLS pay data for Guam, Puerto District of Columbia or conditions of approaches, much less to explain the Rico, and the U.S. Virgin Islands and environment which differ substantially diametrically opposite results they yield ’’ found the comparison of GS to non- from conditions in the continental ***. Federal pay in those locations to be United States and warrant payments as OPM Response below the results for the Rest of U.S. a recruitment incentive. See 5 U.S.C. The locality pay statute bases locality locality pay area. In this way, Guam, 5304 and 5 U.S.C. 5941. Congress chose pay on comparisons of General Puerto Rico, and the U.S. Virgin Islands to phase out COLA and replace it with Schedule and non-Federal pay for the were treated exactly like a mainland locality pay. Public Law 111–84, title same levels of work, 5 U.S.C. 5304, not U.S. location where survey results were XIX, subtitle B (October 28, 2009). on living costs, at the heart of the below RUS—as the Federal Salary Locality pay is based solely on pay Caraballo settlement. Living costs are Council has recommended, they were comparisons for the same levels of one of many factors affecting pay levels included in the RUS locality pay area. work. Living costs and conditions of in a location. The extent to which living Likewise, other locations that cannot be environment are not mentioned in the costs affect or don’t affect the supply evaluated separately are also included locality pay statute. 5 U.S.C. 5304. and price of labor is reflected in area in the RUS area, whether they are The Federal Salary Council did labor costs and salary survey results. remote on the mainland or remote in the request BLS increase its NCS sample in Other relevant factors affecting labor Pacific. Honolulu and reinstate its NCS survey costs include the number, types, and Comment 4 in Anchorage. However, as described skill sets of workers in the area, the size ‘‘An alternative choice of a locality above, the Federal Salary Council and and industry composition of employers, pay area for the transoceanic non- the Pay Agent are in the process of the degree of unionization, and a host of foreign areas might be the new locality switching to a new survey methodology other factors. The locality pay statute pay area which covers the Hawaiian using survey data from the OES does not provide for or require a means Islands.’’ program. There is nothing wrong with for OPM or the Pay Agent to reconcile the OES sample in any of the non- differences between living costs and OPM Response foreign areas surveyed, including Guam, salary surveys. See 5 U.S.C. 5304. Puerto Rico, and the U.S. Virgin Islands. Pay survey findings indicate non- Comment 8 Federal pay levels in Honolulu are The Council and the Pay Agent higher than those in Guam and the RUS reviewed OES data for Guam, Puerto The attorney believes that ‘‘Part of the area and thus warrant a separate locality Rico, and the U.S. Virgin Islands, not explanation for the divergence in results pay area. Pay survey results in Guam NCS data. between salary-cost surveys and living- cost surveys undoubtedly lies in the indicate low non-Federal pay levels. Comment 6 There is nothing in the pay statute that insularity of the transoceanic areas and requires the Government to pay more ‘‘Unfortunately, OPM has provided the strong racial, ethnic, and cultural than warranted by the local labor inadequate notice of this rule, and ties which bind together the residents of market. See 5 U.S.C. 5304. inadequate opportunity for comments those places and inhibit out-migration and further investigation with respect to in search of better paying jobs Comment 5 ’’ this critical issue.’’ elsewhere. ‘‘However, in light of the COLA OPM Response program history, the Washington, D.C. OPM Response area is a better choice than Hawaii as The locality pay statute bases locality the locality pay area for other The comments did not explain what pay on comparisons of General transoceanic non-foreign areas at the was inadequate about the notice or Schedule (GS) and non-Federal pay for present time.’’ opportunity for comment. Interim final the same levels of work. 5 U.S.C. 5304. and rules are permitted under the regulatory It does not base locality pay on out- ‘‘The reason for this preference is that process if necessary to comply with migration patterns or racial, ethnic, and the Federal Salary Council has statutory deadlines. OPM accepted and cultural ties. 5 U.S.C. 5304. received comments on the interim rule acknowledged the private salary data Comment 9 from both Alaska and Hawaii to be through November 29, 2010, including unsatisfactory in certain respects and the attorney’s comments. The NAREAA ‘‘The locality pay system is not has urged increased funding for survey required that locality pay areas for intended to allow the Government to enhancements in those areas.’’ COLA areas be established in time for take advantage of depressed conditions and locality payments in January 2011. in a locality pay area but rather to ‘‘There is a wealth of statistical data Public Law 111–84, title XIX, subtitle B increase salaries—and thus the comparing living costs between the non- (October 28, 2009). OPM published the performance and retention—of federal foreign areas and Washington, DC, and rule as an interim rule so that the rule workers everywhere in the nation. Yet this data can be used to correlate could go into effect before January 2011. this rule will have the effect of dragging locality pay rates in the non-foreign This timeline constraint was specifically down the living standards of federal areas (including Hawaii and Alaska) cited in the interim rule. FR Vol. 75 No. employees in the transoceanic non- with the rate in Washington, D.C.’’ 189, page 60285, September 30, 2010. foreign areas.’’

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OPM Response Clarification and Updates § 531.602 Definitions. The statute bases locality pay on During the comment period, we noted * * * * * comparisons of General Schedule (GS) that the definition of ‘‘Continental Employee *** (1) An employee in a position to and non-Federal pay for the same levels United States’’ in section 531.602 and which 5 U.S.C. chapter 53, subchapter of work in order to make GS and non- reference to continental U.S. in the III, applies, including a GM employee, Federal pay substantially equal when definition of employee are no longer and whose official worksite is located in considered in the aggregate. 5 U.S.C. needed, so we are removing this out-of- a locality pay area; and 5304. It does not require adjusting date language. We are also taking this survey results to compensate for * * * * * publication opportunity to update the ■ ‘‘depressed conditions’’ whether such locality pay caps in section 531.606 to 3. In § 531.603, paragraph (b) is revised to read as follows: conditions are in the Pacific and be consistent with current law. attributable to distance from the § 531.603 Locality pay areas. mainland or ethnic factors, in Detroit Executive Order 13563 and Executive Order 12866 * * * * * and due to conditions in the auto (b) The following are locality pay industry, or in areas of the U.S. The Office of Management and Budget areas for the purposes of this subpart: impacted by natural disasters. 5 U.S.C. has reviewed this rule in accordance (1) Alaska—consisting of the State of 5304. Likewise, the locality pay statute with E.O. 13563 and 12866. Alaska; does not guarantee any particular living Paperwork Reduction Act (2) Atlanta-Sandy Springs-Gainesville, standard. 5 U.S.C. 5304. GA-AL—consisting of the Atlanta-Sandy Comment 10 This document does not contain Springs-Gainesville, GA-AL CSA; proposed information collection (3) Boston-Worcester-Manchester, ‘‘ The attorney believes * * * this rule requirements subject to the Paperwork MA-NH-RI-ME—consisting of the is not only arbitrary, capricious, and an Reduction Act of 1995, Public Law 104– Boston-Worcester-Manchester, MA-RI- abuse of discretion under the 13. NH CSA, plus Barnstable County, MA, Administrative Procedure Act, but it is and Berwick, Eliot, Kittery, South Regulatory Flexibility Act also unlawfully discriminatory against Berwick, and York towns in York racial and ethnic minorities which have I certify that these regulations will not County, ME; disproportionately large presences have a significant economic impact on (4) Buffalo-Niagara-Cattaraugus, NY— * * * in the transoceanic areas * * *’’ a substantial number of small entities consisting of the Buffalo-Niagara- Other commenters made similar because they will apply only to Federal Cattaraugus, NY CSA; comments. agencies and employees. (5) Chicago-Naperville-Michigan City, OPM Response IL-IN-WI—consisting of the Chicago- List of Subjects in 5 CFR Part 531 Naperville-Michigan City, IL-IN-WI Based on available data, non-Federal Government employees, Law CSA; pay levels in these locations are low. enforcement officers, Wages. (6) Cincinnati-Middletown- Both OPM and the Federal Salary Wilmington, OH-KY-IN—consisting of U.S. Office of Personnel Management. Council evaluated available BLS pay the Cincinnati-Middletown-Wilmington, data for Guam, Puerto Rico, and the U.S. John Berry, OH-KY-IN CSA; Virgin Islands and found the Director. (7) Cleveland-Akron-Elyria, OH— comparison of GS to non-Federal pay in Accordingly, OPM is adopting as a consisting of the Cleveland-Akron- those locations to be below the results final rule, with minor changes, the Elyria, OH CSA; for the Rest of U.S. locality pay area. In interim rule published at 75 FR 60285 (8) Columbus-Marion-Chillicothe, this way, Guam, Puerto Rico, and the on September 30, 2010 and is amending OH—consisting of the Columbus- U.S. Virgin Islands were treated exactly 5 CFR part 531 as follows: Marion-Chillicothe, OH CSA; like a mainland location where survey (9) Dallas-Fort Worth, TX—consisting results were below RUS. As the Federal PART 531—PAY UNDER THE of the Dallas-Fort Worth, TX CSA; Salary Council has recommended, they GENERAL SCHEDULE (10) Dayton-Springfield-Greenville, were included in the RUS locality pay OH—consisting of the Dayton- area. Likewise, other locations that ■ 1. The authority citation for part 531 Springfield-Greenville, OH CSA; cannot be evaluated separately are also continues to read as follows: (11) Denver-Aurora-Boulder, CO— included in the RUS area, whether they Authority: 5 U.S.C. 5115, 5307, and 5338; consisting of the Denver-Aurora- are remote on the mainland or remote in sec. 4 of Public Law 103–89, 107 Stat. 981; Boulder, CO CSA, plus the Ft. Collins- the Pacific. and E.O. 12748, 56 FR 4521, 3 CFR, 1991 Loveland, CO MSA; Comp., p. 316; Subpart B also issued under Impact and Implementation (12) Detroit-Warren-Flint, MI— 5 U.S.C. 5303(g), 5305, 5333, 5334(a) and (b), consisting of the Detroit-Warren-Flint, This rule affects rates of pay for about and 7701(b)(2); Subpart D also issued under MI CSA, plus Lenawee County, MI; 44,100 civilian white-collar employees 5 U.S.C. 5335 and 7701(b)(2); Subpart E also (13) Hartford-West Hartford- in the States of Alaska and Hawaii, issued under 5 U.S.C. 5336; Subpart F also Willimantic, CT-MA—consisting of the issued under 5 U.S.C. 5304 and 5305; E.O. American Samoa, the Commonwealths Hartford-West Hartford-Willimantic, CT of Puerto Rico and the Northern 12883, 58 FR 63281, 3 CFR, 1993 Comp., p. 682; and E.O. 13106, 63 FR 68151, 3 CFR, CSA, plus the Springfield, MA MSA and Mariana Islands, Guam, the U.S. Virgin 1998 Comp., p. 224. New London County, CT; Islands, and other U.S. possessions. (14) Hawaii—consisting of the State of Under the rule, approved GS locality Subpart F—Locality-Based Hawaii; pay rates are higher than in the RUS Comparability Payments (15) Houston-Baytown-Huntsville, locality pay area for employees in TX—consisting of the Houston- Alaska and Hawaii. Federal civilian ■ 2. In § 531.602, remove the definition Baytown-Huntsville, TX CSA; white-collar employees in the U.S. of Continental United States and revise (16) Huntsville-Decatur, AL— territories and possessions are covered paragraph (1) in the definition of consisting of the Huntsville-Decatur, AL by the RUS GS locality pay rate. employee. The revision reads as follows: CSA;

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(17) Indianapolis-Anderson- consisting of the Washington-Baltimore- DEPARTMENT OF HEALTH AND Columbus, IN—consisting of the Northern Virginia, DC-MD-VA-WV CSA, HUMAN SERVICES Indianapolis-Anderson-Columbus, IN plus the Hagerstown-Martinsburg, MD- CSA, plus Grant County, IN; WV MSA, the York-Hanover-Gettysburg, Food and Drug Administration (18) Los Angeles-Long Beach- PA CSA, and King George County, VA; Riverside, CA—consisting of the Los and 21 CFR Parts 312 and 320 Angeles-Long Beach-Riverside, CA CSA, plus the Santa Barbara-Santa Maria- (34) Rest of U.S.—consisting of those [Docket No. FDA–2010–D–0482] Goleta, CA MSA and all of Edwards Air portions of the United States and its territories and possessions as listed in 5 Guidance for Industry and Force Base, CA; Investigators on Enforcement of Safety (19) Miami-Fort Lauderdale-Pompano CFR 591.205 not located within another Reporting Requirements for Beach, FL—consisting of the Miami-Fort locality pay area. Investigational New Drug Applications Lauderdale-Pompano Beach, FL MSA, ■ 4. In § 531.606— and Bioavailability/Bioequivalence plus Monroe County, FL; ■ (20) Milwaukee-Racine-Waukesha, a. Revise paragraph (b)(1); Studies; Availability WI—consisting of the Milwaukee- ■ b. Redesignate paragraph (b)(2) and AGENCY: Food and Drug Administration, Racine-Waukesha, WI CSA; (b)(3) as (b)(3) and (b)(4), respectively; HHS. (21) Minneapolis-St. Paul-St. Cloud, ■ c. Add a new paragraph (b)(2); and ACTION: Notification of guidance. MN-WI—consisting of the Minneapolis- ■ d. Revise newly designated paragraph St. Paul-St. Cloud, MN-WI CSA; SUMMARY: The Food and Drug (22) New York-Newark-Bridgeport, (b)(4). Administration (FDA) is announcing the NY-NJ-CT-PA—consisting of the New The revisions and addition read as availability of a guidance for industry York-Newark-Bridgeport, NY-NJ-CT-PA follows: and investigators entitled ‘‘Enforcement CSA, plus Monroe County, PA, Warren of Safety Reporting Requirements for County, NJ, and all of Joint Base 531.606 Maximum limits on locality rates. INDs and BA/BE Studies.’’ This McGuire-Dix-Lakehurst; guidance is intended to inform sponsors (23) Philadelphia-Camden-Vineland, (a) * * * and investigators of FDA’s intent to PA-NJ-DE-MD—consisting of the (b)(1) A locality rate for an employee exercise enforcement discretion Philadelphia-Camden-Vineland, PA-NJ- in a category of positions described in regarding the reporting requirements in DE-MD CSA excluding Joint Base 5 U.S.C. 5304(h)(1)(A) and 5304(h)(1)(B) the final rule, ‘‘Investigational New Drug McGuire-Dix-Lakehurst, plus Kent may not exceed the rate for level III of Safety Reporting Requirements for County, DE, Atlantic County, NJ, and the Executive Schedule. Human Drug and Biological Products Cape May County, NJ; (2) A locality rate for an employee in (24) Phoenix-Mesa-Scottsdale, AZ— and Safety Reporting Requirements for consisting of the Phoenix-Mesa- a category of positions described in 5 Bioavailability and Bioequivalence Scottsdale, AZ MSA; U.S.C. 5304(h)(1)(C) may not exceed— Studies in Humans’’ (75 FR 59935, (25) Pittsburgh-New Castle, PA— (i) The rate for level III of the September 29, 2010), until September consisting of the Pittsburgh-New Castle, Executive Schedule, when the positions 28, 2011. This action is being taken in PA CSA; are not covered by an appraisal system response to requests from sponsors to (26) Portland-Vancouver-Hillsboro, certified under 5 U.S.C. 5307(d); or extend the March 28, 2011, effective OR-WA—consisting of the Portland- date of the final rule. FDA expects all Vancouver-Hillsboro, OR-WA MSA, (ii) The rate for level II of the sponsors and investigators to be in plus Marion County, OR, and Polk Executive Schedule, when the positions compliance with the new regulations no County, OR; are covered by an appraisal system later than September 28, 2011. (27) Raleigh-Durham-Cary, NC— certified under 5 U.S.C. 5307(d). DATES: Submit either electronic or consisting of the Raleigh-Durham-Cary, * * * * * written comments on Agency guidances NC CSA, plus the Fayetteville, NC MSA, (4) If initial application of paragraph at any time. the Goldsboro, NC MSA, and the (b)(3) of this section otherwise would ADDRESSES: Submit written requests for Federal Correctional Complex Butner, reduce an employee’s existing locality single copies of the guidance to the NC; Division of Drug Information, Center for (28) Richmond, VA—consisting of the rate, the employee’s locality rate is Drug Evaluation and Research, Food Richmond, VA MSA; capped at the higher of— (29) Sacramento—Arden-Arcade— and Drug Administration, 10903 New (i) The amount of the employee’s Hampshire Ave., Bldg. 51, rm. 2201, Yuba City, CA-NV—consisting of the locality rate on the day before paragraph Sacramento—Arden-Arcade—Yuba Silver Spring, MD 20993–0002; or the (b)(3) of this section was initially Office of Communication, Outreach and City, CA-NV CSA, plus Carson City, NV; applied; or (30) San Diego-Carlsbad-San Marcos, Development (HFM–40), Center for CA—consisting of the San Diego- (ii) The rate for level IV of the Biologics Evaluation and Research, Carlsbad-San Marcos, CA MSA; Executive Schedule. Food and Drug Administration, 1401 (31) San Jose-San Francisco-Oakland, * * * * * Rockville Pike, suite 200N, Rockville, CA—consisting of the San Jose-San [FR Doc. 2011–13993 Filed 6–6–11; 8:45 am] MD 20852–1448. Send one self- Francisco-Oakland, CA CSA, plus the BILLING CODE 6325–39–P addressed adhesive label to assist that Salinas, CA MSA and San Joaquin office in processing your requests. See County, CA; the SUPPLEMENTARY INFORMATION section (32) Seattle-Tacoma-Olympia, WA— for electronic access to the guidance consisting of the Seattle-Tacoma- document. Olympia, WA CSA, plus Whatcom Submit electronic comments on the County, WA; guidance to http://www.regulations.gov. (33) Washington-Baltimore-Northern Submit written comments to the Virginia, DC-MD-VA-WV-PA— Division of Dockets Management (HFA–

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305), Food and Drug Administration, date of the final rule because of the need DEPARTMENT OF THE TREASURY 5630 Fishers Lane, rm. 1061, Rockville, for significant internal process changes MD 20852. in order to meet the new requirements. Internal Revenue Service FOR FURTHER INFORMATION CONTACT: Specifically, the comments indicated Stephanie Shapley, Center for Drug that sponsors needed additional time to 26 CFR Part 31 Evaluation and Research, Food and implement changes to their internal [TD 9524] Drug Administration, 10903 New procedures to comply with the new Hampshire Ave., Bldg. 51, rm. 6323, reporting requirements. The Agency RIN 1545–BG45 acknowledges these concerns and Silver Spring, MD 20993–0002, 301– Extension of Withholding to Certain intends to exercise enforcement 796–4836; or Laura Rich, Center for Payments Made by Government discretion regarding the reporting Biologics Evaluation and Research Entities; Correction (HFM–17), Food and Drug requirements in the final rule until Administration, 1401 Rockville Pike, September 28, 2011. During this period AGENCY: Internal Revenue Service (IRS), suite 200N, Rockville, MD 20852–1448, of time, FDA does not intend to take Treasury. 301–827–6210. enforcement action if sponsors and ACTION: Correction to final regulations. SUPPLEMENTARY INFORMATION: investigators report in compliance with the reporting requirements under SUMMARY: This document describes I. Background §§ 312.32, 312.64, and 320.31 that were corrections to final regulations (TD FDA is announcing the availability of in effect prior to March 28, 2011. 9524) that were published in the a guidance for industry and The guidance represents the Agency’s Federal Register on Monday, May 9, investigators entitled ‘‘Enforcement of current thinking on enforcement of 2011 (76 FR 26583) relating to Safety Reporting Requirements for INDs safety reporting requirements for withholding by government entities. and BA/BE Studies.’’ This guidance is investigational new drug applications These regulations reflect changes in the being issued consistent with FDA’s good and bioavailability/bioequivalence law made by the Tax Increase guidance practices (GGPs) regulation studies. It does not create or confer any Prevention and Reconciliation act of (§ 10.115 (21 CFR 10.115)). The rights for or on any person and does not 2005 that require Federal, State, and guidance provides that the Agency operate to bind FDA or the public. An local government entities to withhold intends to grant a 6-month period of alternative approach may be used if income tax when making payments to enforcement discretion relating to the such approach satisfies the persons providing property or services. new reporting requirements (described requirements of the applicable statutes These regulations affect Federal, State, in this document) that became effective and regulations. and local government entities that will on March 28, 2011. Accordingly, this be required to withhold and report tax II. Comments guidance is being implemented without from payments to persons providing prior public comment because the Interested persons may submit to the property or services and also affect the Agency has determined that prior public Division of Dockets Management (see person receiving payments for property participation is not feasible or ADDRESSES) either electronic or written or services from the government appropriate (§ 10.115(g)(2)). The Agency comments regarding this document. It is entities. made this determination because the only necessary to send one set of DATES: This correction is effective on guidance deals with a short-term and comments. It is no longer necessary to June 7, 2011, and is applicable on May highly time-sensitive issue. Although send two copies of mailed comments. 9, 2011. this guidance document is immediately Identify comments with the docket FOR FURTHER INFORMATION CONTACT: A. in effect, it remains subject to comment number found in brackets in the G. Kelley, (202) 622–6040 (not a toll-free in accordance with the Agency’s GGPs heading of this document. Received number). regulation. comments may be seen in the Division SUPPLEMENTARY INFORMATION: On September 29, 2010, FDA of Dockets Management between 9 a.m. published a final rule ‘‘Investigational and 4 p.m., Monday through Friday. Background New Drug Safety Reporting III. Electronic Access The final regulations that are the Requirements for Human Drug and subject of this correction are under Biological Products and Safety Persons with access to the Internet sections 3402(t), 3406(g), 6011(a), 6051, Reporting Requirements for may obtain the document at either 6071(a), and 6302 of the Internal Bioavailability and Bioequivalence http://www.fda.gov/Drugs/ Revenue Code. Studies in Humans’’ (75 FR 59935) and GuidanceCompliance Need for Correction issued related draft guidance ‘‘Safety RegulatoryInformation/Guidances/ Reporting Requirements for INDs and default.htm, http://www.fda.gov/ As published, final regulations (TD BA/BE Studies’’ (75 FR 60129, Docket BiologicsBloodVaccines/ 9524) contain errors that may prove to No. FDA–2010–D–0482). The final rule GuidanceCompliance be misleading and are in need of amended the investigational new drug RegulatoryInformation/default.htm, or clarification. safety reporting requirements under part http://www.regulations.gov. Always Correction of Publication 312 (21 CFR part 312) and added safety access an FDA guidance document by reporting requirements for persons using FDA’s Web site listed previously Accordingly, the publication of the conducting bioavailability and to find the most current version of the final regulations (TD 9524) which were bioequivalence studies under part 320 guidance. the subject of FR Doc. 2011–10760 is (21 CFR part 320). The effective date for corrected as follows: the final rule was March 28, 2011. In Dated: June 1, 2011. 1. On page 26584, column 1, in the comments to the docket, and in other Leslie Kux, preamble, under the paragraph heading communications to the Agency placed Acting Assistant Commissioner for Policy. ‘‘Summary of Comments and in the docket, stakeholders have [FR Doc. 2011–13950 Filed 6–6–11; 8:45 am] Explanation of Provisions’’, the second requested an extension to the effective BILLING CODE 4160–01–P paragraph of the column, line 1, the

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language ‘‘As discussed in section IX of for Interest and Penalties on comply with the following specific the’’ is corrected to read ‘‘As discussed Underpayments’’. provisions of 72 COLREGS without in section VIII of the’’. interfering with its special function as a LaNita Van Dyke, 2. On page 26854, column 1, in the naval ship: Rule 27 (a)(i) and (b)(i), preamble, under the paragraph heading Chief, Publications and Regulations Branch, pertaining to the placement of all-round ‘‘Summary of Comments and Legal Processing Division, Associate Chief Counsel (Procedure and Administration). task lights in a vertical line; Annex I, Explanation of Provisions’’, the second paragraph 3(a), pertaining to the paragraph of the column, line 13, the [FR Doc. 2011–13932 Filed 6–6–11; 8:45 am] horizontal distance between the forward language ‘‘materially modified (but see BILLING CODE 4830–01–P and after masthead lights; and Annex I, section IX’’ is corrected to read paragraph 2(k), pertaining to the vertical ‘‘materially modified (but see section separation between anchor lights. The VIII’’. DEPARTMENT OF DEFENSE DAJAG (Admiralty and Maritime Law) 3. On page 26586, column 2, in the has also certified that the lights Department of the Navy preamble, under the paragraph heading involved are located in closest possible ‘‘D. Advance and Interim Payments’’, compliance with the applicable 72 32 CFR Part 706 first paragraph, last line, the language COLREGS requirements. ‘‘IV.E.1 of this preamble).’’ is corrected Certifications and Exemptions Under Moreover, it has been determined, in to read ‘‘III.E.1 of this preamble).’’. the International Regulations for accordance with 32 CFR Parts 296 and 4. On page 26587, column 2, in the Preventing Collisions at Sea, 1972 701, that publication of this amendment preamble, the language of the paragraph for public comment prior to adoption is heading ‘‘IV. Payments Excepted From AGENCY: Department of the Navy, DoD. impracticable, unnecessary, and the Section 3402(t) Withholding ACTION: Final rule. contrary to public interest since it is Requirements’’ is corrected to read ‘‘III. based on technical findings that the Payments Excepted From the Section SUMMARY: The Department of the Navy placement of lights on this vessel in a 3402(t) Withholding Requirements’’. (DoN) is amending its certifications and manner differently from that prescribed 5. On page 26591, column 1, in the exemptions under the International herein will adversely affect the vessel’s preamble, the language of the paragraph Regulations for Preventing Collisions at ability to perform its military functions. heading ‘‘V. Application of Section Sea, 1972 (72 COLREGS), to reflect that 3402(t) to Passthrough Entities’’ is the Deputy Assistant Judge Advocate List of Subjects in 32 CFR Part 706 corrected to read ‘‘IV. Application of General (DAJAG) (Admiralty and Marine safety, Navigation (water), and Section 3402(t) to Passthrough Entities’’. Maritime Law) has determined that USS Vessels. 6. On page 26591, column 2, in the SAN DIEGO (LPD 22) is a vessel of the For the reasons set forth in the preamble, the language of the paragraph Navy which, due to its special preamble, amend part 706 of title 32 of heading ‘‘VI. Deposits and Reporting of construction and purpose, cannot fully the CFR as follows: Amounts Withheld Under Section comply with certain provisions of the 72 3402(t)’’ is corrected to read ‘‘V. Deposits COLREGS without interfering with its PART 706—CERTIFICATIONS AND and Reporting of Amounts Withheld special function as a naval ship. The EXEMPTIONS UNDER THE Under Section 3402(t)’’. intended effect of this rule is to warn INTERNATIONAL REGULATIONS FOR 7. On page 26591, column 3, in the mariners in waters where 72 COLREGS PREVENTING COLLISIONS AT SEA, preamble, the language of the paragraph apply. 1972 heading ‘‘VII. Crediting of Amounts DATES: This rule is effective June 7, 2011 Withheld’’ is corrected to read ‘‘VI. and is applicable beginning May 18, ■ 1. The authority citation for part 706 Crediting of Amounts Withheld’’. 2011. continues to read: 8. On page 26592, column 2, in the Authority: 33 U.S.C. 1605. preamble, the language of the paragraph FOR FURTHER INFORMATION CONTACT: heading ‘‘VIII. Correction of Errors and Lieutenant Jaewon Choi, JAGC, U.S. ■ 2. Section 706.2 is amended as Liability of Government Entity’’ is Navy, Admiralty Attorney, (Admiralty follows: and Maritime Law), Office of the Judge corrected to read ‘‘VII. Correction of ■ A. In Table Three by adding, in alpha Advocate General, Department of the Errors and Liability of Government numerical order, by vessel number, an Navy, 1322 Patterson Ave., SE., Suite Entity’’. entry for USS SAN DIEGO (LPD 22); and 9. On page 26593, column 2, in the 3000, Washington Navy Yard, DC ■ 20374–5066, telephone 202–685–5040. B. In Table Four, under paragraph 20, preamble, the language of the paragraph add, in alpha numerical order, by vessel heading ‘‘IX. Extension of Applicability SUPPLEMENTARY INFORMATION: Pursuant number, and entry for USS SAN DIEGO Date and Transition Relief for Existing to the authority granted in 33 U.S.C. (LPD 22); and Contracts’’ is corrected to read ‘‘VIII. 1605, the DoN amends 32 CFR part 706. ■ C. In Table Five by adding, in alpha Extension of Applicability Date and This amendment provides notice that numerical order, by vessel number, and Transition Relief for Existing Contracts’’. the DAJAG (Admiralty and Maritime entry for USS SAN DIEGO (LPD 22). 10. On page 26594, column 1, in the Law), under authority delegated by the preamble, the language of the paragraph Secretary of the Navy, has certified that § 706.2 Certifications of the Secretary of heading ‘‘X. Transition Rule for Interest USS SAN DIEGO (LPD 22) is a vessel of the Navy under Executive Order 11964 and and Penalties on Underpayments’’ is the Navy which, due to its special 33 U.S.C. 1605. corrected to read ’’ IX. Transition Rule construction and purpose, cannot fully * * * * *

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TABLE THREE

Anchor Side lights Forward an- lights rela- Masthead Side lights Stern light distance in- Stern light, chor light, tionship of lights arc of arc of visi- arc of visi- board of distance for- height above aft light to Vessel Number visibility; rule bility; rule bility; rule ship’s sides ward of stern hull in me- forward light 21(a) 21(b) 21(c) in meters in meters; ters; 2(k) in meters 3(b) Annex 1 rule 21(c) Annex 1 2(k) Annex 1

******* USS SAN DIEGO .. LPD 22 ...... 1.88 below.

*******

* * * * *

TABLE FOUR

Angle in degrees of task lights off vertical as Vessel Number viewed from directly ahead or astern

******* USS SAN DIEGO ...... LPD 22 ...... 10

*******

* * * * *

TABLE FIVE

Masthead lights Forward mast- After masthead light less than 1⁄2 Percentage not over all other head light not in ship’s length aft of horizontal Vessel Number lights and obstruc- forward quarter of forward masthead separation tions. Annex I, ship. Annex I, sec. light. Annex I, sec. attained sec. 2(f) 3(a) 3(a)

******* USS SAN DIEGO ...... LPD ...... 22 ...... X 71

*******

Approved: May 18, 2011. FEDERAL COMMUNICATIONS JoAnn Sutton at (202) 418–1372 of the M. Robb Hyde COMMISSION International Bureau, Policy Division. Commander, JAGC, U.S. Navy, Deputy SUPPLEMENTARY INFORMATION: Assistant Judge Advocate General (Admiralty 47 CFR Part 1 Background and Maritime Law). [DA 11–668] Dated: May 19, 2011. The final regulation that is the subject of this correction superseded § 1.767(j) D.J. Werner, Cable Landing Licenses; Correction on the mailing address for the Defense Lieutenant Commander, Judge Advocate AGENCY: Federal Communications Information Systems Agency and affects General’s Corps, U.S. Navy, Federal Register Commission. applicants requesting streamlined Liaison Officer. ACTION: Correcting amendment. processing of cable landing license [FR Doc. 2011–12934 Filed 6–6–11; 8:45 am] applications. BILLING CODE 3810–FF–P SUMMARY: This document contains a corrected mailing address for the Need for Correction Defense Information Systems Agency in As published, the final regulation the regulations that we published in the contains an incorrect address for the Federal Register of January 14, 2002, 67 Defense Information Systems Agency to FR 1615. which applicants seeking to use the DATES: Effective June 7, 2011. streamlined grant procedure specified in FOR FURTHER INFORMATION CONTACT: paragraph (i) of § 1.767, must send a Adrienne Downs at (202) 418–0412 or complete copy of their application, or

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any major amendments or other material attached to the application or other FOR FURTHER INFORMATION CONTACT: Ben filings regarding the application to, filing. Supko or Steven Andrews, Standards among others, the Defense Information * * * * * and Rulemaking Division, (202) 366– Systems Agency. [FR Doc. 2011–14009 Filed 6–6–11; 8:45 am] 8553, Pipeline and Hazardous Materials List of Subjects in 47 CFR Part 1 BILLING CODE 6712–01–P Safety Administration, U.S. Department of Transportation, 1200 New Jersey Administrative practice and Avenue, SE., Washington, DC 20590– procedure. DEPARTMENT OF TRANSPORTATION 0001. Federal Communications Commission. Sarah Van Valzah, Pipeline and Hazardous Materials SUPPLEMENTARY INFORMATION: Safety Administration Assistant Bureau Chief, International Bureau. I. Current Federal Requirements Accordingly, 47 CFR part 1 is 49 CFR Parts 171 and 177 Applicable to Explosives Stored During corrected by making the following Transportation correcting amendments: [Docket No. PHMSA–2005–22987 (HM–238)] A. Hazardous Materials Regulations PART 1—PRACTICE AND RIN 2137–AE06 (HMR; 49 CFR Parts 171–180) PROCEDURES Hazardous Materials: Requirements for Transportation includes the storage of ■ 1. The authority citation for part 1 Storage of Explosives During materials ‘‘incident to the[ir] continues to read as follows: Transportation movement.’’ (49 U.S.C. 5102(13)). The Authority: 15 U.S.C. 79 et seq.; 47 U.S.C. AGENCY: Pipeline and Hazardous HMR require hazardous materials stored 151, 154(i), 154(j), 155, 157, 225, 303(r), and Materials Safety Administration incidental to movement to meet all 309. (PHMSA), DOT. applicable requirements for packaging, ■ 2. Section 1.767 is amended by ACTION: Final rule. hazard communication (including revising paragraph (j) to read as follows: shipping papers and emergency SUMMARY: In this final rule, PHMSA, in response information), and handling § 1.767 Cable landing licenses. coordination with the Federal Motor that apply when shipments are actually * * * * * Carrier Safety Administration (FMCSA), moving in transportation. The HMR (j) Applications for streamlining. Each is approving the use of the National Fire include specific carrier requirements for applicant seeking to use the streamlined Protection Association Standard (NFPA) transportation of hazardous materials by grant procedure specified in paragraph 498—Standard for Safe Havens and rail, air, vessel, and highway, including (i) of this section shall request Interchange Lots for Vehicles requirements for loading and unloading, streamlined processing in its Transporting Explosives (2010 Edition) blocking and bracing, stowage, application. Applications for for the construction and maintenance of segregation, and compatibility (49 CFR streamlined processing shall include the safe havens used for unattended storage parts 174, 175, 176, and 177, information and certifications required of Division 1.1, 1.2, and 1.3 explosives. respectively). by paragraph (k) of this section. On the DATES: Effective Date: July 7, 2011. date of filing with the Commission, the Voluntary Compliance Date: Explosive (Class 1) materials are applicant shall also send a complete Compliance with the requirements among the most stringently regulated copy of the application, or any major adopted herein is authorized as of June hazardous materials under the HMR. amendments or other material filings 7, 2011. However, persons voluntarily The HMR define a Class 1 material as regarding the application, to: U.S. complying with these regulations any substance or article that is designed Coordinator, EB/CIP, U.S. Department of should be aware that appeals may be to function by explosion—that is, an State, 2201 C Street, NW., Washington, received and as a result of PHMSA’s extremely rapid release of gas or heat— DC 20520–5818; Office of Chief evaluation of these appeals, the or one that, by chemical reaction within Counsel/NTIA, U.S. Department of amendments adopted in this final rule itself, functions in a similar manner Commerce, 14th St. and Constitution may be revised accordingly. even if not designed to do so (49 CFR Ave., NW., Washington, DC 20230; and Incorporation by reference date: The 173.50(a)). Class 1 materials are Defense Information Systems Agency, incorporation by reference of certain assigned to six divisions depending on ATTN: GC/DO1, 6910 Cooper Avenue, publications listed in this rule is the degree and nature of the explosive Fort Meade, MD 20755–7088, and shall approved by the Director of the Federal hazard, as shown in the following table certify such service on a service list Register as of July 7, 2011. (49 CFR 173.50(b)).

Division Hazard Description of hazard Examples

1.1 ...... Mass explosion hazard ...... Instantaneous explosion of virtually the grenades, mines, and nitroglycerin. entire package or shipment. 1.2 ...... Projection hazard without a mass explo- Fragments projected outward at some rockets and warheads. sion hazard. distance. 1.3 ...... Fire hazard and either a minor projection Fire and possible projection of fragments projectiles, signal smoke, and tracers for hazard or minor blast hazard or both outward at some distance. ammunition. but not a mass explosion hazard. 1.4 ...... Minor explosion hazard ...... Explosion largely confined to the pack- ammunition, airbags, and model rocket age and no projection of fragments of motors. any appreciable size or range is expected. 1.5 ...... Very insensitive explosive ...... Mass explosion hazard, but low prob- blasting agents and ammonia-nitrate fuel ability of initiation or detonation while oil mixture. in transportation.

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Division Hazard Description of hazard Examples

1.6 ...... Extremely insensitive article ...... Negligible probability of accidental initi- insensitive article and military. ation or propagation.

The HMR prohibit transportation of subject to the security plan where crowds are assembled, tunnels, an explosive unless it has been requirements is stored during narrow streets, or alleys. examined, classed, and approved by transportation must itself be covered by Finally, a motor vehicle containing a PHMSA’s Associate Administrator for the security plan. Security plan Division 1.1, 1.2, or 1.3 explosive may Hazardous Materials Safety (49 CFR requirements are performance-based to not be parked on or within five feet of 173.51). Separate provisions apply to provide shippers and carriers with the the traveled portion of a public highway the transportation of new explosives for flexibility necessary to develop a plan or street; on private property without examination or developmental testing, that addresses a person’s individual the consent of the person in charge of explosives approval by a foreign circumstances and operational the property; or within 300 feet of a government, small arms cartridges, and environment. bridge, tunnel, dwelling, or place where fireworks manufactured in accordance people work or congregate unless for B. Federal Motor Carrier Safety with American Pyrotechnics brief periods when parking in such Regulations (FMCSRs; 49 CFR Parts Association Standard 87–1 (49 CFR locations is unavoidable (49 CFR 350–397) 173.56). Each approval granted by the 397.7(a)). Associate Administrator contains Motor carriers that transport II. Previous Rulemaking Activity in packaging and other transportation hazardous materials in commerce must This Matter provisions (e.g., shipping paper also comply with the Federal Motor requirements, labeling, marking, etc.) Carrier Safety Regulations (FMCSRs) A. July 16, 2002 ANPRM (HM–232A) that must be followed by a person who addressing driver qualifications; vehicle On July 16, 2002, FMCSA and offers or transports the explosive parts and accessories; driving PHMSA’s predecessor agency (the material. In addition to the specific requirements and hours of service; Research and Special Programs requirements in the approval, the HMR vehicle inspection, repair and Administration) published an advance require explosives to be marked and maintenance; driving and parking rules notice of proposed rulemaking under labeled and/or placarded to indicate the for the transportation of hazardous Docket HM–232A (67 FR 46622) entitled explosive hazard. Explosives shipments materials; hazardous materials safety ‘‘Security Requirements for Motor generally must be accompanied by permits; and written route plans. The Carriers Transporting Hazardous shipping papers and emergency FMCSRs include requirements for Materials.’’ In the ANPRM, we examined response information. The same storage of explosives incidental to the need for enhanced security requirements apply to the transportation movement. In accordance with the requirements for motor carrier of hazardous materials whether the FMCSRs, a motor vehicle that contains transportation of hazardous materials. materials are incidentally stored or Division 1.1, 1.2, or 1.3 explosives must We requested comments on the issue of actually moving. be attended at all times, including storage of explosives at safe havens, as In addition, any person who offers for during incidental storage, unless the well as a variety of security measures transportation in commerce or motor vehicle is located on the motor generally applicable to a broader range transports in commerce a shipment of carrier’s property, the shipper or of hazardous materials. FMCSA and explosives for which placarding is consignee’s property, or at a safe haven RSPA requested comments on a variety required under the HMR must (1) (49 CFR 397.5). of security measures including: escorts, register with PHMSA and (2) develop Under the FMCSRs, a safe haven is an vehicle tracking and monitoring and adhere to a security plan (49 CFR area specifically approved in writing by systems, emergency warning systems, 172.800(b)).1 A security plan must Federal, state, or local government remote shut-offs, direct short-range include an assessment of possible authorities for the parking of unattended communications, and notification to transportation security risks for the vehicles containing Division 1.1, 1.2, State and local authorities. The ANPRM covered shipments and appropriate and 1.3 explosive materials (49 CFR also addressed the issue of explosives measures to address the identified risks. 397.5(d)(3)). The decision as to what storage in safe havens. We received At a minimum, a security plan must constitutes a safe haven is generally approximately 80 comments in response include measures to prevent made by the local authority having to the ANPRM. unauthorized access to shipments and jurisdiction over the area. The FMCSRs On March 19, 2003, FMCSA to address personnel and en route do not include requirements for safety published a further notice (68 FR 13250) security (49 CFR 172.802(a)). The en or security measures for safe havens. that RSPA had assumed the lead role for route security element of the plan must In addition, the FMCSRs require any this rulemaking proceeding. Due to the include measures to address the security person who transports more than 25 kg complexity of the issues raised in risks of the shipment while it is moving (55 pounds) of a Division 1.1, 1.2, or 1.3 Docket HM–232A and the number of from its origin to its destination, material or an amount of a Division 1.5 comments received on the ANPRM, including shipments stored incidental (explosive) material that requires RSPA decided to consider the storage of to movement (49 CFR 172.802(a)(3)). placarding under Subpart F of Part 172 explosives in a separate rulemaking. Thus, a facility at which a shipment of the HMR to hold a valid safety permit RSPA indicated its intentions in the (49 CFR 385.403(b)). Persons holding a October 30, 2003 final rule published 1 When transported by highway, placards must be safety permit and transporting Division under Docket HM–223 (68 FR 61906) affixed to the transport vehicle or freight container 1.1, 1.2, and 1.3 materials must prepare entitled ‘‘Applicability of the Hazardous when (1) any quantity of Division 1.1, 1.2, or 1.3 Materials Regulations to Loading, explosive materials are present, and (2) more than a written route plan that meets the 1,000 pounds of Division 1.4, 1.5 or 1.6 materials requirements of § 397.67(d), which Unloading, and Storage.’’ In the final are present. 49 CFR 172.504. avoids heavily populated areas, places rule, which became effective on June 1,

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2005 (see 69 FR 70902; December 8, through the Federal eRulemaking Portal standard for the construction and 2004), RSPA clarified the applicability (http://www.regulations.gov). maintenance of safe havens used for of the HMR to specific functions and In the ANPRM, PHMSA solicited unattended storage of 1.1, 1.2, and 1.3 activities related to the transportation of comments concerning measures to explosives. As summarized in the hazardous materials in commerce. In the reduce the risks posed by the storage of NPRM, NFPA provides as follows: preamble to the HM–223 final rule, explosives while they are in 1. A safe haven must be located in a RSPA identified issues related to the transportation and whether regulatory secured area that is no closer than 300 storage of hazardous materials during action is warranted. We invited ft (91.5m) to a bridge, tunnel, dwelling, transportation that need to be addressed commenters to address issues related to building, or place where people work, (68 FR 61906; 61931). RSPA noted that security and storage of other types of congregate, or assemble. The perimeter the current HMR requirements high-hazard materials. In addition, the of the safe haven must be cleared of applicable to the storage of explosives ANPRM provided detailed information weeds, underbrush, vegetation, or other during transportation need to be addressing the following regulations combustible materials for a distance of reevaluated to ensure that they and industry standards: 25 ft (7.6 m). The safe haven must be adequately account for potential safety • United States Coast Guard protected from unauthorized persons by and security risks. For example, the Requirements applicable to explosives warning signs, gates, and patrols. NFPA agency has concerns regarding the lack storage (33 CFR parts 101–126). 498 sections 4.1.1, 4.1.2, 4.1.3, and • of Federal standards for safe havens and Bureau of Alcohol, Tobacco, 4.1.4. inconsistent State requirements. Firearms, and Explosives Regulations 2. When vehicles carrying Class 1 Consistent with and supportive of the for explosives in commerce (27 CFR Part materials are parked in a safe haven, the respective transportation security roles 555). entrance to the safe haven must be • National Fire Protection and responsibilities of the DOT and marked with this warning sign: Association (NFPA) 498, ‘‘Standard for DHS as delineated in a Memorandum of Safe Havens and Interchange Lots for DANGER Understanding (MOU) signed Vehicles Transporting Explosives September 28, 2004, and of NO SMOKING Standard for Safe Havens and Transportation Security Administration Interchange Lots for Vehicles NEVER FIGHT EXPLOSIVE FIRES (TSA) and PHMSA as outlined in an Transporting Explosives’’ (NFPA 498). VEHICLES ON THIS SITE CONTAIN Annex to that MOU signed August 7, • Institute of Makers of Explosives EXPLOSIVES 2006 PHMSA published a withdrawal of Safety Library Publication No. 27, HM–232A on June 27, 2007 (72 FR CALL lllllllllllllll ‘‘Security in Manufacturing, 35211). In the withdrawal we advised Transportation, Storage and use of The sign must be weatherproof with the public that the TSA assumed the Commercial Explosives.’’ reflective printing, and the letters must lead role from PHMSA for rulemaking • Surface Deployment and be at least 2 in. high. NFPA 498 sections addressing the security of motor carrier Distribution Command, ‘‘SDDC Freight 4.1.4.1 and 4.1.4.2. shipments of hazardous materials under Traffic Rules Publication NO. 1C 3. Watch personnel must be made Docket HM–232A. Accordingly, PHMSA (MFTRP NO. 1C)’’. aware of the explosives, corresponding withdrew the ANPRM issued and closed emergency response procedures, and its rulemaking proceeding. PHMSA also C. July 3, 2008 ANPRM and Public NFPA 601. NFPA 498 sections 4.1.5 indicated it would continue to consider Meeting 4.1.5.1. alternatives for enhancing the safety of On July 3, 2008 PHMSA published a 4. A stand-by vehicle in good explosives stored during transportation. further ANPRM under this docket to re- operating condition that is capable of B. November 16, 2005 ANPRM (HM– open the comment period, and moving the explosives trailers must be 238) announce a public meeting (73 FR kept at the safe haven. NFPA 498 38164) to provide an additional section 4.1.5.2. Some of the comments submitted in opportunity for interested persons to 5. Fire protection equipment must be response to the July 16, 2002 ANPRM submit more focused comments on provided—to include portable fire contained recommendations that the safety issues associated with the storage extinguishers and a dependable water current requirements applicable to the of explosives transported by highway supply source. NFPA 498 section 4.1.6. storage of explosives during and standards for establishing, 6. Vehicles will be inspected before transportation should be reevaluated to approving, and maintaining safe havens they enter the safe haven. Any risks ensure that they adequately account for for the temporary storage of explosives (e.g., hot tires, hot wheel bearings, hot potential safety and security risks. As a during motor vehicle transportation. As brakes, any accumulation of oil or result, PHMSA and FMCSA initiated discussed above, there are currently no grease, any defects in the electrical this rulemaking to evaluate current minimum or uniform criteria for system, or any apparent physical standards for the storage of explosives Federal, state, or local governments to damage to the vehicle that could cause in transportation. We published a new rely on for the approval of safe havens. or contribute to a fire) that are identified ANPRM on November 16, 2005 (70 FR by the inspector must be corrected 69493), in which we summarized D. July 27, 2010 NPRM before the vehicle is permitted to enter government and industry standards for On July 27, 2010, PHMSA published the safe haven. NFPA 498 section explosives storage (which vary greatly a NPRM in coordination with FMCSA to 4.2.1.1, 4.2.1.2, and 4.2.1.3. by mode of transportation, type of propose regulations to enhance existing 7. Trailers are to be positioned in the explosives, and whether the explosive is attendance requirements for explosives safe haven with spacing of not less than in transportation) and requested stored during transportation by 5ft (1.5m) maintained in all directions comments on a list of concerns designating the National Fire Protection between parked trailers. Additionally, regarding the risks posed by the storage Association (NFPA) standard 498. In the trailers may not be parked in a manner of explosives while in transportation. NPRM PHMSA proposed that an that would require their movement to The November 16, 2005 ANPRM in this existing standard—NFPA 498—be move another vehicle. Immediately docket and the comments are accessible designated as a federally approved upon correctly positioning a loaded

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trailer the tractor must be disconnected employees involved with the loading, rulemaking. PHMSA agrees with the and removed from the safe haven. NFPA shipping, or transportation of commenter and is not incorporating 498 sections 4.2.2, 4.2.3, and 4.2.4. explosives. NFPA 498 section 4.5.2. transit storage standards in this final 8. Trailers in the safe haven must be 18. The safe haven operator must rule. maintained in the same condition as is notify in writing the local law ATA expresses concern about the required for highway transportation, enforcement, fire department, and other level of participation by FMCSA in this including placarding. NFPA 498 section emergency response agencies of the safe rulemaking. It notes that the docket has 4.2.5. haven and the maximum quantity of been substantially narrowed in scope 9. Where a self-propelled vehicle Class 1 materials authorized for the safe from what PHMSA initially proposed loaded with explosives is stored in a haven. The operator must maintain and that PHMSA proposed to use the safe haven it must be parked at least 25 copies of any approval documentation scope established by FMCSA’s ft (7.6 m) from any other vehicles and notifications. NFPA 498 sections attendance rules. ATA states it containing explosives, and must be in 4.6.1 and 4.6.2. anticipated that PHMSA would invite operable condition, properly placarded, III. Comments on July 27, 2010 NPRM FMCSA to join as an author of this and in a position and condition where proposal since ‘‘safe havens’’ are given a it can be moved easily in case of PHMSA received comments on the definition by the FMCSRs. ATA necessity or emergency. NFPA 498 NPRM, from the following individuals indicates that PHMSA’s coordination section 4.2.6. and organizations: with FMCSA is not sufficient to address 10. No explosives may be transferred (1) Boyle Transportation (Boyle). related safe haven issues stemming from from one vehicle to another in a safe (2) American Trucking Associations, the FMCSRs and that these issues can haven except in case of necessity or Inc. (ATA). only be addressed by amendment to the (3) Institute of Makers of Explosives emergency. NFPA 498 section 4.2.7. FMCSRs as well and the HMR. It (IME). 11. No vehicle transporting other recommends that 49 CFR 397.5 be hazardous materials may be stored in a (4) National Fire Protection Association (NFPA). amended: (1) To reference the edition of safe haven unless the materials being ‘‘safe haven’’ standards that will be transported are compatible with (5) Paul Melander, an employee of FMCSA. incorporated by reference into the HMR; explosives. NFPA 498 section 4.2.8. (2) to eliminate the requirement for 12. Except for minor repairs, no repair (6) Leigh Fabbri, an individual. written Federal approval; and (3) to work involving cutting or welding, IME, NFPA, and Mr. Melander accommodate other recommended operation of the vehicle engine, or the recommend the incorporation by changes to the safe haven attendance electrical wiring may be performed on reference of the 2010 edition of NFPA standard, such as replacing the any vehicle parked in a safe haven that 498 as opposed to the 2006 edition as requirement in 49 CFR 397.5(d)(1), that is carrying explosives. NFPA 498 included in this NPRM. The commenter bailees have an ‘‘unobstructed field of sections 4.3.1.1 and 4.3.1.2. is correct, since the July 27, 2010 view’’ of a vehicle during in-transit 13. Except for firearms carried by law publication of the NPRM, NFPA has storage, with a requirement that allows enforcement and security personnel made a new version of the NFPA 498 vehicle monitoring by electronic where specifically authorized by the Standard available. PHMSA has surveillance as well as physical authority having jurisdiction, smoking, reviewed the 2010 edition of the observation. matches, open flames, spark-producing Standard for consistency with the 2006 devices, and firearms are not permitted edition, as applicable to safe havens. Boyle and Mr. Melander suggest that inside or within 50 ft (15.3 m) of the PHMSA did not identify any significant the FMCSR § 397.5 should be changed safe haven, loading dock, or interchange difference between the two editions. to reflect the updated definition of safe lot. NFPA 498 section 4.3.2 and 4.3.3. Therefore, PHMSA agrees with the haven (see § 397.5(d)(3)). In each of 14. Electric lines must not be closer commenter and is incorporating the these regards, FMCSA has advised than the length of the lines between the 2010 edition of the NFPA 498 standard. PHMSA that changes to 49 CFR Part 397 poles, unless an effective means to In its comments IME expresses may occur in a future rulemaking. prevent vehicles from contact with support for PHMSA’s proposal not to Boyle also suggests that although the broken lines is employed. NFPA 498 impose material quantity and/or interim term ‘‘safe haven’’ is defined in the section 4.3.4. storage time limits and states that standard, the full title ‘‘Standard for 15. When any vehicle transporting existing rules for the transportation of Safe Havens and Interchange Lots for explosives is stored in a safe haven, at hazardous materials without Vehicles Transporting Explosives’’ better least one trained person, 21 years of age unnecessary delay, and commercial encompasses the fact that a safe haven or older, must be assigned to patrol the expectations for the timely delivery of area may be co-located or contained safe haven on a dedicated basis. Safe shipments by consignees mitigate the within a truck terminal. Therefore, the havens located on explosives need for additional arbitrary limitations. commenter suggests modifying manufacturing facilities or at motor PHMSA agrees with this comment and § 177.835(k) to read more precisely: ‘‘A vehicle terminals must employ other is not incorporating material quantities facility that conforms to NFPA 498 means of acceptable security such as and/or interim storage limits in this ‘‘Standard for Safe Havens and existing plant or terminal protection final rule. Interchange Lots for Vehicles systems or electronic surveillance IME also supports PHMSA’s proposal Transporting Explosive’’ (IBR, see devices. NFPA 498 section 4.4.1 and not to impose in transit storage § 171.7 of the subchapter) constitutes a 4.4.2. standards used by the US Department of Federally approved safe haven for the 16. The safe haven operator must Defense or the ATF for permanent storage of vehicles containing Division maintain an active safety training storage of explosives. It states that no 1.1, 1.2 or 1.3 materials.’’ PHMSA program in emergency response justification has been made to warrant disagrees with the commenter and the procedures for all employees working at the application of such standards to full title of NFPA 498 will not be added the safe haven. NFPA 498 section 4.5. commercial shipments given existing to the regulatory language. Section 17. Training in accordance with 49 FMCSA/PHMSA requirements and the 171.7(a) provides the full title of the CFR Part 172, Subpart H is required for new standards that will result from this standard. This is consistent with current

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practices for referencing IBR materials haven as compared to other options to comply with NFPA 498. IME also throughout the HMR. (e.g., driver teams) is part of an raises concerns about preemption. It IME recommends several other individual carrier’s assessment. It is the states that, by issuing these standards requirements for safe havens that are not carrier’s responsibility to fully assess under the HMR, the preemptive effect of currently specified in NFPA 498. These the safety and security risks along the Federal hazardous materials include requirements for operational route. Separately, adding theft or loss transportation law is triggered. The plans, communications, and reporting requirement is outside of the commenter expresses disappointment recordkeeping. The commenter adds scope of this rulemaking. ATF by PHMSA’s statement that the that the PHMSA proposal does not requirements indicate that any person proposed new standard ‘‘does not address the merits of these additional who has knowledge of the theft or loss preempt state [and local] requirements.’’ operational and administrative of any explosive materials from their IME recommends that PHMSA ask conditions at all. PHMSA believes that stock must report such theft or loss FMCSA to strike 397.5(d)(3) and replace adopting NFPA 498, which includes the within 24 hours of discovery to ATF the condition for state and local incorporation of PHMSA training and to appropriate local authorities. (27 government approval with the national requirements, adequately address the CFR 55.30, implementing 18 U.S.C. consensus standard for safe havens, concerns expressed by the commenter. 842(k), requires that the report of theft NFPA 498. It states that absent such IME also suggests that PHMSA or loss be made by telephone and in regulatory change, PHMSA perpetuates address theft and loss of explosives by writing to ATF). The requirements for the ability of local interests to arbitrarily referencing the theft/loss reporting safe havens contained in NFPA 498 deny the location of safe havens and standards of the Bureau of Alcohol, coupled with the carrier’s assessment of that the current regulatory default to Tobacco, Firearms and Explosives (ATF) safety and security risks along routes state and local written approval is a in the HMR. The commenter indicates will enable carriers to make more primary reason why so few safe havens that this standard has a security benefit uniform and risk-based decisions currently exist. It also states that the as well. In this regard, IME requests the regarding the use of safe havens. Mr. definition is consistent with Federal presence of a robust risk assessment of Melander expresses concern with NFPA hazmat law, which clearly recognizes the safe havens in the final rule. A risk 498, Section 4.1.4.1 which requires the critical safety impact of activities assessment is a component of the signage warning of explosive danger. performed in advance of transportation security plan requirement in the current Specifically, the commenter suggests by persons who cause the transportation HMR. It questions whether security plan advertising to the public the location of of hazardous materials in commerce. risk assessments are sufficient for safe explosives may present some security Leigh Fabbri indicates that the HMR havens, and suggests that risk risks. The commenter questions should provide the state or local assessments at safe havens should whether, in accordance with NFPA 498, community the ability to prohibit a safe consider both safety and security risks Section 4.2.1.1 and 4.2.1.2, the haven in a location where appropriate to exposed populations. IME asks inspection for hot tires, hot wheel safety cannot be provided, for example PHMSA not to propose a ‘‘safety’’ rule bearing, hot brakes will require infra-red in high population areas and near for safe haven operations without devices and who will establish these unprotected buildings. The commenter considering ‘‘security’’ needs at such inspection methods. Based on NFPA suggests that local authorities that have sites. PHMSA has reviewed NFPA 498 498, Section 4.2.8 which states ‘‘No knowledge of planned future and concluded that the standard vehicle transporting other hazardous development for an area should make provides adequate measures to ensure materials shall be parked in a safe haven the decision on the location of safe that unattended explosives are stored unless the materials being transported havens based on the conditions at the safely during transportation. NFPA 498 are compatible with explosives’’ the time the transportation company seeks provides safety based requirements for commenter asks how will compatibility the safe haven designation and existing the construction and maintenance of be determined (i.e., will it be based on community planning. safe havens including standards for § 177.848). Mr. Melander also asks for PHMSA sees no need to preempt or vehicle parking, control of ignition clarification on what authority will have preclude State or local requirements for sources, security against trespassers, jurisdiction in granting law enforcement a safe haven, and considers that any employee training, and notification of permission to carry firearms in safe specific non-Federal requirements authority having jurisdiction. Section havens in accordance with Section regarding the ‘‘handling’’ of explosive 4.5 of NFPA 498 requires operators of 4.3.3. materials at a safe haven can better be all safe havens to maintain an active Based on NFPA 498, Section 4.3.3 dealt with in a separate proceeding. In safety training program that includes: ‘‘the authority having jurisdiction’’ will this final rule, PHMSA is adopting 1. Emergency instructions; decide which law enforcement and NFPA 498 as a Federally approved 2. Training for employees involved in security personnel will be permitted to standard that may be used to construct, the loading, shipping, or transportation carry firearms within a safe haven. As maintain, or evaluate a safe haven, but of explosives that covers 49 CFR stated above, PHMSA considers that we are not mandating the use of the 172.700–172.704 (including security NFPA 498 adequately balances safety standard. training); and and security. We also believe that IV. Discussion of Requirements 3. Familiarity with the Emergency incorporating NFPA 498 as written will Response Guidebook (ERG). promote a consistent understanding of In this final rule, PHMSA is Separately, persons performing the safe haven standards. incorporating NFPA 498 into the HMR. shipper or carrier functions are required Boyle suggests that, if the intent of NFPA 498 is an accepted standard that to assess security risks in transportation PHMSA is to improve the safety and imposes rigorous safety requirements on in accordance with 49 CFR part 172, security conditions under which facilities at which explosives are subpart I. This specifically includes vehicles with explosives Division 1.1, temporarily stored during measures to address en route security 1.2 and 1.3 are parked while in-transit transportation. The standard is tailored during transportation, which includes then all facilities where these vehicles to the risks posed by commercially interim storage at a safe haven. At the are parked for extended periods (e.g., transported explosives. In this final rule, same time, any decision to use a safe more than 2 hours) should be mandated any facility that conforms to the safe

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haven requirements specified in NFPA cost-effective manner,’’ to make a state and local requirements as 498 would be authorized for use as a ‘‘reasoned determination that the applicable. safe haven. By specifically identifying a benefits of the intended regulation standard for safe havens PHMSA is justify its costs,’’ and to develop D. Executive Order 13175 enhancing the current level of safety. regulations that ‘‘impose the least This final rule has been analyzed in Note that nothing in this final rule is burden on society.’’ The incorporation of accordance with the principles and intended to preempt state and local standards for safe havens into the HMR criteria contained in Executive Order zoning ordinances, building permits, does not impose significant burden on 13175 (‘‘Consultation and Coordination the explosive industry. The adoption of land use restrictions, or other similar With Indian Tribal Governments’’). existing standards applicable to the safe requirements that may apply to Because this final rule does not storage of Division 1.1, 1.2, and 1.3 construction and operation of a safe significantly or uniquely affect the haven. explosives in safe havens provides a communities of the Indian tribal In addition, we urge safe haven clear and specific mechanism for the governments and does not impose owners to utilize available explosive construction and maintenance of safe substantial direct compliance costs, the distancing tables or risk assessment havens. This change provides a funding and consultation requirements tools when selecting locations for safe Federally approved standard for safe havens. Further, we encourage owners havens in place of the existing arbitrary of Executive Order 13175 do not apply. to share this information with state and requirement that allows for state, local, E. Regulatory Flexibility Act local officials to support safe haven or Federal approval of safe havens. development. In all cases, owners must As described in the ANPRM The Regulatory Flexibility Act (5 fully consider the risk to persons and comments and during the August 7, U.S.C. 601 et seq.) requires an agency to the surrounding area from the 2008 public meeting, the explosives review regulations to assess their impact explosives facility. industry indicates that it does not on small entities unless the agency In accordance with the comments generally rely on safe havens for the determines that a rule is not expected to received and public meeting discussion attendance of explosives in have a significant impact on a this final rule adopts the following transportation, but rather on team substantial number of small entities. specific changes: drivers to move explosives shipments. The final rule will not impose increased Section 171.7. We are amending In most instances team drivers are a compliance costs on the regulated paragraph (a)(3) by adding a reference to safe, efficient, and cost effective means industry. Rather, the final rule NFPA 498—Standard for Safe Havens of transporting explosives. These incorporates current standards for the and Interchange Lots for Vehicles. changes will provide explosives carriers construction and maintenance of safe Section 177.835. We are adding a new with an optional means of compliance; havens. Overall, this final rule should paragraph (k) to clearly indicate that therefore, any increased compliance reduce the compliance burden on the costs associated with the proposals in Division 1.1, 1.2, and 1.3 explosives regulated industry without this final rule would be incurred may be left unattended by the carrier in compromising transportation safety. voluntarily by the explosives industry. a safe haven that meets NFPA 498. This Therefore, I certify that this rule will not Ultimately, we expect each company to addition would provide a clear, have a significant economic impact on make reasonable decisions based on its consistent, and measurable Federal a substantial number of small entities. requirement for the development and own business operations and future operation of safe havens. goals. Thus, costs incurred if a company F. Executive Order 13272 and DOT elects to rely on a safe haven to fulfill Regulatory Policies and Procedures V. Regulatory Analyses and Notices attendance requirements would be This notice has been developed in A. Statutory/Legal Authority for This balanced by the safety and security accordance with Executive Order 13272 Rulemaking benefits accruing from the decision. (‘‘Proper Consideration of Small Entities C. Executive Order 13132 This rulemaking is issued under in Agency Rulemaking’’) and DOT’s authority of the Federal Hazardous Executive Order 13132 requires procedures and policies to promote Materials Transportation Law (49 U.S.C. agencies to assure meaningful and compliance with the Regulatory 5101 et seq.), which authorizes the timely input by state and local officials Flexibility Act to ensure that potential Secretary of Transportation to prescribe in the development of regulatory impacts of draft rules on small entities regulations for the safe transportation, policies that may have a substantial, are properly considered. including security, of hazardous direct effect on the states, on the materials in interstate, intrastate, and relationship between the national G. Paperwork Reduction Act foreign commerce. government and the states, or on the distribution of power and There are no new information B. Executive Order 12866, Executive responsibilities among the various collection requirements in this proposed Order 13563, and DOT Regulatory levels of government. State rule. Policies and Procedures representatives participating in the H. Regulation Identifier Number (RIN) This final rule is not considered a public meeting expressed support for significant regulatory action under the proposed incorporation of safe A regulation identifier number (RIN) section 3(f) of Executive Order 12866 haven standards into the HMR. The is assigned to each regulatory action and, therefore, was not reviewed by the final rule provides an option for safe listed in the Unified Agenda of Federal Office of Management and Budget havens to be developed and operated Regulations. The Regulatory Information (OMB). This rule is not significant based on existing safety standards. It Service Center publishes the Unified under the Regulatory Policies and does not preempt state requirements Agenda in April and October of each Procedures of the Department of (e.g., state and local zoning ordinances, year. The RIN contained in the heading Transportation (44 FR 11034). building permits, land use restrictions, of this document can be used to cross- Executive Orders 12866 and 13563 or other similar requirements). Safe reference this action with the Unified require agencies to regulate in the ‘‘most haven owners must continue to follow Agenda.

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I. Unfunded Mandates Reform Act of applicable to the storage of explosives 49 CFR Part 177 1995 transported in commerce. We asked for Hazardous materials transportation, This final rule does not impose comments on specific safety and security measures that would provide Incorporation by reference, Motor unfunded mandates, under the carriers, Radioactive materials, Unfunded Mandates Reform Act of greater benefit to the human environment, or on alternative actions Reporting and recordkeeping 1995. It does not result in costs of requirements. $141.3 million or more to either state, the agency could take that would local, or tribal governments, in the provide beneficial impacts. No In consideration of the foregoing, 49 aggregate, or to the private sector, and commenters addressed the potential CFR Chapter I is amended as follows: is the least burdensome alternative that environmental impacts of the proposals achieves the objective of the rule. in the ANPRM or NPRM. PART 171—GENERAL INFORMATION, Safe havens promote the safe storage REGULATIONS, AND DEFINITIONS J. Privacy Act of hazardous materials in transportation. Anyone is able to search the Safe havens ensure that explosives are ■ 1. The authority citation for part 171 electronic form of all comments stored in a manner that protects them continues to read as follows: received into any of our dockets by the from release into the environment. This final rule does not prohibit or promote Authority: 49 U.S.C. 5101–5128, 44701; 49 name of the individual submitting the CFR 1.45 and 1.53; Pub. L. 101–410 section comment (or signing the comment, if the development of safe havens; rather, it ensures that existing and future safe 4 (28 U.S.C. 2461 note); Pub L. 104–134 submitted on behalf of an association, section 31001. business, labor union, etc.). You may havens meet minimum design and review DOT’s complete Privacy Act safety criteria. The impact on the ■ 2. In § 171.7, in the paragraph (a)(3) Statement in the Federal Register environment if any would be a table, under the entry ‘‘National Fire published on April 11, 2000 (Volume reduction in the environmental risks Protection Association,’’ the associated with the unattended storage 65, Number 70; Pages 19477–78) or you organization’s mailing address is revised of explosives in transportation. As a may visit http://www.dot.gov. and the entry ‘‘NFPA 498—Standard for result, we have determined that there Safe Havens and Interchange Lots for K. National Environmental Policy Act are no significant environmental Vehicles Transporting Explosives, 2010 impacts associated with this rule. The National Environmental Policy Edition’’ is added. Act of 1969 (NEPA) requires Federal List of Subjects The revision and addition read as agencies to consider the consequences follows: of major Federal actions and that they 49 CFR Part 171 prepare a detailed statement on actions Exports, Hazardous materials § 171.7 Reference material. significantly affecting the quality of the transportation, Hazardous waste, human environment. We requested Imports, Incorporation by reference, (a) * * * comments on the potential Reporting and recordkeeping (3) Table of material incorporated by environmental impacts of regulations requirements. reference. ***

49 CFR Source and name of material reference

******* National Fire Protection Association, 1 Batterymarch Park, Quincy, MA, 1–617–770–3000, www.nfpa.org.

******* NFPA 498–Standard for Safe Havens and Interchange Lots for Vehicles Transporting Explosives, 2010 Edition ...... 177.835

*******

PART 177—CARRIAGE BY PUBLIC see § 171.7 of the subchapter) DEPARTMENT OF COMMERCE HIGHWAY constitutes a federally approved safe haven for the unattended storage of National Oceanic and Atmospheric ■ 3. The authority citation for part 177 vehicles containing Division 1.1, 1.2, or Administration continues to read as follows: 1.3 materials. 50 CFR Part 648 Authority: 49 U.S.C. 5101–5128; 49 CFR Issued in Washington, DC, on May 27, 1.53. 2011, under authority delegated in 49 CFR [Docket No. 110303179–1290–02] ■ 4. In § 177.835 a new paragraph (k) is part 106. RIN 0648–XA163 added to read as follows: Cynthia L. Quarterman, § 177.835 Class 1 materials. Administrator. Fisheries of the Northeastern United * * * * * [FR Doc. 2011–13837 Filed 6–6–11; 8:45 am] States; 2011 Specifications for the (k) Attendance of Class 1 (explosive) BILLING CODE 4910–60–P Spiny Dogfish Fishery materials. Division 1.1, 1.2, or 1.3 AGENCY: National Marine Fisheries materials that are stored during Service (NMFS), National Oceanic and transportation in commerce must be Atmospheric Administration (NOAA), attended and afforded surveillance in Commerce. accordance with 49 CFR 397.5. A safe ACTION: Final rule. haven that conforms to NFPA 498 (IBR,

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SUMMARY: NMFS announces MAFMC designated as the A proposed rule for this action was specifications and management administrative lead. The FMP published in the Federal Register on measures for the spiny dogfish fishery implemented a rebuilding program that March 17, 2011 (76 FR 14644), with for the 2011 fishing year (FY) (May 1, held fishing mortality rates to a level public comment accepted through April 2011, through April 30, 2012). NMFS is that would allow the stock to rebuild 18, 2011. Consistent with the Councils’ implementing a spiny dogfish quota of and that specified a semi-annual quota, recommendations, NMFS proposed an 20 million lb (9,071.85 mt) for FY 2011, allocating 57.9 percent of the coastwide FY 2011 commercial quota of 20 million and is maintaining the possession limit quota to the fishery in Period 1 (May 1– lb (9,071.85 mt), a level that will of 3,000 lb (1.36 mt). These measures October 30) and 42.1 percent of the prevent overfishing, after accounting for are consistent with the Spiny Dogfish quota in Period 2 (November 1–April other sources of fishing mortality (U.S. Fishery Management Plan (FMP) and 30). The FMP also prohibits ‘‘finning,’’ discards, recreational catch, and promote the utilization and with a maximum of 5 percent fin to Canadian landings). NMFS also conservation of the spiny dogfish carcass ratio by weight; allows for a proposed maintaining the possession resource. framework adjustment process; and limit of 3,000 lb (1.36 mt) for FY 2011. implements annual FMP review, permit DATES: Effective July 7, 2011, through A complete discussion of the and reporting requirements for the spiny April 30, 2012. development of the specifications and dogfish fishery, and other general ADDRESSES: Copies of supporting management measures appears in the documents used by the Mid-Atlantic administrative requirements (65 FR 1557, January 11, 2000). preamble of the proposed rule and is not Fishery Management Council (MAFMC), repeated here. including the Environmental The regulations implementing the Assessment (EA) and Regulatory Impact Spiny Dogfish FMP at 50 CFR part 648, Final 2011 Specifications and Review (RIR)/Initial Regulatory subpart L, outline the process for Management Measures Flexibility Analysis (IRFA), are specifying the commercial quota and available from: Dr. Christopher M. other management measures (e.g., The spiny dogfish commercial quota Moore, Executive Director, Mid-Atlantic minimum or maximum fish sizes, for FY 2011 is 20 million lb (9,071.85 Fishery Management Council, Suite 201, seasons, mesh size restrictions, mt). The current possession limit of 800 N. State St, Dover, DE 19901. The possession limits, and other gear 3,000 lb (1.36 mt) remains unchanged. final EA/RIR/IRFA is also accessible via restrictions) necessary to ensure that the As specified in the FMP, quota Period the Internet at http:// target fishing mortality rate (target F) 1 (May 1 through October 31) is www.nero.noaa.gov. specified in the FMP will not be allocated 57.9 percent of the quota NMFS prepared a Final Regulatory exceeded in any FY (May 1–April 30), (11,580,000 lb (5,252.6 mt)), and quota Flexibility Analysis (FRFA), which is for a period of 1–5 FYs. Period 2 (November 1 through April 30) contained in the Classification section The regulations at § 648.230(b) specify is allocated 42.1 percent of the quota of the preamble of this rule. Copies of that the Spiny Dogfish Monitoring (8,420,000 lb (3,819.25 mt)). The 2011 the FRFA and the Small Entity Committee (MC), which is comprised of spiny dogfish commercial quota is Compliance Guide are available from representatives from states; MAFMC consistent with the 20-million-lb quota the Regional Administrator, Northeast staff; NEFMC staff; NMFS staff; adopted by the Atlantic States Marine Regional Office, NMFS, 55 Great academia; and two non-voting, ex- Fisheries Commission (Commission) on Republic Drive, Gloucester, MA 01930– officio industry representatives (one November 12, 2010. However, on March each from the MAFMC and NEFMC 2276, and are also available via the 31, 2011, the Commission approved regions), recommend to the Council’s Internet at http://www.nero.nmfs.gov. Addendum 3 to the Interstate FMP to Joint Spiny Dogfish Committee (Joint FOR FURTHER INFORMATION CONTACT: divide the southern region annual quota Lindsey Feldman, Fisheries Committee) a commercial quota and other management measures necessary of 42 percent into state-specific shares Management Specialist, phone: 978– and allows for quota transfer between 675–2179, fax: 978–281–9135. to achieve the target F for 1–5 FYs based states, rollovers of up to 5 percent, and SUPPLEMENTARY INFORMATION: on the best available information. The Joint Committee considers the MC’s state-specified possession limits. Background recommendations and any public Although this final rule implements the Spiny dogfish were declared comment in making its recommendation same commercial quota as the overfished by NMFS on April 3, 1998. to the two Councils. The Councils then Commission for FY 2011 (20 million lb), Consequently, the Magnuson-Stevens review the recommendations of the MC the final 2011 quota implemented by the Act required NMFS to prepare measures and Joint Committee separately and Commission, adjusting for overages to end overfishing and rebuild the spiny make their recommendations to NMFS. from the previous year, is approximately dogfish stock. During 1998 and 1999, NMFS reviews those recommendations, 19.5 million lb (a difference of 500,000 the Mid-Atlantic Fishery Management and may modify them if necessary to lb from the Federal quota). The issue of Council (MAFMC) and the New England assure that the target F will not be quota allocation will be reconsidered by Fishery Management Council (NEFMC) exceeded. NMFS then publishes the Councils in the upcoming developed a joint FMP, with the proposed measures for public comment. Amendment 3 to the FMP.

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Comments and Responses alternatives that would have increased ‘‘Comments and Responses’’ section in NMFS received three comments on the FY 2011 possession limits the preamble to this rule. specifically to limit the development of the proposed measures by three Description and Estimate of Number of a large-scale directed fishery and allow individuals. Small Entities to Which the Rule Will Comment 1: One individual opposed the stock to fully rebuild. It is for these Apply reasons that the possession limit is the spiny dogfish commercial quota The entities potentially affected by increase for FY 2011 and commented maintained at 3,000 lb (1.36 mt) for FY 2011. this rule include vessels with Federal that the commercial quota should be spiny dogfish permits. According to decreased. Classification NMFS permit file data, 3,020 vessels Response: The spiny dogfish fishery were issued Federal spiny dogfish was declared rebuilt on June 22, 2010, Pursuant to section 304(b)(1)(A) of the Magnuson-Stevens Act, the NMFS permits, while only 398 of these vessels based an analysis of biological reference were active in the fishery in FY 2009. points presented at the Transboundary Assistant Administrator has determined that this rule is consistent with the All of these potentially affected Resource Assessment Committee businesses are considered small entities (TRAC) meeting in January 2010. In the Spiny Dogfish FMP, other provisions of the Magnuson-Stevens Act, and other under the standards described in NMFS fall of 2010, the NMFS Northeast guidelines because their gross receipts Fisheries Science Center (NEFSC) applicable law. This action is authorized by 50 CFR do not exceed $4 million annually (13 updated the spiny dogfish stock status CFR 121.201(2006)). using the population modeling part 648 and has been determined to be approach from the 43rd Stock not significant for purposes of Executive Description of Projected Reporting, Assessment Workshop (43rd SAW, Order 12866 (E.O. 12866). Recordkeeping, and Other Compliance 2006), 2009 catch data, and results from Pursuant to section 604 of the Requirements the 2010 spring bottom trawl survey. Regulatory Flexibility Act, NMFS has This action does not contain any new The update specified that the female prepared a final regulatory flexibility collection-of-information, reporting, spawning stock biomass (SSB) for 2010 analysis (FRFA), which is included in recordkeeping, or other compliance is 164,066 mt (362 million lb), about 3 this final rule, in support of the FY 2011 requirements. It does not duplicate, percent above the maximum spawning spiny dogfish specifications and overlap, or conflict with any other stock biomass, SSBmax (159,288 mt), the management measures. The FRFA Federal rules. maximum sustainable yield biomass describes the economic impact that this Minimizing Significant Economic (Bmsy) proxy. The 2010 NEFSC stock final rule, along with other non- status update confirmed that overfishing preferred alternatives, will have on Impacts on Small Entities of spiny dogfish is not occurring, the small entities. NMFS and the Council considered stock is not overfished, and the stock The FRFA incorporates the economic three distinct alternatives for this rule, has been rebuilt since 2008. The quota impacts and analysis summarized in the which are assessed in greater detail in increase of 5 million lb (2,268 mt) for IRFA, a summary of the significant the IRFA. The potential impacts of each FY 2011 is justified because as the stock issues raised by the public, and a alternative were evaluated using continues to be rebuilt, the fishery is no summary of analyses prepared to information from FY 2009, as that is the longer constrained to Frebuild, and fishing support the action (i.e., the EA and the most recent year for which data are mortality rates can increase without RIR). The contents of these documents complete. The action recommended in compromising the status of the current are not repeated in detail here. A copy this rule (Alternative 2) specifies a or future stock. of the IRFA, the RIR, and the EA are commercial quota for spiny dogfish of Comment 2: Two individuals available upon request (see ADDRESSES). 20 million lb (9,071.85 mt), which is supported the increase in the FY 2011 higher than quota in the Status Quo Statement of Objective and Need commercial spiny dogfish quota. One (Alternative 1) option that would individual noted that maintaining the A description of the reasons why this maintain the FY 2011 commercial quota current possession limit of 3,000 lb action is being considered, and the for spiny dogfish at 15 million lb (1.36 mt) would not allow for the objectives of and legal basis for this (5,443.11 mt). Alternative 3 would development of a directed spiny dogfish action, is contained in the preamble to specify a commercial quota of 31.4 fishery. the proposed rule and this final rule and million lb (14,242.8 mt), a level set to Response: NMFS agrees that is not repeated here. achieve the existing Ftarget of 0.207. increasing the FY 2011 commercial Summary of Public Comment on IRFA None of the alternatives propose to spiny dogfish quota will allow and Agency Response modify the current 3,000-lb (1.36-mt) utilization of the spiny dogfish resource, possession limit. while still protecting the stock from NMFS received three comments from Assuming that the quota will be fully overfishing. three individuals on the proposed attained and that FY 2011 prices for NMFS does not agree that the measures. While the comments were not spiny dogfish will be similar to those in possession limit should be increased for specifically directed to the IRFA, two FY 2009, Alternatives 2 and 3 would FY 2011. The FMP was developed to individuals were supportive of the increase revenue levels for affected halt depletion of reproductively mature positive economic impact the increase businesses, thereby having a positive female spiny dogfish and to allow the in the commercial quota would have on economic impact on small entities. The stock to rebuild. Because the the spiny dogfish fishing industry. In positive economic impacts would be commercial fishery concentrated addition, one individual stated that due greater under Alternative 3 than primarily on mature females, the FMP to the low ex-vessel value of spiny Alternative 2. In contrast, Alternative 1 established possession limits to control dogfish, the possession limit should be (status quo) would maintain the current the directed fishery for spiny dogfish increased to allow for the development revenue levels. Total spiny dogfish and allow for the reproductively mature of a directed spiny dogfish fishery that revenue from the last complete FY female portion of the population to can supply a burgeoning market. The (2009) was reported as $2.360 million. rebuild. The Councils did not consider response to this comment is in the Using the average FY 2009 price/lb

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($0.22), landing the full FY 2010 quota ADDRESSES) and may be found at the DATES: Effective June 7, 2011. of 15 million lb (5,443.11 mt), (and also following Web site: http:// FOR FURTHER INFORMATION CONTACT: the FY 2011 quota under Alternative 1) www.nero.noaa.gov/nero/. Peggy Busby at 206–526–4323. would yield $3.300 million in fleet Authority: 16 U.S.C. 1801 et seq. revenue. Applying the same approach, SUPPLEMENTARY INFORMATION: A final Dated: June 1, 2011. revenue would be expected to increase rule published May 4, 2011 (76 FR to $4.400 million under the proposed Eric C. Schwaab, 25246), describes annual management action (Alternative 2), and $6.898 Assistant Administrator for Fisheries, measures for managing the harvest of National Marine Fisheries Service. million under Alternative 3. The quota salmon in the area managed by the level under Alternative 2 will allow the [FR Doc. 2011–13974 Filed 6–6–11; 8:45 am] Pacific Fishery Management Council highest level of harvest of spiny dogfish BILLING CODE 3510–22–P (Council). This correcting amendment while taking into account scientific revises a table in that rule to make it uncertainty about the stock. Although DEPARTMENT OF COMMERCE consistent with the text of the rule and the level of increased revenue for small the Council’s recommendations. entities will be less than under Alternative 3, Alternative 2 is more National Oceanic and Atmospheric Need for Correction likely to prevent overfishing of the Administration spiny dogfish resource and promote a In the final rule regarding 2011 more stable stream of commercial 50 CFR Part 660 salmon management measures (76 FR landings and revenues over the long [Docket No. 110223162–1295–02] 25246, May 4, 2011), Section 1, part B term. on page 25251 consists of a table of RIN 0648–XA184 Minimum Size for salmon caught in the Small Entity Compliance Guide commercial fishery. There are two errors Fisheries Off West Coast States; West Section 212 of the Small Business in this table, rendering it inconsistent Coast Salmon Fisheries; 2011 Regulatory Enforcement Fairness Act of Management Measures; Correction with the rule text and the Council’s 1996 states that, for each rule or group recommendations for the 2011 salmon of related rules for which an agency is AGENCY: National Marine Fisheries management measures, as adopted at required to prepare a FRFA, the agency Service (NMFS), National Oceanic and their April 2011 meeting. The shall publish one or more guides to Atmospheric Administration (NOAA), corresponding text describing the assist small entities in complying with Commerce. fishing area and geographic boundaries the rule, and shall designate such ACTION: Final rule; correcting in Section 1, part A, is correct as publications as ‘‘small entity compliance amendment. published on May 4, and is consistent guides.’’ The agency shall explain the with the Council’s recommendations for actions a small entity is required to take SUMMARY: NMFS established fishery the 2011 management measures for the to comply with a rule or group of rules. management measures for the 2011 salmon fishery. In the table, the area As part of this rulemaking process, a ocean salmon fisheries off Washington, listed as ‘‘Cape Falcon to Horse Mt.’’ is letter to permit holders that also serves Oregon, and California and the 2012 corrected to read ‘‘Cape Falcon to OR/ as small entity compliance guide (guide) salmon seasons opening earlier than CA Border.’’ The area listed as ‘‘Horse was prepared and will be sent to all May 1, 2012. The final rule published Mt. to US–Mexico Border’’ is corrected holders of permits issued for the spiny on May 4, 2011, included an incorrect to read ‘‘OR/CA Border to U.S./Mexico dogfish fishery. In addition, copies of area description for minimum size Border.’’ The table here replaces the this final rule and guide (i.e., permit requirements for the commercial salmon table in 76 FR 25246, Section 1: holder letter) are available from the fishery. This action corrects the Northeast Regional Administrator (see incorrect language. B. Minimum Size (Inches) (See C.1)

Chinook Coho Area (when open) Pink Total length Head-off Total length Head-off

North of Cape Falcon, OR ...... 28.0 21.5 16.0 12.0 None. Cape Falcon to OR/CA Border ...... 28.0 21.5 ...... None. OR/CA Border to U.S./Mexico Border ...... 27.0 20.5 ...... None. Metric equivalents: 28.0 in = 71.1 cm, 27.0 in = 68.6 cm, 21.5 in = 54.6 cm, 20.5 in = 52.1 cm, 16.0in = 40.6 cm, and 12.0 in = 30.5 cm.

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Classification text and the Council’s recommendation, salmon fishery, which will cause and therefore eliminates any confusion confusion and will be inconsistent with The Assistant Administrator for that the inconsistency might create for the Council’s recommendation and with Fisheries, NOAA (AA) finds good cause the public. If this rule is not the analytical documents for this under 5 U.S.C. 553(b)(B), to waive the implemented immediately, the public rulemaking. requirement for prior notice and will have incorrect information Because prior notice and opportunity opportunity for additional public regarding the geographic area and for public comment are not required for comment for this action as notice and boundaries for the salmon fishery, this rule by 5 U.S.C. 553, or any other comment would be unnecessary and which will cause confusion and will be law, the analytical requirements of the contrary to the public interest. Notice inconsistent with the Council’s Regulatory Flexibility Act, 5 U.S.C. 601 and comment are unnecessary and recommendation and with the analytical et seq., are inapplicable. contrary to the public interest because documents for this rulemaking. No This final rule is exempt from review this action simply makes the above- aspect of this action is controversial and under Executive Order 12866. referenced table consistent with the text no change in operating practices in the Authority: 16 U.S.C. 773–773k; 1801 et in the original final rule and the fishery is required. seq. Council’s recommended action. This For the same reasons, pursuant to 5 correction does not affect the results of U.S.C. 553(d), the AA finds good cause Dated: May 31, 2011. analyses conducted to support to waive the 30-day delay in effective Eric C. Schwaab, management decisions in the salmon date. If this rule is not implemented Assistant Administrator for Fisheries, fishery nor change the total catch of immediately, the public will have National Marine Fisheries Service. salmon. The correction eliminates an incorrect information regarding the [FR Doc. 2011–13975 Filed 6–6–11; 8:45 am] inconsistency between the table, and the geographic area and boundaries for the BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 76, No. 109

Tuesday, June 7, 2011

This section of the FEDERAL REGISTER This guide describes methods that the about NRC dockets to Carol Gallagher, contains notices to the public of the proposed NRC’s staff considers acceptable to telephone: 301–492–3668; e-mail: issuance of rules and regulations. The implement Title 10, of the Code of [email protected]. purpose of these notices is to give interested Federal Regulations, part 50, ‘‘Domestic • Mail comments to: Cindy Bladey, persons an opportunity to participate in the Licensing of Production and Utilization Chief, Rules, Announcements, and rule making prior to the adoption of the final rules. Facilities’’ (10 CFR part 50), Appendix Directives Branch (RADB), Office of A, ‘‘General Design Criteria for Nuclear Administration, Mail Stop: TWB–05– Power Plants,’’ with regard to B01M, U.S. Nuclear Regulatory NUCLEAR REGULATORY preoperational testing features of Commission, Washington, DC 20555– COMMISSION emergency core cooling systems (ECCSs) 0001. for pressurized-water reactors (PWRs). • Fax comments to: RADB at 301– 10 CFR Part 50 This regulatory guide also describes 492–3446. methods that the NRC staff finds You can access publicly available [NRC–2011–0129] acceptable for preoperational testing of documents related to this notice using ECCS structures, systems, and the following methods: Draft Regulatory Guide: Issuance, components (SSCs), in accordance with • NRC’s Public Document Room Availability the regulations in 10 CFR part 52, (PDR): The public may examine and ‘‘Licenses, Certifications, and Approvals have copied, for a fee, publicly available AGENCY: Nuclear Regulatory for Nuclear Power Plants,’’ Subpart B, documents at the NRC’s PDR, O1–F21, Commission. ‘‘Standard Design Certifications,’’ and One White Flint North, 11555 Rockville ACTION: Notice of Issuance and Subpart C,’’ Combined Licenses.’’ Pike, Rockville, Maryland 20852. Availability of Draft Regulatory Guide, • NRC’s Agencywide Documents II. Further Information DG–1253, ‘‘Preoperational Testing of Access and Management System Emergency Core Cooling Systems for The NRC staff is soliciting comments (ADAMS): Publicly available documents Pressurized-Water Reactors’’. on DG–1253. Comments may be created or received at the NRC are accompanied by relevant information or available online in the NRC Library at FOR FURTHER INFORMATION CONTACT: supporting data and should mention http://www.nrc.gov/reading-rm/ Mekonen M. Bayssie, Regulatory Guide DG–1253 in the subject line. Comments adams.html. From this page, the public Development Branch, Division of submitted in writing or in electronic can gain entry into ADAMS, which Engineering, Office of Nuclear form will be made available to the provides text and image files of the Regulatory Research, U.S. Nuclear public in their entirety through the NRC’s public documents. If you do not Regulatory Commission, Washington, NRC’s Agencywide Documents Access have access to ADAMS or if there are DC 20555–0001, telephone: 301–251– and Management System (ADAMS). problems in accessing the documents 7489 or e-mail: Mekonen ADDRESSES: Please include Docket ID located in ADAMS, contact the NRC’s [email protected]. NRC–2011–0129 in the subject line of PDR reference staff at 1–800–397–4209, SUPPLEMENTARY INFORMATION: your comments. Comments submitted in 301–415–4737, or by e-mail to writing or in electronic form will be [email protected]. The Regulatory I. Introduction posted on the NRC Web site and on the Analysis is available electronically The U.S. Nuclear Regulatory Federal rulemaking Web site, http:// under ADAMS Accession Number Commission (NRC) is issuing for public www.regulations.gov. Because your ML110110489. comment a draft guide in the agency’s comments will not be edited to remove • Federal Rulemaking Web Site: ‘‘Regulatory Guide’’ series. This series any identifying or contact information, Public comments and supporting was developed to describe and make the NRC cautions you against including materials related to this notice can be available to the public such information any information in your submission that found at http://www.regulations.gov by as methods that are acceptable to the you do not want to be publicly searching on Docket ID NRC–2011– NRC staff for implementing specific disclosed. 0129. parts of the NRC’s regulations, The NRC requests that any party Comments would be most helpful if techniques that the staff uses in soliciting or aggregating comments received by August 5, 2011. Comments evaluating specific problems or received from other persons for received after that date will be postulated accidents, and data that the submission to the NRC inform those considered if it is practical to do so, but staff needs in its review of applications persons that the NRC will not edit their the NRC is able to ensure consideration for permits and licenses. comments to remove any identifying or only for comments received on or before The draft regulatory guide (DG), contact information, and therefore, they this date. Although a time limit is given, entitled, ‘‘Preoperational Testing of should not include any information in comments and suggestions in Emergency Core Cooling Systems for their comments that they do not want connection with items for inclusion in Pressurized-Water Reactors,’’ is publicly disclosed. You may submit guides currently being developed or temporarily identified by its task comments by any one of the following improvements in all published guides number, DG–1253, which should be methods: are encouraged at any time. mentioned in all related • Federal Rulemaking Web Site: Go to Electronic copies of DG–1253 are correspondence. DG–1253 is proposed http://www.regulations.gov and search available through the NRC’s public Web Revision 2 of Regulatory Guide 1.79, for documents filed under Docket ID site under Draft Regulatory Guides in dated September 1975. NRC–2011–0129. Address questions the ‘‘Regulatory Guides’’ collection of

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the NRC’s Electronic Reading Room at Comments Invited Mountain Regional Office of the Federal http://www.nrc.gov/reading-rm/doc- Interested parties are invited to Aviation Administration, Air Traffic collections/. Electronic copies are also participate in this proposed rulemaking Organization, Western Service Center, available in ADAMS (http:// by submitting such written data, views, Operations Support Group, 1601 Lind www.nrc.gov/reading-rm/adams.html), or arguments, as they may desire. Avenue, SW., Renton, WA 98057. Persons interested in being placed on under Accession No. ML110110480. Comments that provide the factual basis Regulatory guides are not a mailing list for future NPRM’s should supporting the views and suggestions copyrighted, and Commission approval contact the FAA’s Office of Rulemaking, presented are particularly helpful in is not required to reproduce them. (202) 267–9677, for a copy of Advisory developing reasoned regulatory Circular No. 11–2A, Notice of Proposed Dated at Rockville, Maryland, this 27th day decisions on the proposal. Comments of May, 2011. Rulemaking Distribution System, which are specifically invited on the overall describes the application procedure. For the Nuclear Regulatory Commission. regulatory, aeronautical, economic, Edward O’Donnell, environmental, and energy-related The Proposal Acting Chief, Regulatory Guide Development aspects of the proposal. The FAA is proposing an amendment Branch, Division of Engineering, Office of Communications should identify both to Title 14 Code of Federal Regulations Nuclear Regulatory Research. docket numbers (FAA Docket No. FAA (14 CFR) Part 71 by modifying Class E [FR Doc. 2011–13970 Filed 6–6–11; 8:45 am] 2011–0516 and Airspace Docket No. 11– airspace extending upward from 700 BILLING CODE 7590–01–P ANM–12) and be submitted in triplicate feet above the surface at Tillitt Field to the Docket Management System (see Airport, Forsyth, MT, to accommodate ADDRESSES section for address and aircraft using RNAV (GPS) standard DEPARTMENT OF TRANSPORTATION phone number). You may also submit instrument approach procedures at comments through the Internet at Tillitt Field Airport. This action would Federal Aviation Administration http://www.regulations.gov. enhance the safety and management of Commenters wishing the FAA to aircraft operations at the airport. 14 CFR Part 71 acknowledge receipt of their comments Class E airspace designations are [Docket No. FAA–2011–0516; Airspace on this action must submit with those published in paragraph 6005, of FAA Docket No. 11–ANM–12] comments a self-addressed stamped Order 7400.9U, dated August 18, 2010, postcard on which the following and effective September 15, 2010, which Proposed Modification of Class E statement is made: ‘‘Comments to FAA is incorporated by reference in 14 CFR Airspace; Forsyth, MT Docket No. FAA–2011–0516 and 71.1. The Class E airspace designation Airspace Docket No. 11–ANM–12.’’ The listed in this document will be AGENCY: Federal Aviation postcard will be date/time stamped and published subsequently in this Order. Administration (FAA), DOT. returned to the commenter. The FAA has determined this ACTION: Notice of proposed rulemaking All communications received on or proposed regulation only involves an (NPRM). before the specified closing date for established body of technical regulations for which frequent and SUMMARY: This action proposes to comments will be considered before modify Class E airspace at Forsyth, MT. taking action on the proposed rule. The routine amendments are necessary to Controlled airspace is necessary to proposal contained in this action may keep them operationally current. accommodate aircraft using Area be changed in light of comments Therefore, this proposed regulation; (1) ‘‘ ’’ Navigation (RNAV) Global Positioning received. All comments submitted will Is not a significant regulatory action System (GPS) standard instrument be available for examination in the under Executive Order 12866; (2) is not ‘‘ ’’ approach procedures at Tillitt Field public docket both before and after the a significant rule under DOT Airport. The FAA is proposing this closing date for comments. A report Regulatory Policies and Procedures (44 action to enhance the safety and summarizing each substantive public FR 11034; February 26, 1979); and (3) management of aircraft operations at the contact with FAA personnel concerned does not warrant preparation of a airport. with this rulemaking will be filed in the regulatory evaluation as the anticipated docket. impact is so minimal. Since this is a DATES: Comments must be received on routine matter that will only affect air Availability of NPRMs or before July 22, 2011. traffic procedures and air navigation, it ADDRESSES: Send comments on this An electronic copy of this document is certified this proposed rule, when proposal to the U.S. Department of may be downloaded through the promulgated, would not have a Transportation, Docket Operations, M– Internet at http://www.regulations.gov. significant economic impact on a 30, West Building Ground Floor, Room Recently published rulemaking substantial number of small entities W12–140, 1200 New Jersey Avenue, SE., documents can also be accessed through under the criteria of the Regulatory Washington, DC 20590; telephone (202) the FAA’s Web page at http:// Flexibility Act. 366–9826. You must identify FAA www.faa.gov/airports_airtraffic/ The FAA’s authority to issue rules Docket No. FAA–2011–0516; Airspace air_traffic/publications/ regarding aviation safety is found in Docket No. 11–ANM–12, at the airspace_amendments/. Title 49 of the U.S. Code. Subtitle 1, beginning of your comments. You may You may review the public docket Section 106, describes the authority for also submit comments through the containing the proposal, any comments the FAA Administrator. Subtitle VII, Internet at http://www.regulations.gov. received, and any final disposition in Aviation Programs, describes in more FOR FURTHER INFORMATION CONTACT: person in the Dockets Office (see the detail the scope of the agency’s Eldon Taylor, Federal Aviation ADDRESSES section for the address and authority. This rulemaking is Administration, Operations Support phone number) between 9 a.m. and promulgated under the authority Group, Western Service Center, 1601 5 p.m., Monday through Friday, except described in Subtitle VII, Part A, Lind Avenue, SW., Renton, WA 98057; Federal holidays. An informal docket Subpart I, Section 40103. Under that telephone (425) 203–4537. may also be examined during normal section, the FAA is charged with SUPPLEMENTARY INFORMATION: business hours at the Northwest prescribing regulations to assign the use

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of the airspace necessary to ensure the COMMODITY FUTURES TRADING In the Federal Register of May 23, safety of aircraft and the efficient use of COMMISSION 2011, in FR Doc. 2011–11008, on page airspace. This regulation is within the 29888, the authority citation in the scope of that authority as it establishes 17 CFR Part 1 second column reads as follows: additional controlled airspace at Tillitt RIN 3038–AD46 Authority: 7 U.S.C. 1a, 2, 5, 6, 6a, 6b, 6c, Field Airport, Forsyth, MT. 6d, 6e, 6f, 6g, 6h, 6i, 6j, 6k, 6l, 6m, 6n, 6o, 6p, 6r, 7, 7a, 7b, 8, 9, 10, 12, 12a, 12c, 13a, List of Subjects in 14 CFR Part 71 SECURITIES AND EXCHANGE COMMISSION 13a–1, 16, 16a, 21, 23, and 24. Airspace, Incorporation by reference, Commodity Futures Trading Commission. Navigation (air). 17 CFR Part 240 David A. Stawick, The Proposed Amendment Secretary. Securities and Exchange [Release No. 33–9204A; 34–64372A; File No. Commission. S7–16–11] Accordingly, pursuant to the Dated: June 1, 2011. authority delegated to me, the Federal RIN 3235–AK65 Elizabeth M. Murphy, Aviation Administration proposes to Secretary. amend 14 CFR part 71 as follows: Further Definition of ‘‘Swap,’’ ‘‘Security- [FR Doc. 2011–13976 Filed 6–6–11; 8:45 am] Based Swap,’’ and ‘‘Security-Based BILLING CODE 6351–01–P; 8011–01–P PART 71—DESIGNATION OF CLASS A, Swap Agreement’’; Mixed Swaps; B, C, D AND E AIRSPACE AREAS; AIR Security-Based Swap Agreement TRAFFIC SERVICE ROUTES; AND Recordkeeping DEPARTMENT OF TREASURY REPORTING POINTS AGENCY: Commodity Futures Trading Internal Revenue Service 1. The authority citation for 14 CFR Commission; Securities and Exchange Commission. Part 71 continues to read as follows: 26 CFR Part 1 ACTION: Joint proposed rules; proposed Authority: 49 U.S.C. 106(g), 40103, 40113, interpretations; correction. [REG–114206–11] 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– RIN 1545–BK21 1963 Comp., p. 389. SUMMARY: The Commodity Futures § 71.1 [Amended] Trading Commission and the Securities Encouraging New Markets Tax Credit and Exchange Commission published a Non-Real Estate Investments 2. The incorporation by reference in document in the Federal Register of 14 CFR 71.1 of the Federal Aviation May 23, 2011 that referenced an AGENCY: Internal Revenue Service (IRS), Administration Order 7400.9U, incorrect RIN and an incorrect cite in an Treasury. Airspace Designations and Reporting authority citation. This correction is ACTION: Advance notice of proposed Points, dated August 18, 2010, and being published to correct both the RIN rulemaking. effective September 15, 2010 is and the authority citation. SUMMARY: This document invites amended as follows: FOR FURTHER INFORMATION CONTACT: comments from the public on issues that CFTC: Julian E. Hammar, Assistant Paragraph 6005 Class E airspace areas the Treasury Department and the IRS General Counsel, at 202–418–5118, extending upward from 700 feet or more may address in regulations relating to [email protected], Mark Fajfar, above the surface of the earth. the new markets tax credit. Specifically, Assistant General Counsel, at 202–418– * * * * * this document invites comments from 6636, [email protected], or David E. the public on how the new markets tax ANM MT E5 Forsyth, MT [Modified] Aron, Counsel, at 202–418–6621, credit program may be amended to [email protected], Office of General Tillitt Field Airport, MT encourage non-real estate investments. ° ′ ″ ° ′ ″ Counsel, Commodity Futures Trading (Lat. 46 16 16 N., long. 106 37 26 W.) The regulations will affect taxpayers Commission, Three Lafayette Centre, That airspace extending upward from 700 claiming the new markets tax credit. 1155 21st Street, NW., Washington, DC feet above the surface within a 7-mile radius The Treasury Department and the IRS 20581; SEC: Matthew A. Daigler, Senior of Tillitt Field Airport, and within 2.5 miles have published separately in this issue ° Special Counsel, at 202–551–5578, north and 5.5 miles south of the 075 bearing of the Federal Register, a notice of Cristie L. March, Attorney-Adviser, at of the airport extending from the 7-mile proposed rulemaking REG–101826–11 202–551–5574, or Leah M. Drennan, radius to 13 miles east of the airport; that modifying the new markets tax credit Attorney-Adviser, at 202–551–5507, airspace extending upward from 1,200 feet program by providing specific rules Division of Trading and Markets, or above the surface within an area bounded by concerning a qualified community ° ′ ″ ° ′ ″ Michael J. Reedich, Special Counsel, or lat. 46 31 00 N., long. 107 00 00 W.; to lat. development entity’s investment of ° ′ ″ ° ′ ″ Tamara Brightwell, Senior Special 46 22 00 N., long. 106 03 00 W.; to lat. certain returns of capital from non-real ° ′ ″ ° ′ ″ Counsel to the Director, at 202–551– 46 05 00 N., long. 106 210 3 W.; to lat. estate businesses. 46°00′00″ N., long. 107°15′00″ W.; to lat. 3500, Division of Corporation Finance, DATES: Written and electronic comments 46°15′00″ N., long. 107°16′00″ W.; to lat. Securities and Exchange Commission, must be submitted by September 6, 46°20′00″ N., long. 107°00′00″ W., thence to 100 F Street, NE., Washington, DC 2011. the point of beginning. 20549–7010. ADDRESSES: Send submissions to: Issued in Seattle, Washington on May 27, Correction CC:PA:LPD:PR (REG–114206–11), room 2011. In the Federal Register of May 23, 5205, Internal Revenue Service, PO Box John Warner, 2011, in FR Doc. 2011–11008, on page 7604, Ben Franklin Station, Washington, Manager, Operations Support Group, Western 29818, in the 10th line of the first DC 20044. Submissions may be hand- Service Center. column, the Security and Exchange delivered Monday through Friday [FR Doc. 2011–13944 Filed 6–6–11; 8:45 am] Commission’s RIN is corrected to read between the hours of 8 a.m. and 4 p.m. BILLING CODE 4910–13–P as noted above. to CC:PA:LPD:PR (REG–114206–11),

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Courier’s Desk, Internal Revenue another CDE of any loan made by the facilities, and job training centers. Service, 1111 Constitution Avenue, entity that is a qualified low-income Although new markets tax credit NW., Washington, DC, or sent community investment; (C) financial investments may be made in non-real electronically, via the Federal counseling and other services specified estate businesses, the investments made eRulemaking Portal at http:// in regulations prescribed by the to date have been predominantly in real www.regulations.gov (IRS REG–114206– Secretary to businesses located in, and estate projects. Through 2009, only 35 11). residents of, low-income communities; percent of new market tax credit dollars FOR FURTHER INFORMATION CONTACT: and (D) any equity investment in, or invested in qualified active low-income Concerning the proposals, Julie Hanlon- loan to, any CDE. community businesses were invested in Bolton, (202) 622–3040; concerning Under section 45D(d)(2), a qualified non-real estate businesses, and much of submissions, Oluwafunmilayo Taylor, active low-income community business these investments supported real estate (202) 622–7180 (not toll-free numbers). is any corporation (including a related projects (for example, nonprofit corporation) or partnership if purchasing or renovations of owner- SUPPLEMENTARY INFORMATION: for such year, among other occupied facilities). Background requirements, (i) at least 50 percent of The purpose of this document is to the total gross income of the entity is seek comments on measures that could Section 45D was added to the Internal derived from the active conduct of a facilitate greater investment in non-real Revenue Code by section 121 of the qualified business within any low- estate businesses without disrupting the Community Renewal Tax Relief Act of income community, (ii) a substantial success of new markets tax credit real 2000 (Pub. L. 106–554, 114 Stat. 2763 portion of the use of the tangible estate investments overall. The Treasury (2000)) and amended by section 221 of property of the entity (whether owned Department and the IRS have identified the American Jobs Creation Act of 2004 or leased) is within any low-income certain issues with regard to non-real (Pub. L. 108–357, 118 Stat. 1418 (2004)); community, and (iii) a substantial estate businesses under the new markets section 101 of the Gulf Opportunity portion of the services performed for the tax credit program that may be Zone Act of 2005 (Pub. L. 109–135, 119 entity by its employees are performed in considered for guidance or Stat. 25 (2005)); section 102, Division A, any low-income community. administrative pronouncements. The of the Tax Relief and Health Care Act of Under section 45D(d)(3), with certain Treasury Department and the IRS invite 2006 (Pub. L. 109–432, 120 Stat. 2922 exceptions, a qualified business is any comments from the public on the (2006)); section 302 of the Tax trade or business. The rental to others of following issues and any other issues for Extenders and Alternative Minimum real property is a qualified business which the taxpayers believe guidance Tax Relief Act of 2008 (Pub. L. 110–343, only if, among other requirements, the would be necessary to promote greater 122 Stat 3765 (2008)); section 1403(a) of real property is located in a low-income investment in non-real estate businesses the American Recovery and community. under the new markets tax credit Reinvestment Tax Act of 2009 (Pub. L. Groups and organizations program while still maintaining the 111–5, 123 Stat 115 (2009)); and section representing investors, qualified structure of the credit that has been so 733 of the Tax Relief, Unemployment community development entities, successful for other types of Insurance Reauthorization, and Job businesses, and other entities involved investments. Creation Act of 2010 (Pub. L. 111–312, with the new markets tax credit program 124 Stat 3296 (2010)). have submitted comments requesting A. Streamlined Substantiation Section 45D(a)(1) allows a new additional guidance to encourage greater Requirements for Second Tier CDEs markets tax credit on certain credit investment in non-real estate Making Small Loans to Non-Real Estate allowance dates described in section businesses. The commentators Businesses 45D(a)(3) with respect to a qualified suggested that revising the new markets Under § 1.45D–1(d)(1)(iv)(A)(1), the equity investment in a qualified tax credit program to encourage term qualified low-income community community development entity (CDE) investment in non-real estate businesses investment includes any equity described in section 45D(c). will bring increased amounts of capital investment in, or loan to, any CDE (the Under section 45D(b)(1), an equity to underserved businesses in low- second CDE) by a CDE (the primary investment in a CDE is a qualified income communities. The Treasury CDE), but only to the extent that the equity investment if, among other Department believes that revisions to second CDE uses the proceeds of the requirements: (A) The investment is the regulations under the new markets investment or loan in a manner acquired by the taxpayer at its original tax credit program would have a described in § 1.45D–1(d)(1)(i) or issue (directly or through an favorable effect on the ability of the (d)(1)(iii) and that would constitute a underwriter) solely in exchange for program to benefit non-real estate qualified low-income community cash; (B) substantially all of the cash is businesses in low-income communities. investment if it were made directly by used by the CDE to make qualified low- The new markets tax credit has been the primary CDE. The net effect of this income community investments; and (C) a successful tool for encouraging private provision is that, if the primary CDE the investment is designated for sector investments in low-income makes a qualified low-income purposes of section 45D by the CDE. communities. According to the Treasury community investment into a second Section 45D(c)(1) provides that an Department’s Community Development CDE, the primary CDE must ensure that entity is a CDE if, among other Financial Institutions Fund, through the new markets tax credit proceeds are requirements, the entity is certified by 2009, the new markets tax credit has ultimately invested in a qualified active the Secretary as a CDE. helped to spur $16 billion of low-income community business and/or Section 45D(d)(1) defines the term investments in approximately 3,000 are used to provide financial counseling qualified low-income community businesses and real estate projects and other services. This added layer of investment to mean: (A) Any capital or located in low-income communities substantiation has placed constraints on equity investment in, or loan to, any throughout the country, including the ability of a primary CDE to invest qualified active low-income community investments in manufacturing funds in a second CDE—particularly in business (as defined in section businesses, alternative energy instances where the second CDE intends 45D(d)(2)); (B) the purchase from companies, charter schools, health care to make smaller sized loans to non-real

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estate businesses because transaction that the second CDE be a non-profit communities relying on the program. and compliance monitoring costs are entity or the affiliate of a non-profit This document also provides a notice of higher relative to the size of smaller entity? a public hearing on these proposed loans than they are for larger, real estate- regulations. The Treasury Department B. Encouraging Equity Investments in secured transactions. and the IRS have published separately Non-Real Estate Businesses The Treasury Department and the IRS in this issue of the Federal Register an are soliciting comments on whether the 1. What non-statutory requirements in advance notice of proposed rulemaking substantiation requirements governing § 1.45D–1 can be revised to encourage REG–114206–11 requesting comments investments under § 1.45D– CDEs to make equity investments in on additional modifications to the new 1(d)(1)(iv)(A)(1) should be simplified in non-real estate businesses? markets tax credit program to facilitate cases where: (i) The second CDE uses 2. If consideration is given to and encourage investments in non-real the new markets tax credit proceeds to potential changes to the reasonable estate businesses in low-income make smaller-sized loans (for example, expectations test of § 1.45D–1(d)(6)(i), communities. less than $250,000) to non-real estate what modifications would be most DATES: Written or electronic comments businesses; (ii) neither the second CDE effective in encouraging equity must be received by September 8, 2011. nor the non-real estate business investments in non-real estate Outlines of topics to be discussed at the receiving the new markets tax credit businesses, while still preserving the public hearing scheduled for Thursday, proceeds is affiliated with the primary purpose of the existing limitations on September 29, 2011, must be received CDE or the qualified equity investment the reasonable expectations test? by September 8, 2011. investors; and (iii) the second CDE ADDRESSES: Send submissions to: demonstrates that, at the time of initial Request for Comments CC:PA:LPD:PR (REG–101826–11), room investment in the non-real estate Before the notice of proposed 5203, Internal Revenue Service, PO Box business, the non-real estate business rulemaking is issued, consideration will 7604, Ben Franklin Station, Washington, receiving the new markets tax credit be given to any written and electronic DC 20044. Submissions may be hand- proceeds met some basic qualifying comments that are submitted timely to delivered Monday through Friday requirements (for example, the business the IRS. All comments will be available between the hours of 8 a.m. and 4 p.m. is in a low-income community). for public inspection and copying. In particular, the Treasury to CC:PA:LPD:PR (REG–101826–11), Department and the IRS encourage Drafting Information Courier’s Desk, Internal Revenue Service, 1111 Constitution Avenue, taxpayers to submit comments on the The principal author of this advance NW., Washington, DC, or sent following issues: notice of proposed rulemaking is Julie electronically, via the Federal 1. Would simplifying the Hanlon-Bolton of the Office of Chief eRulemaking Portal at http:// substantiation requirements in the Counsel (Passthroughs and Special www.regulations.gov (IRS REG–101826– manner proposed facilitate greater new Industries). However, other personnel 11). The public hearing will be held in markets tax credit investment in non- from the IRS and the Treasury the Auditorium of the Internal Revenue real estate businesses? Are there other Department participated in its Building, 1111 Constitution Avenue, areas where § 1.45D–1 could be development. modified to achieve a similar outcome? NW., Washington, DC. 2. The Treasury Department and the Steven T. Miller, FOR FURTHER INFORMATION CONTACT: IRS believe that, if there is to be a Deputy Commissioner for Services and Concerning the regulations, Julie simplification of the substantiation Enforcement. Hanlon-Bolton, (202) 622–3040; requirements for these transactions, [FR Doc. 2011–13981 Filed 6–3–11; 4:15 pm] concerning submission of comments, there may need to be a cap on the total BILLING CODE 4830–01–P the hearing, and/or to be placed on the transaction size. Is $250,000 the building access list to attend the appropriate cap to put on the initial hearing, Richard Hurst, (202) 622–7180 loan size? Should special considerations DEPARTMENT OF THE TREASURY (not toll-free numbers). be made for follow-on investments and/ SUPPLEMENTARY INFORMATION: or lines of credit? For example, should Internal Revenue Service Background there be a cap on the total aggregate investment in one business? If so, what 26 CFR Part 1 This document amends 26 CFR part 1 should that cap be? [REG–101826–11] to provide additional rules relating to 3. What are the appropriate minimum the new markets tax credit under requirements that a non-real estate RIN 1545–BK04 section 45D of the Internal Revenue business should satisfy in order for the New Markets Tax Credit Non-Real Code (Code). Section 45D was added to second CDE to be able to take advantage Estate Investments the Code by section 121 of the of the simplified substantiation Community Renewal Tax Relief Act of requirements (for example, the business AGENCY: Internal Revenue Service (IRS), 2000 (Pub. L. 106–554, 114 Stat. 2763 must be located in a low-income Treasury. (2000)) and amended by section 221 of community, employ community ACTION: Notice of proposed rulemaking the American Jobs Creation Act of 2004 residents, etc. at the time of initial and notice of public hearing. (Pub. L. 108–357, 118 Stat. 1418 (2004)), investment)? How should this be section 101 of the Gulf Opportunity measured (for example, that SUMMARY: This document contains Zone Act of 2005 (Pub. L. 109–135, 119 substantially all of the real property is proposed regulations modifying the new Stat. 25 (2005)), Division A, section 102 located in a low-income community)? markets tax credit program to facilitate of the Tax Relief and Health Care Act of 4. Should the Treasury Department and encourage investments in non-real 2006 (Pub. L. 109–432, 120 Stat. 2922 and the IRS consider additional estate businesses in low-income (2006)), section 302, Division C of the limitations (other than those specified) communities. The regulations will affect Tax Extenders and Alternative on unaffiliated CDEs or businesses? For taxpayers claiming the new markets tax Minimum Tax Relief Act of 2008 (Pub. example, should the regulations require credit and businesses in low-income L. 110–343, 122 Stat. 3765 (2008)),

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section 1403(a)(1) of the American (as defined in section 45D(d)(2)); (B) the (including principal repayments from Recovery and Reinvestment Tax Act of purchase from another CDE of any loan amortizing loans) re-invest those 2009 (Pub. L. 111–5, 123 Stat. 115 made by the entity that is a qualified proceeds into other qualified low- (2009)), and section 733 of the Tax low-income community investment; (C) income community investments during Relief, Unemployment Insurance financial counseling and other services the seven-year credit period. This Reauthorization, and Job Creation Act of specified in regulations prescribed by reinvestment requirement makes it 2010 (Pub. L. 111–312, 124 Stat. 3296 the Secretary to businesses located in, difficult for CDEs to provide working (2010)). and residents of, low-income capital and equipment loans to non-real Groups and organizations communities; and (D) any equity estate businesses because these loans representing investors, qualified investment in, or loan to, any CDE. are ordinarily amortizing loans with a community development entities, Under section 45D(d)(2)(A), a term of five years or less. Therefore, the businesses, and other entities involved qualified active low-income community proposed regulations would allow a with the new markets tax credit program business is any corporation (including a CDE that makes a qualified low-income have submitted comments requesting nonprofit corporation) or partnership if community investment involving a non- additional guidance to encourage more for such year, among other real estate business to invest certain investment in non-real estate requirements, (i) at least 50 percent of returns of capital from those businesses. The commentators the total gross income of the entity is investments in unrelated certified suggested that revising the new markets derived from the active conduct of a community development financial tax credit program to encourage qualified business within any low- institutions that are CDEs under section investment in non-real estate businesses income community, (ii) a substantial 45D(c)(2)(B) (certified CDFIs) at various will bring increased amounts of capital portion of the use of the tangible points during the seven-year credit to underserved businesses in low- property of the entity (whether owned period. CDFIs are financial institutions income communities. The Treasury or leased) is within any low-income that provide credit and financial Department and IRS believe that community, and (iii) a substantial services to underserved markets and revisions of the reinvestment rules of portion of the services performed for the populations. The CDE’s reinvestment of the new markets tax credit program entity by its employees are performed in returned capital in certified CDFIs would have a positive impact on the any low-income community. would be considered to meet the ability of the program to benefit non-real Under section 45D(d)(3), with certain reinvestment requirements of the new estate businesses in low-income exceptions, a qualified business is any markets tax credit program. The communities. trade or business. The rental to others of proposed regulations would allow an real property is a qualified business increasing aggregate amount to be General Overview only if, among other requirements, the invested in certified CDFIs and treated Section 45D(a)(1) allows a new real property is located in a low-income as continuously invested in a qualified markets tax credit on certain credit community. low-income community investment in allowance dates described in section Explanation of Provisions the latter years of the seven-year credit 45D(a)(3) with respect to a qualified period. equity investment in a qualified The new markets tax credit under The proposed regulations define a community development entity (CDE) section 45D has been a successful tool non-real estate qualified active low- described in section 45D(c). for encouraging private sector income community business as any Under section 45D(b)(1), an equity investments in low-income business whose predominant business investment in a CDE is a qualified communities. According to the Treasury activity (measured by more than 50 equity investment if, among other Department’s Community Development percent of the business’ gross income) requirements: (A) the investment is Financial Institutions Fund, through does not include the development acquired by the taxpayer at its original 2009, the new markets tax credit has (including construction of new facilities issue (directly or through an helped to spur $16 billion of and rehabilitation/enhancement of underwriter) solely in exchange for investments in approximately 3,000 existing facilities), management, or cash; (B) substantially all of the cash is businesses and real estate projects leasing of real estate. The purpose of the used by the CDE to make qualified low- located in low-income communities investment or loan must not be income community investments; and (C) throughout the country, including connected to the development the investment is designated for investments in manufacturing (including construction of new facilities purposes of section 45D by the CDE. businesses, alternative energy and rehabilitation/enhancement of Under section 45D(b)(2), the companies, charter schools, health care existing facilities), management, or maximum amount of equity investments facilities, and job training centers. leasing of real estate. issued by a CDE that may be designated Although new markets tax credit by the CDE as qualified equity investments may be made in non-real Proposed Effective Date investments shall not exceed the portion estate businesses, the investments made The rules contained in these of the new markets tax credit limitation to date have been predominantly in real regulations are proposed to apply to set forth in section 45D(f)(1) that is estate projects. Through 2009, only 35 taxable years ending on or after the date allocated to the CDE by the Secretary percent of new market tax credit dollars of publication of the Treasury decision under section 45D(f)(2). invested in qualified active low-income adopting these rules as final regulations Section 45D(c)(1) provides that an community businesses were invested in in the Federal Register. entity is a CDE if, among other non-real estate businesses, and much of requirements, the entity is certified by this investment supported real estate Request for Comments the Secretary as a CDE. related projects (for example, The IRS and the Treasury Department Section 45D(d)(1) defines qualified purchasing or renovations of owner- invite taxpayers to submit comments on low-income community investment to occupied facilities). issues relating to how a CDE can make mean: (A) any capital or equity Currently, the new markets tax credit a qualified low-income community investment in, or loan to, any qualified program generally requires that a CDE investment into a non-real estate active low-income community business that receives returns on investments qualified active low-income community

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business. In particular, the IRS and the Comments and Public Hearing PART 1—INCOME TAXES Treasury Department encourage taxpayers to submit comments on the Before these proposed regulations are Paragraph 1. The authority citation following issues: adopted as final regulations, for part 1 continues to read in part as consideration will be given to any follows: 1. Will the proposed rules allowing a written comments (a signed original and Authority: 26 U.S.C. 7805 * * * payment from a non-real estate qualified eight (8) copies) or electronic comments active low-income community business that are submitted timely to the IRS. Par. 2. Section 1.45D–1 is amended to be invested in a certified CDFI Comments are requested on all aspects by: facilitate loans to, or equity investments of the proposed regulations. In addition, 1. Amending paragraph (a) as follows: in, non-real estate businesses? Should the IRS and the Treasury Department a. Adding entries for paragraphs the rule take into account whether a specifically request comments on the (c)(8), (d)(9), (d)(9)(i), (d)(9)(ii), loan to the non-real estate business is an clarity of the proposed rules and how (d)(9)(ii)(A), (d)(9)(ii)(B), (d)(9)(ii)(C) amortizing or non-amortizing loan, the they can be made easier to understand. and (h)(3). loan period, and the loan repayment All comments will be available for b. Revising the entry for paragraph schedule? public inspection and copying. (d)(1)(i). 2. Will the proposed rules encourage 2. Revising paragraphs (c)(1)(iii), A public hearing has been scheduled (c)(3)(ii), and (d)(1)(i). venture capital investments in non-real for September 29, 2011, beginning at 10 estate businesses? If not, how can the 3. Adding new paragraphs (c)(8), a.m. in the Auditorium of the Internal (d)(9), and (h)(3). proposed rules be modified to Revenue Building, 1111 Constitution accomplish that goal? The additions and revisions read as Avenue, NW., Washington, DC. Due to follows: 3. Is the definition of a non-real estate building security procedures, visitors qualified active low-income community must enter at the Constitution Avenue § 1.45D–1 New markets tax credit. business sufficient for CDEs and entrance. Because of access restrictions, * * * * * investors to rely on? Are the ‘‘more than visitors will not be admitted beyond the (c) * * * 50 percent gross income’’ requirement immediate entrance area more than 30 (8) Non-real estate qualified equity and activity limitation the appropriate minutes before the hearing starts. In investment. ways to define a non-real estate addition, all visitors must present photo (d) * * * qualified active low-income community identification to enter the building. For (1) * * * business? information about having your name (i) Investment in a qualified active 4. Will CDEs be able to determine placed on the building access list to low-income community business or a whether an entity satisfies the attend the hearing, see the FOR FURTHER non-real estate qualified active low- requirements to be a non-real estate INFORMATION CONTACT section of this income community business. qualified active low-income community preamble. * * * * * business without incurring unduly The rules of 26 CFR 601.601(a)(3) (9) Non-real estate qualified active burdensome costs? apply to the hearing. Persons who wish low-income community business. 5. Should a payment from a non-real to present oral comments at the hearing (i) Definition. estate qualified active low-income must submit electronic or written (ii) Payments of, or for, capital, equity community business be permitted to be comments by September 8, 2011, and an or principal with respect to a non-real invested in entities other than a certified outline of the topics to be discussed and estate qualified active low-income CDFI (or qualified low-income the time to be devoted to each topic by community business. community investments)? September 8, 2011. A period of 10 (A) In general. 6. Should a qualified equity minutes will be allotted to each person (B) Seventh year of the credit period. investment made before the effective for making comments. An agenda (C) Amounts received from a certified date of the final regulations be eligible showing the scheduling of the speakers Community Development Financial for designation as a non-real estate will be prepared after the deadline for Institution. qualified equity investment? receiving outlines has passed. Copies of * * * * * the agenda will be available free of (h) * * * Special Analyses charge at the hearing. (3) Investments in non-real estate businesses. It has been determined that this notice Drafting Information of proposed rulemaking is not a * * * * * significant regulatory action as defined The principal author of these (c) * * * in Executive Order 12866. Therefore, a regulations is Julie Hanlon Bolton with (1) * * * regulatory assessment is not required. It the Office of the Associate Chief (iii) The investment is designated for also has been determined that section Counsel (Passthroughs and Special purposes of section 45D and this section 553(b) of the Administrative Procedure Industries). However, other personnel as a qualified equity investment or a Act (5 U.S.C. chapter 5) does not apply from the IRS and the Treasury non-real estate qualified equity to these regulations, and because the Department participated in their investment (as defined in paragraph regulations do not impose a collection development. (c)(8) of this section) by the CDE on its books and records using any reasonable of information on small entities, the List of Subjects in 26 CFR Part 1 Regulatory Flexibility Act (5 U.S.C. method. chapter 6) does not apply. Pursuant to Income taxes, Reporting and * * * * * section 7805(f) of the Code, this notice recordkeeping requirements. (3) * * * of proposed rulemaking has been Proposed Amendments to the (ii) Exceptions. Notwithstanding submitted to the Chief Counsel for Regulations paragraph (c)(3)(i) of this section, an Advocacy of the Small Business equity investment in an entity is eligible Administration for comment on its Accordingly, 26 CFR part 1 is to be designated as a qualified equity impact on small business. proposed to be amended as follows: investment or a non-real estate qualified

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equity investment under paragraph For purposes of paragraph (d)(2)(i) of qualified low-income community (c)(1)(iii) of this section if— this section, a portion of the amounts investment. * * * * * received by a CDE in payment of, or for, * * * * * (8) Non-real estate qualified equity capital, equity, or principal with respect (h) * * * investment. If a qualified equity to a non-real estate qualified active low- (3) Investments in non-real estate investment is designated as a non-real income community business after year businesses. The rules in paragraphs estate qualified equity investment under one of the 7-year credit period (as (c)(8) and (d)(9) of this section apply to paragraph (c)(1)(iii) of this section, then defined by paragraph (c)(5)(i) of this taxable years ending on or after the date the qualified equity investment may section) may be reinvested by the CDE of publication of the Treasury decision only satisfy the substantially-all in a certified community development adopting these rules as final regulation requirement under paragraph (c)(5) of financial institution that is a CDE under in the Federal Register. this section if the CDE only makes section 45D(c)(2)(B) (certified CDFI) (as qualified low-income community defined by 12 CFR 1805.201) and that is Steven T. Miller, investments that are directly traceable to unrelated to the CDE (in accordance Deputy Commissioner for Services and non-real estate qualified active low- with section 267(b) or section 707(b)(1)). Enforcement. income community businesses (as Any portion that the CDE chooses to [FR Doc. 2011–13978 Filed 6–3–11; 4:15 pm] defined in paragraph (d)(9) of this reinvest in a certified CDFI must be BILLING CODE 4830–01–P section). The proceeds of a non-real reinvested by the CDE no later than 30 estate qualified equity investment days from the date of receipt to be DEPARTMENT OF THE TREASURY cannot be used for transactions treated as continuously invested in a qualified low-income community involving a qualified active low-income Internal Revenue Service community business that is not a non- investment for purposes of paragraph (d)(2)(i) of this section. If the amount real estate qualified active low-income 26 CFR Part 31 community business. reinvested in a certified CDFI exceeds (d) * * * the maximum aggregate portion of the [REG–151687–10] (1) * * * non-real estate qualified equity RIN 1545–BJ98 (i) Investment in a qualified active investment, then the excess will not be low-income community business or a treated as invested in a qualified low- income community investment. The Withholding on Payments by non-real estate qualified active low- Government Entities to Persons income community business. Any maximum aggregate portion of the non- real estate qualified equity investment Providing Property or Services; capital or equity investment in, or loan Correction to, any qualified active low-income that may be reinvested into a certified community business (as defined in CDFI, which will be treated as AGENCY: Internal Revenue Service (IRS), paragraph (d)(4) of this section) or any continuously invested in a qualified Treasury. low-income community investment, non-real estate qualified active low- ACTION: Correction to notice of proposed may not exceed the following income community business (as defined rulemaking. in paragraph (d)(9) of this section). percentages of the non-real estate qualified equity investment in the * * * * * SUMMARY: This document contains a following years: correction to a notice of proposed (9) Non-real estate qualified active (1) 15 percent in Year 2 of the 7-year low-income community business—(i) rulemaking (REG–151687–10) that was credit period; published in the Federal Register on Definition. The term non-real estate (2) 30 percent in Year 3 of the 7-year qualified active low-income community Monday, May 9, 2011 (76 FR 26678). credit period; The proposed regulation provides business means any qualified active (3) 50 percent in Year 4 of the 7-year guidance relating to withholding by low-income community business (as credit period; and government entities on payments to defined in paragraph (d)(4) of this (4) 85 percent in Year 5 and Year 6 persons providing property or services. section) whose predominant business of the 7-year credit period. activity does not include the (B) Seventh year of the credit period. FOR FURTHER INFORMATION CONTACT: A.G. development (including construction of Amounts received by a CDE in payment Kelley, (202) 622–6040 (not a toll free new facilities and rehabilitation/ of, or for, capital, equity, or principal number). enhancement of existing facilities), with respect to a non-real estate SUPPLEMENTARY INFORMATION: management, or leasing of real estate. qualified active low-income community For purposes of the preceding sentence, business (as defined in paragraph Background predominant business activity means a (d)(9)(i) of this section) during the The notice of proposed rulemaking business activity that generates more seventh year of the 7-year credit period (REG–151687–10) that is the subject of than 50 percent of the business’ gross do not have to be reinvested by the CDE this correction is under section 3042(t) income. The purpose of the capital or in a qualified low-income community of the Internal Revenue Code. equity investment in, or loan to, the investment in order to be treated as non-real estate qualified active low- continuously invested in a qualified Need for Correction income community business must not low-income community investment. As published, the notice of proposed be connected to the development (C) Amounts received from a certified rulemaking (REG–151687–10) contains (including construction of new facilities Community Development Financial an error that may prove to be misleading and rehabilitation/enhancement of Institution. Except for the seventh year and is in need of clarification. existing facilities), management, or of the credit period under paragraph leasing of real estate. (d)(9)(ii)(B) of this section, amounts Correction of Publication (ii) Payments of, or for, capital, equity received from a certified CDFI must be Accordingly, the notice of proposed or principal with respect to a non-real reinvested by the CDE no later than 30 rulemaking (REG–151687–10), that was estate qualified active low-income days from the date of receipt to be the subject of FR Doc. 2011–10758, is community business—(A) In general. treated as continuously invested in a corrected as follows:

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§ 31.3402(t)–1 [Corrected] Avenue, NW., Washington, DC 20460. materials are available either On Page 26679, column 2, under the Please include a total of two copies. electronically in http:// paragraph heading § 31.3402(t)–1 • Hand Delivery: EPA Docket Center, www.regulations.gov or in hard copy at Withholding requirement on certain Public Reading Room, EPA West the Air and Radiation Docket, EPA/DC, payments made by government entities, Building, Room 3334, 1301 Constitution EPA West, Room 3334, 1301 line 7 from the bottom of the paragraph, Avenue, NW., Washington, DC 20460. Constitution Ave., NW., Washington, the language ‘‘a mere renewal of a Such deliveries are only accepted DC. The Public Reading Room is open contract. A material’’ is corrected to read during the Docket’s normal hours of from 8:30 a.m. to 4:30 p.m., Monday ‘‘a mere renewal of a contract that does operation, and special arrangements through Friday, excluding legal not otherwise materially affect the should be made for deliveries of boxed holidays. The telephone number for the property or services to be provided information. Public Reading Room is (202) 566–1744, under the contract, the terms of Instructions: Direct your comments to and the telephone number for the Air payment for the property or services Docket ID No. EPA–HQ–OAR–2010– Docket is (202) 566–1742. under the contract, or the amount 0444. EPA’s policy is that all comments FOR FURTHER INFORMATION CONTACT: Greg payable for the property or services received will be included in the public Orehowsky, Heavy-Duty and Nonroad under the contract. A material’’. docket without change and may be Engine Group, Compliance and made available online at http:// LaNita VanDyke, Innovative Strategies Division, Office of www.regulations.gov, including any Transportation and Air Quality, U.S. Chief, Publications and Regulations Branch, personal information provided, unless Legal Processing Division, Associate Chief Environmental Protection Agency; 1200 the comment includes information Pennsylvania Avenue, (6405J), NW., Counsel (Procedure and Administration). claimed to be Confidential Business Washington, DC 20460. Telephone [FR Doc. 2011–13928 Filed 6–6–11; 8:45 am] Information (CBI) or other information number: 202–343–9292; Fax number: BILLING CODE 4830–01–P whose disclosure is restricted by statute. 202–343–2804; E-mail address: Do not submit information that you [email protected]. consider to be CBI or otherwise ENVIRONMENTAL PROTECTION protected through http:// SUPPLEMENTARY INFORMATION: AGENCY www.regulations.gov or e-mail. The I. Purpose http://www.regulations.gov Web site is 40 CFR Part 86 an ‘‘anonymous access’’ system, which This Federal Register document describes and seeks public comment on [FRL–9315–2] means EPA will not know your identity or contact information unless you draft guidance for complying with adjustable parameter regulations at 40 Control of Emissions From New provide it in the body of your comment. CFR 86.094–22 as they apply to Highway Vehicles and Engines; If you send an e-mail comment directly certification of on-highway heavy-duty Guidance on EPA’s Certification to EPA without going through http:// diesel engines using selective catalytic Requirements for Heavy-Duty Diesel www.regulations.gov your e-mail reduction (SCR) technology to meet Engines Using Selective Catalytic address will be automatically captured emission standards for oxides of Reduction Technology and included as part of the comment that is placed in the public docket and nitrogen (NOX). This draft guidance AGENCY: Environmental Protection made available on the Internet. If you includes EPA’s interpretation of Agency (EPA). submit an electronic comment, EPA relevant regulatory provisions in light of ACTION: Request for comments. recommends that you include your available information on current and name and other contact information in developing approaches for effective SCR SUMMARY: EPA is requesting comment the body of your comment and with any controls. After considering any public on draft guidance and related disk or CD–ROM you submit. If EPA comments received, EPA will issue the interpretations concerning the cannot read your comment due to guidance and interpretations in the application of certain emission technical difficulties and cannot contact Federal Register, and will use them in certification regulations to those on- you for clarification, EPA may not be reviewing any application for highway heavy-duty diesel engines that able to consider your comment. certification application involving SCR are using selective catalytic reduction Electronic files should avoid the use of received on or after the effective date of systems to meet Federal emission special characters, any form of the guidance. The draft guidance standards. EPA will review the encryption, and be free of any defects or contained in this document reflects the comments and provide final guidance viruses. For additional information fact that manufacturers of heavy-duty and interpretations in a future Federal about EPA’s public docket, visit the EPA engines and operators of trucks have Register document. Docket Center homepage at http:// gained significant experience in the DATES: Any party may submit written www.epa.gov/epahome/dockets.htm. design and use of SCR systems for these comments by July 7, 2011. For additional instructions on engines, and this experience should be ADDRESSES: Submit your comments, submitting comments, go to ‘‘What reflected in the certification process. We identified by Docket ID No. EPA–HQ– Should I Consider as I Prepare My invite public comment on the draft OAR–2010–0444, by one of the Comments for EPA?’’ guidance and interpretations set forth following methods: Docket: All documents in the docket below. • On-line at http:// are listed in the http:// Until the effective date of the final www.regulations.gov: Follow the on-line www.regulations.gov index. Although guidance and interpretations, instructions for submitting comments. listed in the index, some information is manufacturers should continue to refer • E-mail: [email protected]. not publicly available, e.g., CBI or other to the regulations and the existing • Fax: (202) 566–1741. information whose disclosure is guidance documents noted below and to • Mail: Air and Radiation Docket, restricted by statute. Certain other work with their certification Docket ID No. EPA–HQ–OAR–2010– material, such as copyrighted material, representatives. We recognize that SCR 0444, Environmental Protection Agency, will be publicly available only in hard technology will continue to mature, and Mailcode: 6102T, 1200 Pennsylvania copy. Publicly available docket we anticipate that appropriate designs

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2 for heavy-duty diesel vehicles and To comply with the NOX standard, 86.094–22. In particular, 40 CFR heavy-duty diesel engines using SCR most heavy-duty engine manufacturers 86.094–22(e) authorizes EPA to systems may continue to evolve as developed SCR systems because of their determine those vehicle or engine additional experience with the high efficiency in reducing NOX parameters that will be subject to technology is gained. emissions. A relatively unsophisticated adjustment for emission testing This draft document provides specific SCR system can achieve 60 percent purposes, and 40 CFR 86.094–22(e)(1) examples of how we interpret existing reduction and a robust system can discusses how the Agency determines certification regulations and how we achieve greater than 80 percent which parameters are subject to intend to apply these regulations to reduction. This enables engine adjustment. heavy-duty diesel engines using SCR calibrations that increase fuel economy. It is important for manufacturers to systems, based on the information Additionally, SCR technology has a control the emissions performance of an available to us. These examples are not relatively lower cost compared to NO X engine or vehicle over the full range of exclusive and are to be considered adsorber technology. examples. Manufacturers remain able to any adjustable parameter in order to In developing SCR systems, present their own unique strategies that ensure that in-use operation is as good manufacturers consulted with EPA are not the same as the examples we are as projected at the time of certification. about how SCR systems could be providing, and such strategies will When emission-related parameters can designed and what other steps would be remain subject to our review and be adjusted, there is a concern that the needed (e.g., concerning DEF approval under the certification engine or vehicle can be operated at regulations. Manufacturers must still availability) to allow SCR to be used settings other than the manufacturer’s show EPA that they meet all statutory consistent with EPA regulations. Over a recommended setting, possibly and regulatory requirements when they period of years, EPA has developed and increasing emission levels. apply for certification. refined guidance to address how manufacturers could effectively address If a parameter is subject to II. Overview issues related to compliance with the adjustment, the engine may be tested regulations for adjustable parameters. over any point in the range of In promulgating the 0.20 gram per adjustment and must meet the brake horsepower-hour NO standard Manufacturers have addressed the X emissions standard through the range of for 2010 model year heavy-duty diesel adjustable parameter regulations by adjustment. The Administrator engines, based on a specified regulatory designing engines that employ warning test procedure, EPA recognized SCR systems for the driver and engine determines the range of adjustment for technology as one potential approach operation-related inducements for emissions testing based on whether the for achieving the required emission drivers to refill DEF tanks with proper means used to inhibit improper reductions. EPA identified several DEF. adjustment (e.g., limits, stops, seals) are issues for manufacturers to address in Manufacturers have also worked to adequate. 40 CFR 86.094–22(e)(2) sets developing and applying SCR increase DEF availability through forth how EPA determines the adequacy technology. Those issues related largely infrastructure development. DEF of the limits, stops, seals or other means to the technology’s use of a chemical infrastructure and sales volume have used to inhibit improper adjustment. reducing agent to reduce NOX continued to grow since introduction of For any parameter that is not adequately emissions. The reductant is generally in 2010 model year trucks equipped with limited, 40 CFR 86.094–22(e) authorizes liquid form, which is referred to in this SCR systems. Initially, DEF availability EPA to adjust the setting within the document as DEF (‘‘diesel exhaust was concentrated around major truck physical limits or stops during fluid’’). DEF is stored in a tank located routes, but has since increased in areas certification and other compliance on the vehicle and is injected into the away from these locations. DEF is now testing. If a parameter is determined to exhaust downstream of the engine. SCR available for sale in every state at truck be adequately inaccessible, sealed, or technologies require drivers to refill stops and service facilities, and is otherwise inhibited from adjustment, DEF on a regular basis and are available for delivery to fleet locations, the vehicle will only be emission tested dependent on appropriately broad as well. To assist drivers in finding DEF, at the actual settings to which the 1 availability of DEF. EPA regulations multiple Internet-based DEF locator parameter is adjusted during governing certification of engines services have also been developed. Sales production. 40 CFR 86.094–22(e)(2)(i) generally require manufacturers to show volumes of DEF are increasing and (ii) identifies certain types of that emission control technologies are significantly and are believed to parameters subject to adjustment, and adequately designed to limit correlate with the increased delivery identifies criteria related to technology, adjustments that may increase and use of SCR equipped trucks. time, or expense for determining emissions (‘‘adjustable parameters,’’ Increasing demand supported by sales whether adjustment of the parameter is discussed in detail below). SCR is volume should continue to drive the adequately limited. These provisions unique among emission controls in that expanding infrastructure. indicate that the technology used to it requires on-going driver interaction to limit adjustment, or the burden on the ensure proper operation of the system. III. Relevant Regulatory Provisions operator to make an adjustment (e.g., more than one-half hour in time or more 1 A Class 8 truck equipped with standard dual Under Section 203(a)(1) of the Clean 150-gallon fuel tanks can travel approximately Air Act, engines and/or vehicles must 3,600 miles between DEF tank refills, assuming a be certified as conforming with all 2 The regulatory provisions governing allowable 20-gallon DEF tank and representative DEF dosing applicable regulations before they may maintenance at 40 CFR 86.004–25 and 40 CFR rate of 3 percent of fuel usage. DEF price varies 86.094–25, and auxiliary emission control devices, depending on whether it is supplied via bulk be introduced into commerce. Of or AECDs at 40 CFR 86.004–2, 40 CFR 86.082–2 and container (commonly used by fleets and growing particular relevance for on-highway 40 CFR 86.004–16 are also relevant to certification numbers of truck stops) or a 1 to 2.5-gallon jug. heavy-duty diesel engines using SCR of engines using SCR technology, but are outside Current prices for bulk DEF at a truck stop are technology are the provisions that the scope of this document. Manufacturers should generally less than $3.00 per gallon and jug prices continue to refer to existing guidance noted below can be $4.00 or more per gallon. govern adjustable parameters at 40 CFR covering these regulatory provisions.

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than $20.00 in cost),3 can be adequate to IV. Prior Guidance make it highly likely operators would determine that the parameter is On March 27, 2007, EPA issued replenish DEF prior to the tank being adequately limited and would not be guidance regarding the certification of empty and operators would not tamper treated as adjustable outside of the light-duty and heavy-duty motor with SCR systems. The guidance specified range for purposes of vehicles and heavy-duty motor vehicle provided specific examples of robust emissions testing for compliance with engines using SCR systems (CISD–07– driver warnings and inducements to the standard. 40 CFR 86.094–22(e)(2)(iv) 07).4 The purpose of the guidance was help ensure operators addressed states that in determining the adequacy to discuss EPA’s intended approach to conditions such as low reductant level, of a physical limit, stop, seal, or other certification of engines using SCR improper reductant quality, and tampered system components. EPA means used to inhibit adjustment of an technologies and to facilitate continued to note the potential need for adjustable parameter, EPA will consider manufacturer planning in advance of certification. EPA noted that several additional guidance or changes in our the likelihood that settings other than approach for SCR certification. the manufacturer’s recommended regulatory requirements are uniquely relevant to the certification and On December 30, 2009, EPA revised setting will occur during in-use CISD–09–04.6 The intent of this revision operation of the vehicle or engine, implementation of engines using SCR, specifically the regulatory provisions was to clarify that CISD–09–04 was considering such factors as, but not guidance and did not set forth binding dealing with allowable maintenance and limited to: (1) The difficulty and cost of requirements. EPA revised the guidance adjustable parameters. EPA suggested getting access to make an adjustment, and made clear that manufacturers that an SCR system that requires the (2) the damage to the engine/vehicle if wishing to certify engines using SCR vehicle operator to replenish DEF an attempt is made, (3) the effect of technology should consult the revised periodically is potentially an adjustable guidance document as well as the settings beyond the limits, stops, seals, parameter, and that unless operation of guidance provided in CISD–07–07. EPA or other means on engine performance the vehicle without DEF was also reminded manufacturers that they characteristics other than emission sufficiently inhibited through built-in should work with their certification characteristics, and (4) surveillance performance deterioration or some representatives to provide EPA adequate information from similar in-use vehicles similar system, vehicles using SCR or engines. descriptions of the strategies that are could be treated as having an adjustable incorporated in their SCR systems in The emission control efficiency of an parameter range including no DEF in order to demonstrate compliance with SCR system is highly dependent on the the tank and could not be certified if the EPA’s certification requirements as set presence and quality of the reducing vehicle would exceed emission forth in 40 CFR Part 86. agent. Consequently, it is critical that a standards without DEF in the tank. EPA EPA has continued to monitor the SCR-equipped vehicle be designed so provided guidance regarding how development of SCR technology and its that it is highly unlikely that the vehicle engines using SCR could be designed effectiveness in achieving emission will be used without proper reducing consistent with these regulatory control in use. On July 20, 2010, in agent. Given that most SCR system provisions to allow for certification of conjunction with the California Air designs store the required DEF in a tank such engines. EPA provided examples Resources Board (CARB), we conducted of possible sufficient inducements, located on the vehicle and depend on a public workshop to review existing including prohibiting operation if DEF the vehicle operator to refill the tank guidance and policies regarding design is not present and having vehicle with DEF, EPA has indicated in and operation of SCR-equipped heavy- performance degraded in a manner that 7 previous guidance that manufacturers duty diesel engines. In particular, EPA would be safe but onerous enough to reviewed approaches to designing SCR- relying on SCR systems for emission discourage the user from operating the control must incorporate engine design equipped engines to monitor and induce vehicle until the DEF tank was refilled. appropriate responses to insufficient or elements that make it highly unlikely EPA also highlighted the need to assure improper DEF, as well as strategies the vehicle will operate for any that DEF would be available and regarding SCR systems that are substantial period without the accessible to operators and suggested tampered with or defective. EPA appropriate DEF. In practice, this has places where DEF could be made developed a strawman proposal meant designing engines or vehicles to available, such as dealerships and truck regarding future certification of heavy- alert operators of when the engine will stops. We recognized that SCR duty diesel engines equipped with SCR run out of DEF, when the DEF is technology was evolving and that our technology,8 and opened a docket to inadequate, or if the SCR system is not guidance also might need to evolve. allow public comment regarding these properly operating due to tampering or On February 18, 2009, EPA issued issues.9 As part of the strawman, EPA some malfunction. This has also meant additional guidance (CISD–09–04) to included approaches for engines designing engines or vehicles with supplement CISD–07–07.5 This features that motivate operators to guidance provided additional details 6 U.S. Environmental Protection Agency, Dear ensure proper use of the SCR system, regarding certification of heavy-duty Manufacturer Letter regarding ‘‘Revised Guidance engines with SCR systems. Particularly, for Certification of Heavy-Duty Diesel Engines such as engine derates and vehicle Using Selective Catalyst Reduction (SCR) speed inhibitors. Engine derates and it outlined design elements that would Technologies,’’ December 30, 2009, reference vehicle speed inhibitors alter important number CISD–09–04 (HDDE), available at http:// vehicle performance characteristics, 4 U.S. Environmental Protection Agency, Dear iaspub.epa.gov/otaqpub/ Manufacturer Letter regarding ‘‘Certification display_file.jsp?docid=20532&flag=1. such as acceleration, maximum vehicle Procedure for Light-Duty and Heavy-Duty Diesel 7 See 75 FR 39251 (July 8, 2010). speed attainable, and ability to maintain Vehicles and Heavy-Duty Diesel Engines Using 8 See docket number EPA–HQ–OAR–2010–0444– speed under various loads, that are Selective Catalytic Reduction (SCR) Technologies,’’ 0016. The strawman proposal was not final clearly noticeable to a driver. March 27, 2007, reference number CISD–07–07 guidance. (LDV/LDT/MDT/HDV/HDE), available at http:// 9 See 75 FR 39251 (July 8, 2010). Public iaspub.epa.gov/otaqpub/ comments received in response to the public 3 This cost is represented in terms of 1978 dollars. display_file.jsp?docid=16677&flag=1. workshop are available in EPA’s docket EPA–HQ– Adjusting for inflation, this would equate to 5 See docket number EPA–HQ–OAR–2010–0444– OAR–2010–0444, available at http:// roughly $70.00 in 2011 dollars. 0018. www.regulations.gov.

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equipped with SCR, including designs technology, and EPA has seen maturing used, whether the DEF was of that monitor on-board DEF supply and approaches to implementing the appropriate quality, and whether driver induce action to avoid low DEF supply technology. For example, from the 2010 warning indicators (i.e., warning lights, and operation with no DEF (or an to 2011 model years manufacturers messages, or audible alarms) were insufficient amount to allow proper improved or developed new engine/ present. CARB found that all trucks dosing). EPA also discussed detection of vehicle diagnostic software that were using DEF and that the DEF was poor quality DEF, as well as warnings provides more or better driver warnings of appropriate quality. No DEF-related and inducements if poor quality DEF is and inducements related to the SCR warning indicators were active and detected. In addition, EPA discussed system. Similarly, manufacturers are there was no evidence of tampering designs for engines equipped with SCR also evaluating various sensors that are with SCR system components. systems to sufficiently reduce the expected to reduce the amount of time Additionally, CARB solicited likelihood that SCR system operation necessary to detect poor quality DEF in information from drivers about their would be circumvented. EPA cautioned future model years. As with other new experience with locating DEF. Sixty manufacturers to review any element of engine technologies, defects in the drivers indicated that they encountered design that could be tampered with and operation of SCR system strategies (e.g., no problem locating DEF, while nine prevent proper operation of the SCR driver inducements) are sometimes indicated they had minor problems system. Lastly, EPA noted DEF freeze discovered in the field, and locating DEF in California or in other protection and infrastructure manufacturers initiate campaigns to fix states. For those encountering problems, requirements, and requirements the issues and incorporate these fixes in the issue was limited to not being able regarding unregulated pollutants. current and new model year production to purchase DEF at a particular refueling engines. station and instead having to purchase V. Experience to Date it at a different refueling station. Sixty- B. California Air Resources Board SCR eight drivers stated that they never ran A. EPA’s Certification Program Field Evaluation out of DEF while operating their For the 2010 and 2011 model years, The California Air Resources Board vehicles and only one driver indicated EPA has certified a total of 71 on- (CARB) recently conducted field that he drove for only 10 miles with an highway heavy-duty diesel engine investigations within the State of empty DEF tank as indicated by the families with SCR systems produced by California to evaluate implementation of driver’s gauge. 11 engine manufacturers. As part of the SCR technology for 2010 model year In the second half of 2010, CARB certification process, engine vehicles.10 The investigations included: conducted an evaluation of SCR manufacturers are required to disclose (1) A survey of DEF availability, (2) a inducements on three trucks equipped various aspects of the SCR system survey to determine whether drivers are with 2010 model year engines and SCR designs, including elements of their using DEF or have tampered with SCR systems. The trucks evaluated were a system that may be adjustable components, (3) an evaluation of SCR Freightliner Cascadia equipped with a parameters. To date, manufacturers’ driver inducements, and (4) an 12.8-liter Detroit Diesel DD13 engine designs have employed driver warnings evaluation of the potential emissions (Test Vehicle 1), a Kenworth T800 and inducements for low reductant impact of improper SCR operation. equipped with a 14.9-liter Cummins ISX level, poor reductant quality, and CARB conducted surveys of DEF engine (Test Vehicle 2), and a Dodge tampered or malfunctioning SCR availability in March 2010 and August 5500 equipped with a 6.7-liter Cummins systems. 2010. Both surveys indicated that DEF ISB engine (Test Vehicle 3). Each truck In order to ensure adequate is readily available at major diesel truck was operated under various test availability of DEF for use with stop refueling stations along major conditions to observe the operation of manufacturers’ engines, at the time of interstate highways in California. In the driver inducements and their certification EPA reviews first survey DEF was determined to be effectiveness in compelling the driver to manufacturers’ plans for DEF available at 85 percent of refueling take a particular course of action. The availability and accessibility. EPA stations, and in the second survey DEF conditions under which the trucks were expects manufacturers to have DEF was determined to be available at 92 operated included: (1) Operation until available at their dealerships, to percent of refueling stations. In the DEF tank was depleted, (2) encourage DEF availability at third- addition, both surveys indicated that 30 operation with water in the reductant party locations, and to have an percent of retailers that normally supply tank instead of DEF, and (3) operation emergency backup plan in case DEF is parts for heavy-duty vehicles have DEF with a disabled DEF system. CARB staff not readily available. available. CARB noted that as older referenced the vehicle owner’s manuals When manufacturers implement new engines are retired and an increasing and the February 2009 EPA guidance to emission controls, the engine number of SCR-equipped engines enter ascertain the expected driver warning technology generally evolves and the into operation, the availability of DEF indicators and inducement strategies manufacturers make improvements over should increase with demand. It that were expected in each condition. the course of initial model years as they concluded that DEF is currently being On Test Vehicle 1, the warnings and develop and certify engines and offered in adequate supply for the inducements were implemented as vehicles for each new model year. The relatively limited number of vehicles expected. CARB deemed the warnings process of certification involves using SCR. effective in drawing the driver’s interaction between manufacturers and In September 2010, CARB conducted attention to the need for SCR-related EPA technical staff about the nature and random inspections of 69 trucks service. The initial inducement effectiveness of emission controls and equipped with 2010 model year engines incorporated in Test Vehicle 1 was a 25 often results in manufacturers to determine whether DEF was being percent engine torque derate and a 55 modifying emission control strategies mph speed limitation. CARB concluded based on feedback from EPA. In the case 10 California Air Resources Board, Report that driving the truck with these regarding ‘‘Heavy-Duty Vehicle Selective Catalytic of SCR technology, manufacturers have Reduction Technology Field Evaluation,’’ May 2011, inducements was neither acceptable nor certified only a few model years of available at http://www.arb.ca.gov/msprog/cihd/ tolerable, especially when trying to engines that incorporate SCR cihd.htm. accelerate or driving up-hill, and would

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likely cause a driver to refill with DEF aware of a DEF heater malfunction that engines using SCR.14 The vehicles were or correct the SCR problem as needed. contributed to the final inducement not equipped with data-loggers that If the initial inducement were ignored, initiating as expected and was already wirelessly transmit data to Cummins the severe inducement incorporated in addressing the issue. CARB concluded periodically on the operation of those Test Vehicle 1 was a 5 mph speed that for both Test Vehicles 2 and 3, the vehicles. At the time the data was limitation, which worked as designed. warnings were deemed effective in gathered, the vehicles had accumulated The only way to resume normal drawing the driver’s attention to the a total of more than 2.4 million miles of operation after the severe inducement need for SCR-related service. CARB also operation across the United States. For was to have the vehicle serviced by concluded that the inducements on Test approximately 99.7 percent of the draining the water out of the system, Vehicle 2 were difficult to objectively operating miles of the surveyed filling the reductant tank with DEF, and assess due to a malfunctioning throttle vehicles, the DEF level was above 10 having the system reset by an position sensor that was encountered percent of tank capacity. For the authorized service technician. CARB during the testing. CARB concluded that remainder of vehicle operation: determined that the inducements were the inducements on Test Vehicle 3 were • DEF level was between 5 and 10 effective for this vehicle because the effective once the DEF heater percent of tank capacity for less than constant inducement strategies and risk malfunction was corrected. 0.13 percent of the operating miles (i.e., of costly repairs would not be worth the C. American Trucking Associations approximately 3,000 miles). downtime and financial loss to the • Survey DEF level was between 2.5 and 5 business when DEF could simply have percent of tank capacity for less than been added to ensure proper vehicle In 2010, the American Trucking 0.03 percent of the operating miles (i.e., operation. Associations (ATA) through its approximately 740 miles). technical advisory group conducted a On Test Vehicles 2 and 3, the • DEF level was between zero and 2.5 survey of 12 trucking fleets operating warnings and some inducements were percent of tank capacity (a condition at across the United States regarding their implemented as expected, but certain which engines experienced derated experience operating trucks with SCR- inducements were not. Test Vehicle 2 performance) for less than 0.04 percent equipped engines.12 The surveyed fleets implemented the initial inducement (25 of the operating miles (i.e., are some of the largest in the country percent engine torque derate) in approximately 920 miles). response to DEF depletion, DEF and operate an approximate total of • DEF level was at zero percent of contamination, and DEF tampering 2,000 SCR-equipped trucks. The fleet tank capacity (a condition at which conditions, but failed to implement the owners indicated that they would engines experienced derated severe inducement (5 mph speed probably purchase approximately 5,900 performance) for less than 0.02 percent limitation) in response to any of these SCR-equipped trucks in 2011. of the operating miles (i.e., conditions. Test Vehicle 3 incorporates None of the surveyed fleets reported approximately 520 miles). an engine no-restart severe inducement any problems locating DEF and none after a 500-mile to no-restart reported an engine derate, vehicle speed In addition, DEF quality was countdown. After the 500-mile limitation, or no-restart event caused by unacceptable (i.e., a faulted condition countdown reaches zero and a safe operation with an empty DEF tank. existed) for less than 0.18 percent of the harbor event (key-off) is experienced, Similarly, no fleet reported issues with operating miles (i.e., approximately the truck should not restart. The the quality of DEF. There were six 4,400 miles). inducement worked as expected in reported instances of an engine derate E. Navistar EnSIGHT Report response to DEF contamination and DEF resulting from circumstances other than In 2010, Navistar retained EnSIGHT, tampering conditions. In response to the an empty DEF tank. Two of these Inc. to test three 2010 model year SCR- DEF depletion condition, Test Vehicle 3 instances were caused by equipped trucks to analyze inducements started the 500-mile to no-restart malfunctioning sensors and four were provided for in EPA certification countdown as expected. However, after caused by melted DEF supply hoses. guidance.15 the countdown reached zero and the None of these instances were associated The following three trucks truck was shut off, the truck with the behavior of the operator. were tested: (1) One Freightliner successfully started the next day and Survey respondents also reported a total Cascadia with a 15-liter Detroit Diesel engine, (2) one Kenworth T–660 with a reset the countdown. On a subsequent of five instances of NO sensor X 15-liter Cummins ISX 15 435B engine, restart attempt after the countdown malfunctions, none of which were and (3) one Dodge Ram 5500 crew cab reached zero, the truck successfully related to driver tampering.13 ATA’s flatbed with a 6.7-liter Cummins ISB 6.7 implemented the no-restart condition. fleet survey indicates that drivers do not 305 engine. As part of testing, the three CARB contacted Cummins, the engine favor inducements involving an engine trucks were operated with the intent of manufacturer for Test Vehicles 2 and 3, power derate, especially if it occurs circumventing the manufacturer- about the failures. Cummins was aware while a truck under heavy load is designed inducements, which is in of and addressing the issues underlying driving up-hill. the failures. In the case of Test Vehicle contravention to EPA tampering 2, Cummins in the second quarter of D. Cummins Survey regulations.16 2010 had implemented a correction on In 2010, Cummins collected their engine production line and in the information from 47 different customer- 14 See docket number EPA–HQ–OAR–2010– third quarter of 2010 had begun a owned vehicles that were equipped 0444–0020. 15 voluntary recall of the engine family to with Cummins 11.9-liter and 15-liter See docket number EPA–HQ–OAR–2010– 11 0444–0015 for the August 2010 report. Navistar correct the problem. Similarly, in the provided EPA with supplemental details on the case of Test Vehicle 3, Cummins was 12 See docket number EPA–HQ–OAR–2010– August 2010 report in a follow-up October 2010 0444–0019. report. See docket number EPA–HQ–OAR–2010– 11 Voluntary recalls are a typical method for 13 When a manufacturer determines that an 0444–0022 for the October 2010 report. manufacturers to remedy emission-related problems emission-related defect exists in 25 or more engines 16 Section 203(a)(3) prohibits tampering with they discover. Manufacturers are required to report of the same class or category and model year, they emission controls. Such actions are illegal, unless voluntary emission recalls to EPA and ARB, and are required to file an Emission Defect Information conducted as part of a testing program covered by Cummins did so in this case. Report in accordance with 40 CFR 85.1901 et seq. an Agency-issued testing exemption.

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Based on their testing program, • Although the testing program was expansion of DEF infrastructure. The EnSIGHT reported the following: designed to intentionally operate the same locator service recently reported • All trucks physically could be trucks until final inducements were that more than 100 truck stops in the operated for extended periods under an encountered, EnSIGHT also provided an U.S. and Canada now have DEF initial inducement. Provided the driver assessment of the impact of initial available at the pump. Additionally, this took particular actions, final inducements on driver behavior. They service maintains a list of over 3,000 inducements could be avoided concluded that a 25 percent engine locations that have packaged DEF, and indefinitely. For example, the torque derate would not induce a a majority of the locations are in the Freightliner Cascadia was driven over corrective response by the drivers, U.S. As truck stops such as Travel 1,000 miles on an empty DEF tank at a including when the truck was fully Centers of America roll out on-island limited speed of 55 mph, which is the loaded. With this level of derate, DEF dispensers, they usually initial inducement. As long as no more EnSIGHT’s drivers were able to operate incorporate technology which allows for than 30 percent of the fuel tank capacity the Freightliner Cascadia and the single transaction fuel and DEF filling, (approximately 100 gallons) was added Kenworth T–660 at speeds up to 55 mph which makes buying DEF quicker, more at any single refueling event, the final and 65 mph, respectively. Of the efficient, and customer-friendly. On- inducement, a 5 mph vehicle speed Kenworth T–660, EnSIGHT’s drivers island DEF dispensing typically requires limitation was not triggered. The indicated that the truck could easily be truck stops to utilize a mini-bulk system Kenworth T–660 was driven with an operated and was acceptable for typical with at least 800-gallon above ground empty DEF tank and a 25 percent engine driving for long periods of time under storage tanks or even larger torque derate, which is the initial derate. underground storage tanks. The inducement. As long as the engine was F. DEF Infrastructure and DEF Quality transition to larger tanks supports bulk not shut off for more than a few minutes purchases as well as cheaper end-user at a time, the 5 mph vehicle speed The DEF infrastructure and sales prices for DEF. This information is limitation final inducement was not volume have continued to grow since consistent with the survey information triggered. introduction of 2010 model year trucks discussed above. • When DEF tanks were empty and equipped with SCR systems. Initially, water was added instead of DEF, two DEF availability was concentrated Regarding DEF quality, ISO 22241–1 trucks were able to run indefinitely. around major truck stops and truck sets forth generally accepted industry- When the Dodge 5500 was low on DEF routes and 2.5-gallon jugs represented wide quality specifications for DEF that and began its 500-mile to final the common mode of supply. Although were developed by vehicle inducement (i.e., no-restart condition) very limited, bulk DEF dispensing manufacturers and other affected countdown, the driver was able to fill typically utilized small storage tanks stakeholders. The American Petroleum the DEF tank with water, start the truck, located apart from the fuel islands at Institute (API) Diesel Exhaust Fluid and drive normally. This action cleared truck stops. The refilling of fuel and Certification Program (http:// the 500-mile countdown and the driver DEF tanks at truck stops was also more www.apidef.org) is a DEF quality display indicated a full DEF tank. On likely to require two separate purchase licensing program intended to ensure one test run, the truck displayed visual transactions. that DEF of known specifications and and audible warning signals after 73 The continually increasing DEF quality is available. We understand that miles of driving with water in the DEF infrastructure and sales volume have more than 20 of the largest producers of tank and eventually displayed the 500- resulted in improved DEF availability DEF are participating in the mile to no-restart countdown after 694 along major truck routes as well as other Certification Program and that the miles of driving. Upon shutting off the locations. ‘‘AdBlue and DEF Monitor,’’ a associated DEF Aftermarket Audit truck after a total of 1,278 miles of publication of Integer Research, reports Program has also begun. In 2010, API driving, a no-restart condition was that DEF is available for sale in jug form tested all licensed products and the vast encountered. On a subsequent test run in every state.17 Integer Research also majority of those products met the ISO with water in the DEF tank, the truck reports that DEF is available for delivery 22241–1 specifications. Where was driven over 4,000 miles and to fleet locations in every state, as well. deficiencies were found, API and DEF encountered no warning signals or To assist drivers in finding DEF, manufacturers are working to identify inducements. The Freightliner Cascadia multiple Internet-based DEF locator the cause and helping to ensure that was driven over 15,000 miles with only services have been developed. One of future batches conform to the ISO water in its DEF tank and triggered no these services, DiscoverDEF.com, run by specifications. Because of API’s Audit initial or final inducement. Integer Research, recently announced Program and its responsiveness to failed • SCR system components could be that DEF consumption in the U.S. test results, we believe good quality DEF repeatedly disconnected and reached 2.3 million gallons per month is broadly and generally available. API’s reconnected to avoid particular in December 2010 and that in August of Certification and Audit Programs were inducements. On the Dodge 5500, the the same year consumption volumes developed under the SCR Stakeholder driver was able to disconnect the increased 43% compared to the Group, an informal consortium of injector electrical connector, which previous month. Also, a number of vehicle/engine manufacturers, urea would initiate a 500-mile to final suppliers reported sales volumes manufacturers, DEF blenders and inducement (i.e., no-restart condition) doubling in September 2010 alone. distributors, and associated technology countdown. As the mileage countdown These increases in DEF consumption are companies. EPA has been an active continued, the driver could reconnect believed to correlate with the increased participant in the Stakeholder Group for the component and reset the 500-mile delivery and use of SCR-equipped several years. We also understand that countdown. On the Freightliner trucks. the Petroleum Equipment Institute, its Cascadia, when electrical connections to Increasing demand supported by sales members, and associated stakeholders the DEF injector, gauge, or tank pump volume helps drive the continuing have developed Recommended were unplugged, the truck was driven Practices for the Storage and Dispensing for over 1,000 miles prior to triggering 17 See docket number EPA–HQ–OAR–2010– of Diesel Exhaust Fluid (DEF), which an inducement. 0444–0021. will provide useful advice to any party

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who stores and dispenses DEF. Given CARB’s survey, there are currently few intentional actions would be considered that the vast majority of DEF production availability issues and those appear to tampering and are illegal.19 While it is is accounted for in API’s certification stem primarily from limited situations possible that drivers could intentionally program and that the follow-up audit where DEF was not found at the first take such actions to circumvent program is showing high rates of location at which it was sought. As DEF inducements, manner of truck operation conformance to the ISO specifications, infrastructure and supply continue to conducted in the Navistar study is we believe these programs will be expand, EPA also expects the price of clearly not representative of the vast adequate to ensure DEF quality. DEF to decrease, in part because of the majority of truck operation, as indicated move to bulk dispensing that is already by the CARB and ATA surveys. We do VI. Reasons for Revised Guidance underway. In addition, EPA expects that not think that the marginal cost and Considering the developments in the DEF quality assurance programs effort involved in purchasing DEF SCR-related technologies, DEF described above will make it provide sufficient motivation for a infrastructure, and the other available increasingly easy for drivers to find DEF driver to follow such inconvenient and information described above, we believe which meets the specifications risky courses of action. it is appropriate to further refine our necessary for proper operation of the We also do not agree with Navistar’s guidance to manufacturers regarding SCR systems. The strong indication view that initial inducements are certification of SCR-equipped engines to from all of this evidence is that DEF ineffective to produce corrective be compliant with applicable warning systems are working correctly, responses by drivers. ATA’s fleet survey regulations. As discussed in this section and that when warned, drivers have not indicates that drivers do not favor of the document, on-highway heavy- continued to drive distances long inducements involving an engine power duty diesel SCR systems introduced into enough to lead to inducements. derate, especially if it occurs while a commerce to date have been highly Inducements appear to be triggered in truck under heavy load is driving up- successful in inducing operators to refill very few cases. hill. Thus, drivers are likely to maintain DEF tanks on a timely basis and to avoid Navistar’s study and CARB’s field proper SCR operation to avoid interfering with SCR operation, with a evaluation provide some evidence encountering these inducements. few specific exceptions.18 At the same indicating that in some cases there have CARB’s investigation shows that most time, the Agency believes it is been issues related to SCR-equipped inducements functioned properly appropriate to refine its guidance, engines and assurance of their proper during expected truck operating particularly as experience is gained with operation. Navistar’s study identifies conditions and their assessment of the SCR in-use and as technology advances. specific problems associated with the effectiveness of initial inducements was We seek comment on the draft guidance design or manufacture of certain SCR- contrary to Navistar’s findings. CARB and interpretations presented here and equipped engines, and outlines the determined that the inducements were plan to incorporate what more we learn intentional actions taken by drivers effective because operating in a way that in the next version of the guidance to be employed by Navistar’s contractor in avoids the inducement strategies and issued later this year. conducting the study. The study’s raise the risk of costly repairs would not findings are properly considered in the be worth the downtime and potential A. Current SCR Systems Are Highly context of all the available information financial loss to business. In fact, Effective in Use on SCR operation. In light of the Cummins’ survey, which included some As trucks equipped with SCR systems investigations and surveys conducted by of the same 15-liter engines in Navistar’s have been introduced into U.S. CARB, ATA, and Cummins, EPA does study, found that surveyed trucks commerce, drivers have become familiar not believe Navistar’s findings reflect operated with DEF in their tanks for with this technology. Current the overall efficacy of SCR systems on greater than 99.9 percent of their total information concerning in use operation heavy-duty diesel engines currently in operation. Cummins’ survey also found of SCR-equipped trucks, including all of operation or the way they are actually that trucks operated with unacceptable the studies and other information used. DEF quality for less than 0.18 percent of discussed above, indicates that warning Most of Navistar’s findings resulted their total operation. This strongly signals work correctly and that drivers from actions by the contractor’s drivers indicates that the inducements have the do not wait for SCR-related to intentionally circumvent the intended effect of motivating inducements to be triggered to ensure manufacturer-designed inducements of appropriate driver behavior. appropriate and continuing operation of the three test vehicles. For example, The report of Navistar’s study found the systems. Specifically, the drivers avoided triggering inducements that some manufacturers’ designs did associated with an empty DEF tank by overwhelming majority of drivers not adequately detect water in the urea limiting refueling quantities or keeping surveyed by CARB, ATA, and Cummins tank and thus did not prevent the driver the truck running when it normally did not wait for activation of warning from refilling the tank with something would be turned off. Both ways of indicators prior to refilling their DEF other than DEF. Navistar and CARB circumventing the inducements exact tanks and, where warnings did occur, findings on DEF quality detection were their own costs on drivers in terms of generally did not drive distances long not consistent in all cases. For example, time, convenience, and expense. To enough to lead to activation of Navistar found that initial and final illustrate, never refilling above about inducements. Further, as the inducements for the Freightliner 30% of the tank leads to approximately infrastructure for making DEF available Cascadia equipped with the 12.8-liter three times as many refueling events, Detroit Diesel DD13 engine were not becomes even more widespread, drivers and the time and expense associated will have increased and more triggered when the DEF tank was filled with this kind of disruption detract from with water. During CARB’s field convenient access to DEF when they the efficient operation of truck need it. As documented in part by investigation, both the initial and final operators, who work in a competitive inducements were implemented for Test business. Navistar’s contract drivers also 18 It is worth noting again in this context that under Section 203(a)(3) of the Clean Air Act, disconnected and reconnected various 19 Such actions are illegal, unless conducted as tampering with SCR systems or other emission SCR system components as a means of part of a testing program covered by an Agency- controls is prohibited. avoiding DEF inducements. Such issued testing exemption.

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Vehicle 1 as expected when the DEF more robust sensors and inducements vehicle production designs, tank was filled with water. CARB’s does not negate past approaches manufacturers have often incorporated investigation discovered various implemented pursuant to existing the design elements of vehicles sold in production defects for Test Vehicles 2 regulations. Rather, continual California into their 49-state vehicles. and 3 that prevented the systems from improvement is expected given the Improving sensor capabilities and working fully (as designed, the systems mounting experience with, and the inducement strategies should present appeared to have sufficient capabilities maturing of, SCR technology, and the low risk and little burden for both to detect and respond to DEF quality greater availability of DEF. As improved manufacturers and drivers. problems). CARB followed up with strategies and capabilities for proper Manufacturers are already in the process Cummins and learned that the SCR operation become feasible, EPA of improving their SCR designs, and manufacturer was aware of the may guide their application to provide overwhelmingly drivers are not waiting performance problems and addressing even further assurance that the for SCR-related warnings or them in a manner consistent with technology is operating as intended on inducements to be triggered before they regulatory provisions governing defect SCR-equipped engines. refill DEF tanks and otherwise maintain reporting and repair.20 The defect proper operation of SCR systems. Given C. As SCR Technology Matures, Further reports submitted by Cummins the importance of reducing NOX Guidance Is Appropriate corroborated that the manufacturer was emissions from heavy-duty diesel appropriately responding to the Several developments in SCR engines for attaining and maintaining problems. Additionally, Detroit Diesel technology allow continuing refinement national air quality standards, we have informed EPA that they knew of in SCR design. One area of potential developed the following draft revised problems with their system and had improvement in design involves sensors guidance to reflect improving developed an updated software that can detect poor quality DEF. capabilities for designing SCR systems calibration to fix them as early as June Current SCR system designs incorporate to ensure proper operation. 2010, prior to Navistar reporting the NOX sensors to determine catalyst efficiency and detect catalyst VII. SCR Adjustable Parameter Design results of their study. Detroit Diesel has Criteria since begun addressing the problems on malfunction. Since the sensors are part in use trucks consistent with regulatory of the system design, they have also This section discusses design criteria provisions governing defect reporting been used to detect poor quality DEF for on-highway heavy-duty diesel and repair. As noted above, the through correlation of NOX emission vehicles or engines using SCR problems with detecting water in the rates with various concentrations of technology. EPA believes that vehicles urea tank appear to be related to defects urea. Urea quality sensors have been and engines that meet these design in production of these engines, as identified as a means to help improve criteria would meet the requirements of opposed to deficient designs. These detection capabilities for poor quality the regulations regarding adjustable production defects are being addressed urea. They directly measure quality and parameters. EPA will still review each in the same manner that problems with appear likely to represent a quick certification application to ensure that new technology are addressed under detection method for addressing quality the regulatory provisions are met. EPA’s regulations. concerns. Manufacturers are currently Likewise, in the case of design criteria evaluating the performance and that are not fully specified in this B. Regulations Should Be Applied in durability of various sensor designs. guidance, EPA will review the Light of Continuing Information and Since the 2010 model year, application to ensure that the engine Process Improvements manufacturers have also been refining design meets the regulatory EPA’s regulatory provisions for their engine/vehicle system diagnostics requirements. EPA may review and adjustable parameters are intended to software to incorporate additional revise this guidance as the technology ensure that manufacturers design their capabilities for implementing SCR- continues to mature and as EPA receives emissions control system in a way that related inducements. For example, more information regarding the use of makes it unlikely that they will be many manufacturers today have SCR systems. In addition, manufacturers operated inappropriately. It appears that developed multiple triggers for may present other designs for EPA manufacturer’s past SCR designs and triggering inducements, including consideration. All designs will remain EPA’s guidance have resulted in highly detection of refueling, extended idling, subject to EPA approval under the effective controls to protect the and engine shutdown events. existing certification regulations. operation of SCR systems, as evidenced Incorporation of additional inducement As noted above, in determining the by the surveys and other data which triggers into designs further decreases adequacy of an engine’s means of show that drivers are properly operating the likelihood of improper operation of inhibiting adjustment of a parameter, their SCR-equipped trucks. There have the SCR system. Manufacturers are also EPA considers the likelihood that been indications of specific problems improving their diagnostics software to settings other than the manufacturer’s with some engines in-use, and the ensure that SCR-related inducements recommended setting will occur in use. manufactures involved have been cannot be reset or erased by diagnostic With this in mind, EPA is providing addressing them through production scan tools available to the general public these draft SCR adjustable parameter and other improvements as the or by disconnecting components in the design criteria based on our view that an problems are identified. We believe it is field. SCR-equipped vehicle that complies appropriate to evaluate the experience Many manufacturers are with these criteria will be adequately gained to date and to make continuing, implementing improved designs in their inhibited from use when the SCR appropriate adjustments to our 2011 model year engines/trucks that system is not operating properly. certification process for SCR-equipped may be sold in the State of California. EPA is asking for comments on the engines as technology evolves and in- After the July 2010 public workshop, draft guidance discussed below. The use experience is gained. EPA CARB and EPA began encouraging design criteria are divided into four recognizes that development of even manufacturers to adopt the elements of categories. The categories are: design that were discussed. In order to A. Reductant tank level driver 20 See 40 CFR Part 85, Subpart T. avoid the need for multiple engine/ warning system.

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B. Reductant tank level driver dashboard or in a vehicle message If a manufacturer chooses to inducement. center. The warning light or message implement final inducement only when C. Identification and correction of does not initially have to be the vehicle is stopped, we believe the incorrect reducing agent. continuously activated, but as the engine will need to be designed with the D. Tamper resistant design. reducing agent level approaches empty following additional characteristics: A. Reductant Tank Level Warning the illumination of the light or message a. Be able to trigger final inducement System would escalate, culminating with the when the vehicle is stopped at a safe light being continuously illuminated or location. The final inducement will The emissions performance of SCR- the message continuously broadcast in consist of limiting the vehicle speed to equipped vehicles depends on having the message center. Many current 5 mph, shutting the engine down, or an adequate supply of appropriate designs have been found acceptable and limiting engine operation to idle only. quality reducing agent in the system. EPA does not anticipate requiring b. Prior to triggering final inducement, SCR systems require regular user changes in the foreseeable future. be able to impose a severe inducement interaction to ensure that the system is Unique SCR system warning lights and which makes prolonged operation of the operating properly. Therefore, it is message designs that deviate from vehicle unacceptable to the driver and critical that the operator both know previously approved designs or the compels the driver to replenish the when reducing agent is needed and design criteria outlined above would reducing agent prior to the SCR system have enough time to replace it before it need to be approved by EPA. becoming incapable of proper dosing. runs out. A properly designed driver Manufacturers may also incorporate The severe inducement will consist of warning system should address these an audible component of the low DEF an engine derate, a vehicle speed concerns. warning system. As the reducing agent limitation, or a limitation on the number To achieve this design goal, under our level approaches empty the audible of engine restarts. For example, an criteria, the manufacturers would use a warning system should escalate. engine torque derate of 40 percent may warning system including the following be utilized as a severe inducement for features: B. Low Reductant Level Inducement the operator of a Class 8 line-haul truck 1. The warning system should The warning systems discussed above to replenish the reducing agent. The incorporate visual and possibly audible can play a critical role in achieving severe inducement should occur while alarms informing the vehicle operator vehicle compliance. As noted, a well there is enough reductant in the tank to that reductant level is low and must designed warning system should deter continue to provide proper SCR dosing soon be replenished. The manufacturer drivers from operating SCR-equipped for approximately one full day of should design the warning system to vehicles without reducing agent. vehicle operation. For example, it may activate well in advance of the reducing However, we believe an additional, be appropriate to initiate severe agent running out so that the operator is stronger deterrent is necessary and inducement with a 10 percent reserve of expected to have one or more refueling appropriate. Therefore, at some point reducing agent in the reductant tank. opportunities to refill the reductant tank after the operator receives the initial c. Be able to determine when the before it is empty. signal warning that reductant level is vehicle has arrived at a safe location for 2. The warning alarm(s) should low, it is important that the engine the purpose of imposing a final escalate in intensity as the reducing design incorporates measures to induce inducement. Such a determination will agent level approaches empty, users to replenish the reducing agent. be based upon the vehicle experiencing culminating in driver notification that is Under these design criteria, the next key-off, refueling, or 60-minute difficult to ignore, and cannot be turned manufacturers would design their idling event after imposing severe off without replenishment of the engines with a final inducement system inducement. During the course of one reducing agent. that accomplishes the following when day of vehicle operation, EPA believes 3. To provide adequate notice, the the reductant tank is empty or the SCR it sufficiently likely an operator will visual alarm should, at a minimum, system is incapable of proper dosing: encounter one of the three events consist of a DEF level indicator, a 1. Maximum vehicle speed is triggering final inducement. In the unique light, reducing agent indicator decreased at the quickest safe rate to 5 unlikely scenario that one of the three symbol or message indicating low miles per hour while the vehicle is events is not encountered, the severe reducing agent level. The warning light, operating; or inducement should still provide symbol or message should be different 2. The maximum engine fueling and sufficient incentive for the operator to from the ‘‘check engine’’ or ‘‘service engine speed are decreased at the refill the reductant tank. engine soon’’ lights used by the On quickest safe rate while the vehicle is The above final and severe Board Diagnostic (OBD) system or other operating, resulting in engine shutdown inducements are not meant to limit the indicators that maintenance is required. or limiting operation capability to idle use of other inducements prior to severe The symbol or message used as the only. or final inducement. EPA encourages warning indicator should unmistakably Some manufacturers prefer to trigger the use of additional inducements indicate to the vehicle operator that the the above final inducement only when which would serve to minimize the reducing agent level is low. The the vehicle has stopped at a safe amount of time either severe or final reducing agent indicator symbol shown location. Under this approach, a vehicle inducements are encountered. below has been generally accepted in may be assumed to be in a safe location When developing inducement the industry and EPA considers it if the engine is purposefully shut off strategies for review by EPA at the time acceptable as an indicator of low (key turned to the off position), has of certification, manufacturers should be reducing agent level. experienced an extended idle of 60 prepared to detail the type and level of minutes (as indicated by zero vehicle inducements chosen and demonstrate speed for 60 minutes), or a refueling how they will sufficiently compel event has occurred (meaning a volume drivers to maintain appropriate of fuel has been added equal to or reductant levels and ensure vehicle 4. The light, indicator symbol or greater than 15 percent of vehicle operation is limited only to periods message should be located on the operating fuel capacity). when proper SCR dosing is occurring.

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EPA believes that an engine that is we believe urea quality sensors will allow the operator sufficient time to designed with warning and inducement soon be the best reasonable technology reach a service facility to remedy the strategies consistent with those above to help manufacturers meet the problem. will be highly unlikely to be driven with adjustable parameter requirement. Urea 4. If poor quality reductant is detected an empty reductant tank, and therefore quality sensors will also permit the again within 40 hours after putting that such an engine would be emission control system to adjust DEF proper reducing agent in the tank, then adequately protected from operation dosing based on the detected quality of the operator should be immediately with an empty tank. the DEF and, in conjunction with the notified and the poor quality final inducement strategies, help ensure that inducement or the alternate severe C. Identification and Correction of only compliant DEF is used. We expect inducement approach should begin Incorrect Reducing Agent urea quality sensors to be available for immediately. We believe continuing to Assuring that an SCR-equipped use in 2013 model year vehicles. monitor for repeat instances of poor engine is unlikely to be operated Under these design criteria, the quality reductant for 40 hours is likely without proper reducing agent calls for engine design would have the following to capture the vast majority of operators an SCR system design that is able to features to identify and respond intentionally trying to circumvent SCR detect incorrect or poor quality reducing appropriately to poor quality reducing controls. agent. As noted above in the context of agent or incorrect fluid: EPA believes design requirements that maintaining an adequate level of 1. Given the current technology, we alert the operator to inadequate reducing agent, the emissions believe manufacturers should be reducing agent and that institute performance of SCR-equipped vehicles capable of detecting poor reductant inducements to assure correction of is dependent on having reducing agent quality within one hour. As improved reducing agent quality are needed in in the system and the reducing agent technology becomes available, such as order to ensure that the ‘‘adjustable must be of the proper quality. Therefore, urea quality sensors, manufactures parameter’’ of reductant quality is the system must be able to identify and should decrease the likelihood, and sufficiently limited. EPA believes that appropriately respond to poor reductant increase the performance consequences the warnings and inducements quality such as filling the reductant of operation with poor quality reductant associated with poor quality reducing storage tank with a fluid other than the by incorporating the technology which agent discussed above are burdensome manufacturer-specified reducing agent, best and most promptly detects poor enough that they ensure that or with excessively diluted reducing reductant quality. introduction of poor quality reductant agent. An example would be filling the 2. Immediately upon detection, the would not occur often or purposely and tank with water rather than DEF, when operator should be notified of the that in the unlikely event it occurs, DEF is the specified reducing agent. problem with warnings similar to those proper actions will be taken within Current urea-based SCR technology discussed above for inadequate reasonable time limits to adequately uses a robust NOX sensor system to reductant level. EPA expects the minimize the operation of the vehicle/ detect poor quality reductant. High NOX warning light or message addressing engine with poor quality reductant and emissions can be correlated to poor incorrect reducing agent would quickly associated excess emissions. We also reductant quality and NOX sensors are increase in intensity to be continuously believe the 4 hours until severe or final already part of the SCR system. Urea activated. inducement is currently needed to allow quality sensors directly measure DEF 3. Given the current state of the operator to locate and drive to a quality and appear likely to represent a technology, the engine design should service facility capable of draining and quick detection method for addressing implement final inducement while the refilling the tank. quality concerns in the future. vehicle is operating and within 4 hours EPA believes that an engine that is Manufacturers are currently evaluating of detection. Alternately, if a designed with the warning and the performance and durability of manufacturer chooses to implement inducement strategies discussed above various sensor designs. final inducement when the vehicle is will be highly unlikely to be driven with NOX sensor systems will take stopped at a safe location, the engine inadequate reductant for any significant somewhat longer to detect poor quality design should implement severe period, and therefore that such an reducing agent compared to urea quality inducement and search for final engine would be adequately protected sensors. Under ideal conditions, NOX inducement triggers within 4 hours of from operation with inadequate sensors can detect poor quality in 20 detection. For this alternate approach, reductant. minutes, but may take as long as one some lesser inducement should precede hour to detect poor quality reductant. severe inducement at 2 hours after D. Tamper Resistant Design An advantage of urea quality sensors is detection. While we believe it is SCR systems should be designed to be that, once fully developed, they will appropriate that the vehicle respond in tamper resistant to reduce the likelihood provide operator notification of poor a similar manner when poor quality that the SCR system will be quality while the vehicle is still at a reducing agent is detected as when the circumvented or that the operating filling location. vehicle runs low on reducing agent, we parameters of the system will be Because NOX sensors do not directly believe the inducement should not purposefully or inadvertently altered. measure DEF quality, they do not detect begin immediately. It is currently Manufacturers should be careful to variations in DEF quality as small as possible for a driver to receive poor review any element of design that those detected by urea quality sensors. quality reductant unknowingly and for would prevent the proper operation of However, NOX sensors adequately a driver to need a certain amount of the SCR system to make tampering with detect water which is the most likely time after being alerted to the problem that element of design impossible or substitute for DEF. Therefore, NOX to have it remedied. Therefore, we think highly unlikely. Manufacturers will sensors are likely able to detect and it currently appropriate to allow no have to demonstrate to EPA that their prevent the majority of serious quality more than 4 hours of operation SCR system design is tamper resistant. problems. Because of the ability of urea following detection before imposing 40 CFR 86.094–22(e) contains quality sensors to detect smaller severe or final inducement. The 4 hours provisions regarding actions and criteria concentration deviations in urea quality, until severe or final inducement will to ensure that elements of design related

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to the adjustable parameters of DEF final inducement, or the alternate severe these elevations, once finalized, will be level and quality are adequately inducement approach, should begin used by insurance agents and others to inaccessible, sealed, physically limited immediately. We believe continuing to calculate appropriate flood insurance or stopped, or otherwise inhibited from monitor for repeat instances of premium rates for new buildings and adjustment. tampering for 40 hours is likely to the contents in those buildings. 1. At a minimum, the following capture the vast majority of operators DATES: Comments are to be submitted actions, if done intentionally, would be intentionally trying to circumvent SCR on or before September 6, 2011. considered tampering and controls. ADDRESSES: The corresponding manufacturers should design their SCR EPA believes that an engine that is preliminary Flood Insurance Rate Map systems to ensure that restraints on such designed with the warning and (FIRM) for the proposed BFEs for each actions, whether purposeful or not, are inducement strategies discussed above community is available for inspection at adequate and such results are unlikely: will be highly unlikely to be driven for the community’s map repository. The a. Disconnected reductant level sensor any significant period under the respective addresses are listed in the b. Blocked reductant line or dosing aforementioned conditions, and that table below. valve such an engine would be adequately You may submit comments, identified c. Disconnected reductant dosing valve protected from operation under such by Docket No. FEMA–B–1194, to Luis d. Disconnected reductant pump circumstances. Rodriguez, Chief, Engineering e. Disconnected SCR wiring harness VIII. Conclusion Management Branch, Federal Insurance f. Disconnected NOX sensor (that is and Mitigation Administration, Federal incorporated with the SCR system) EPA is releasing this draft document Emergency Management Agency, 500 C g. Disconnected reductant quality sensor for comments. We will continue to work Street, SW., Washington, DC 20472, h. Disconnected exhaust temperature with manufacturers, other stakeholders, (202) 646–4064, or (e-mail) sensor and the public regarding issues related [email protected]. i. Disconnected reductant temperature to its existing regulatory requirements sensor and SCR technology. FOR FURTHER INFORMATION CONTACT: Luis Rodriguez, Chief, Engineering Dated: May 27, 2011. 2. EPA believes that the warnings and Management Branch, Federal Insurance inducements described above for Margo Tsirigotis Oge, and Mitigation Administration, Federal incorrect reducing agent would also be Director, Office of Transportation and Air Emergency Management Agency, 500 C adequate under 40 CFR § 86.094–22(e) Quality, Office of Air and Radiation. Street, SW., Washington, DC 20472, to prevent tampering or accidental [FR Doc. 2011–13851 Filed 6–6–11; 8:45 am] (202) 646–4064, or (e-mail) actions causing the above results. The BILLING CODE 6560–50–P [email protected]. engine should be able to detect tampering as soon as possible, but no SUPPLEMENTARY INFORMATION: The longer than one hour after a tampering DEPARTMENT OF HOMELAND Federal Emergency Management Agency event. SECURITY (FEMA) proposes to make 3. Immediately upon detection, the determinations of BFEs and modified operator should be notified of the Federal Emergency Management BFEs for each community listed below, problem. Agency in accordance with section 110 of the 4. We believe the inducement should Flood Disaster Protection Act of 1973, not begin immediately. It is possible 44 CFR Part 67 42 U.S.C. 4104, and 44 CFR 67.4(a). that a part failure that occurs in the These proposed BFEs and modified course of normal operation will be [Docket ID FEMA–2011–0002; Internal BFEs, together with the floodplain recognized as a result of these Agency Docket No. FEMA–B–1194] management criteria required by 44 CFR diagnostics. An operator should not Proposed Flood Elevation 60.3, are the minimum that are required. immediately receive inducement for an Determinations They should not be construed to mean event which may not have been caused that the community must change any by tampering. Therefore, we think it AGENCY: Federal Emergency existing ordinances that are more appropriate to allow 4 hours of Management Agency, DHS. stringent in their floodplain operation following detection before ACTION: Proposed rule. management requirements. The implementing final inducement while community may at any time enact the vehicle is in operation. Alternately, SUMMARY: Comments are requested on stricter requirements of its own or if a manufacturer chooses to implement the proposed Base (1% annual-chance) pursuant to policies established by other final inducement when the vehicle is Flood Elevations (BFEs) and proposed Federal, State, or regional entities. stopped at a safe location, the engine BFE modifications for the communities These proposed elevations are used to design should implement severe listed in the table below. The purpose meet the floodplain management inducement and search for final of this proposed rule is to seek general requirements of the NFIP and also are inducement triggers within 4 hours of information and comment regarding the used to calculate the appropriate flood detection. For this alternate approach, proposed regulatory flood elevations for insurance premium rates for new some lesser inducement should precede the reach described by the downstream buildings built after these elevations are severe inducement at 2 hours after and upstream locations in the table made final, and for the contents in those detection. The 4 hours until severe or below. The BFEs and modified BFEs are buildings. final inducement will allow the operator a part of the floodplain management Comments on any aspect of the Flood sufficient time to reach a service facility measures that the community is Insurance Study and FIRM, other than to remedy the problem. required either to adopt or to show the proposed BFEs, will be considered. 5. If tampering of the same component evidence of having in effect in order to A letter acknowledging receipt of any is detected again within 40 hours after qualify or remain qualified for comments will not be sent. repair, then the operator should be participation in the National Flood National Environmental Policy Act. immediately notified and the tampering Insurance Program (NFIP). In addition, This proposed rule is categorically

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excluded from the requirements of 44 Executive Order 13132, Federalism. PART 67—[AMENDED] CFR part 10, Environmental This proposed rule involves no policies Consideration. An environmental that have federalism implications under 1. The authority citation for part 67 impact assessment has not been Executive Order 13132. continues to read as follows: prepared. Executive Order 12988, Civil Justice Regulatory Flexibility Act. As flood Reform. This proposed rule meets the Authority: 42 U.S.C. 4001 et seq.; elevation determinations are not within applicable standards of Executive Order Reorganization Plan No. 3 of 1978, 3 CFR, 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, the scope of the Regulatory Flexibility 12988. 3 CFR, 1979 Comp., p. 376. Act, 5 U.S.C. 601–612, a regulatory List of Subjects in 44 CFR Part 67 flexibility analysis is not required. § 67.4 [Amended] Executive Order 12866, Regulatory Administrative practice and Planning and Review. This proposed procedure, Flood insurance, Reporting 2. The tables published under the rule is not a significant regulatory action and recordkeeping requirements. authority of § 67.4 are proposed to be under the criteria of section 3(f) of Accordingly, 44 CFR part 67 is amended as follows: Executive Order 12866, as amended. proposed to be amended as follows:

* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above ground Flooding source(s) Location of referenced elevation** ∧ Elevation in meters Communities affected (MSL) Effective Modified

Fremont County, Colorado, and Incorporated Areas

Abbey Drainageway ...... Approximately 0.48 mile upstream of the Arkansas None +5,274 City of Canon City, Unin- River confluence. corporated Areas of Fre- mont County. Approximately 1,400 feet upstream of Central Avenue None +5,396 Fourmile Creek ...... Approximately 1,280 feet upstream of the Arkansas None +5,257 City of Canon City, Unin- River confluence. corporated Areas of Fre- mont County. Approximately 1.39 miles upstream of U.S. Route 50 None +5,361 Mudd Gulch ...... Approximately 1,200 feet upstream of the Arkansas None +5,239 City of Canon City, Unin- River confluence. corporated Areas of Fre- mont County. Approximately 0.64 mile upstream of Fourmile Park- None +5,514 way. Mudd Gulch Split Flow ...... At the upstream side of the railroad ...... None +5,235 Unincorpor- ated Areas of Fremont County. Approximately 0.67 mile upstream of the Arkansas None +5,250 River confluence.

* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ∧ Mean Sea Level, rounded to the nearest 0.1 meter. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the referenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to Luis Rodriguez, Chief, Engineering Management Branch, Federal Insurance and Mitigation Administration, Federal Emer- gency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Canon City Maps are available for inspection at City Hall, 128 Main Street, Canon City, CO 81212. Unincorporated Areas of Fremont County Maps are available for inspection at the Fremont County Courthouse, 615 Macon Avenue, Canon City, CO 81212. Dallas County, Texas, and Incorporated Areas

Bachman Branch ...... Approximately 0.31 mile upstream of the Browning +505 +501 City of Dallas. Branch confluence. At the upstream side of Willow Lane ...... +590 +593 Bear Creek ...... At the upstream side of Belt Line Road ...... +447 +446 City of Grand Prairie, City of Irving. Approximately 0.25 mile upstream of County Line +481 +479 Road. Beckley Club Branch ...... Approximately 700 feet upstream of Elmore Avenue .. +472 +469 City of Dallas. Approximately 275 feet downstream of Appian Way ... +554 +557 Bennett Branch ...... Approximately 650 feet downstream of Beltline Road +434 +433 City of Mesquite. Approximately 0.28 mile upstream of Plaza Drive ...... +472 +470 Bentle Branch Creek...... Approximately 500 feet upstream of the Tenmile +632 +631 City of Cedar Hill. Creek confluence.

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Approximately 190 feet upstream of County Highway +752 +754 1382. Browning Branch ...... Approximately 750 feet downstream of Lake Hill Drive +512 +508 City of Dallas. Approximately 150 feet upstream of Hollow Way +548 +547 Road. Cedar Creek ...... At the upstream side of Ewing Avenue ...... +446 +447 City of Dallas. At the upstream side of Montclair Avenue ...... +542 +540 Chalk Hill Branch ...... At the upstream side of Davis Street ...... +517 +518 City of Cockrell Hill, City of Dallas. At the upstream side of Clarendon Drive ...... None +615 Coombs Creek ...... At the upstream side of Davis Road ...... +520 +527 City of Dallas. Approximately 650 feet upstream of Clarendon Drive +597 +601 Cottonwood Creek (of Lake Approximately 0.32 mile downstream of Stonewall +445 +447 City of Dallas, City of Gar- Ray Hubbard). Road. land, City of Rowlett, Unincorporated Areas of Dallas County. Approximately 400 feet upstream of Highridge Drive .. +485 +486 Cottonwood Creek (of White Approximately 1,200 feet upstream of the White Rock +503 +505 City of Dallas, City of Rich- Rock Creek). Creek confluence. ardson. Approximately 0.40 mile upstream of Campbell Road +667 +666 Elmwood Branch ...... Approximately 800 feet upstream of Clarendon Drive +500 +501 City of Dallas. At the upstream side of Wright Street ...... +595 +593 Estes Branch ...... Approximately 350 feet downstream of Saint Augus- +475 +476 City of Dallas. tine Drive. At the downstream side of Saint Augustine Drive ...... +475 +478 Floyd Branch (of White Rock Approximately 1,300 feet upstream of the Cottonwood +511 +510 City of Dallas, City of Rich- Creek). Creek confluence. ardson. At the downstream side of Polk Street ...... +622 +620 Furneaux Creek ...... At the upstream side of President George Bush Turn- +453 +450 City of Carrollton. pike. Approximately 0.41 mile upstream of Dickerson Park- +459 +460 way. Hatfield Branch ...... At the upstream side of Prairie Creek Road ...... +404 +402 City of Dallas. Approximately 0.7 mile upstream of North Masters +477 +478 Drive. Hickory Creek ...... At the downstream side of Kelberg Road ...... +404 +401 City of Dallas. Approximately 700 feet upstream of C.F. Hawn Free- +429 +430 way. Hollings Branch ...... Approximately 0.50 mile upstream of the North Hol- None +538 City of Cedar Hill, City of lings Branch confluence. Grand Prairie. Approximately 0.3 mile upstream of Ellis Road ...... None +638 Hunt Branch ...... Approximately 900 feet upstream of the Cottonwood +557 +559 City of Dallas, City of Rich- Creek (of White Rock Creek) confluence. ardson. At the downstream side of Belt Line Road ...... +616 +613 Hutton Branch ...... At the upstream side of Belt Line Road ...... +442 +443 City of Carrollton. Approximately 135 feet upstream of Midway Road ..... None +605 Lake June Branch ...... Approximately 650 feet upstream of the Prairie Creek +461 +463 City of Dallas. confluence. At the downstream side of Oak Gate Lane ...... +489 +491 Long Branch (of Duck Creek) At the upstream side of the Long Branch (of Duck +498 +490 City of Mesquite. Bypass. Creek) confluence. Approximately 460 feet upstream of the Long Branch +500 +493 (of Duck Creek) confluence. Long Branch (of Duck Creek) Approximately 0.38 mile downstream of Northwest +466 +468 City of Dallas, City of Mes- Drive. quite. Approximately 200 feet downstream of I–635 ...... +555 +553 Meadowdale Branch ...... Approximately 950 feet downstream of Rowlett Road None +468 City of Garland. Approximately 150 feet downstream of Rowlett Road None +468 North Mesquite Creek ...... Approximately 0.61 mile downstream of Lawson Road +381 +379 City of Mesquite, Town of Sunnyvale, Unincor- porated Areas of Dallas County. Approximately 205 feet downstream of Via Del Norte +507 +505 Road. North Mesquite Creek Spill ... At the upstream side of the North Mesquite Creek None +481 City of Mesquite. confluence. At the downstream side of Tripp Road ...... None +488

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Pleasant Branch...... Approximately 1,000 feet upstream of the Prairie +467 +466 City of Dallas. Creek confluence. At the downstream side of Bruton Road ...... +497 +498 Prairie Creek ...... At the downstream side of I–20 ...... +398 +397 City of Dallas. At the downstream side of Union Pacific Railroad ...... +523 +524 Pruitt Branch ...... Approximately 1,450 feet upstream of the Prairie +412 +414 City of Dallas. Creek confluence. At the downstream side of C.F. Hawn Freeway ...... +434 +435 Richardson Branch ...... Approximately 0.3 mile downstream of Green Oaks +506 +507 City of Dallas. Circle. At the downstream side of Forest Lane ...... +586 +588 Rugged Branch ...... At the downstream side of Elmwood Boulevard ...... +550 +549 City of Dallas. Approximately 60 feet upstream of Berkley Avenue .... +564 +565 Rylie Branch...... Approximately 0.38 mile upstream of the Hatfield +407 +409 City of Dallas. Branch confluence. Approximately 550 feet downstream of Grady Lane ... None +456 South Branch of Cedar Approximately 100 feet downstream of I–35 East ...... +477 +474 City of Dallas. Creek. At the upstream side of Ohio Avenue ...... +525 +528 South Branch of Cedar At the upstream side of the South Branch of Cedar +500 +496 City of Dallas. Creek Tributary 1. Creek confluence. At the downstream side of Louisiana Avenue ...... +507 +506 South Mesquite Creek ...... Approximately 0.61 mile downstream of Lawson Road +385 +383 City of Balch Springs, City of Mesquite. Approximately 420 feet upstream of Tam O’Shanter +548 +545 Drive. Stream 2A4 ...... Approximately 850 feet upstream of Dalrock Road ..... +454 +453 City of Dallas, City of Rowlett. Approximately 660 feet upstream of Oak Hollow Drive +480 +477 Stream 2A5...... Approximately 100 feet downstream of Spinnaker +459 +461 City of Dallas, City of Cove. Rowlett. At the upstream side of Dalrock Road ...... +468 +467 Stream 2B1 ...... At the downstream side of Belt Line Road ...... +428 +429 City of Balch Springs, City of Mesquite. Approximately 500 feet downstream of Eastgate Drive +458 +460 Stream 2B2 ...... At the upstream side of the Stream 2B3 confluence ... +448 +443 City of Balch Springs, City of Mesquite. Approximately 0.25 mile upstream of I–635 ...... +452 +453 Stream 2B3 ...... Approximately 425 feet upstream of the Stream 2B2 +448 +446 City of Mesquite. confluence. Approximately 500 feet upstream of the Stream 2B2 +450 +449 confluence. Stream 2B4 ...... Approximately 0.26 mile downstream of State High- +445 +449 City of Mesquite. way 352. Approximately 100 feet upstream of Kearney Street ... +475 +476 Stream 2B5 ...... Approximately 500 feet upstream of I–635 ...... +451 +452 City of Mesquite. Approximately 0.22 mile downstream of Town East +485 +482 Boulevard. Stream 2B6 ...... Approximately 400 feet upstream of the South Mes- +472 +473 City of Mesquite. quite Creek confluence. At the downstream side of Baker Drive ...... +501 +502 Stream 2B7 ...... Approximately 1,000 feet downstream of Tedlow Trail +494 +491 City of Mesquite. Approximately 900 feet upstream of I–30 ...... +523 +521 Stream 2B8 ...... Approximately 700 feet upstream of the South Mes- +465 +464 City of Mesquite. quite Creek confluence. Approximately 200 feet downstream of U.S. Route 80 +495 +493 Stream 2E1 ...... At the upstream side of Kyle Road ...... +475 +477 City of Rowlett. Approximately 0.39 mile upstream of the Long Branch None +486 (of Lake Ray Hubbard) confluence. Stream 2E10 ...... At the upstream side of Chiesa Road ...... +444 +449 City of Rowlett. Approximately 0.68 mile upstream of Chiesa Road .... None +470 Stream 2E2 ...... Approximately 0.49 mile downstream of Liberty Grove +438 +439 City of Rowlett. Road. Approximately 1.09 miles upstream of Liberty Grove +488 +491 Road. Stream 2E2 Tributary 1 ...... At the upstream side of the Stream 2E2 confluence ... None +466 City of Rowlett. At the downstream side of Big Cemetery Road ...... None +475

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Stream 2E8...... Approximately 0.32 mile upstream of the Muddy +473 +471 City of Garland, City of Creek confluence. Rowlett, City of Sachse. Approximately 200 feet upstream of Merritt Road ...... +498 +499 Stream 2J2 ...... At the upstream side of Brookhaven Drive ...... +493 +494 City of Mesquite. Approximately 600 feet downstream of American +506 +503 Lane. Stream 4C3 ...... Approximately 600 feet downstream of Kleberg Road +402 +400 City of Dallas, City of Seagoville, Unincor- porated Areas of Dallas County. At the upstream side of Belt Line Road ...... None +455 Stream 5B11 ...... Approximately 400 feet upstream of the Floyd Branch +593 +596 City of Richardson. confluence. Approximately 350 feet downstream of Polk Street ..... +634 +632 Stream 5B12 ...... Approximately 800 feet upstream of the Cottonwood +584 +585 City of Dallas, City of Rich- Creek confluence. ardson. At the downstream side of Cullum Street ...... +662 +660 Stream 6A1 ...... At the upstream side of Turtle Creek Boulevard ...... +484 +474 Town of Highland Park. Approximately 525 feet upstream of Beverly Drive ..... +527 +526 Stream 6D1 ...... At the upstream side of East Jackson Road ...... +498 +497 City of Carrollton. Approximately 800 feet upstream of East Jackson None +502 Road. Stream 6D3...... Approximately 900 feet upstream of the Hutton +479 +478 City of Carrollton. Branch confluence. Approximately 450 feet upstream of Old Trinity Mills +556 +554 Road. Stream 6D4 ...... At the upstream side of East Jackson Road ...... +500 +502 City of Carrollton. At the upstream side of Scott Mill Road ...... +516 +521 Stream 6D5...... Approximately 100 feet upstream of the Hutton +494 +493 City of Carrollton. Branch confluence. Approximately 500 feet upstream of Waterford Way ... +530 +523 Stream 6D7 ...... Approximately 300 feet upstream of Carmel Drive ...... None +510 City of Carrollton. Approximately 250 feet upstream of Briardale Drive ... None +525 Stream 6D8...... Approximately 370 feet upstream of the Hutton +562 +564 City of Carrollton. Branch confluence. At the upstream side of Tarpley Road ...... None +613 Stream JC–1 ...... Approximately 0.22 mile upstream of the Johnson +450 +449 City of Grand Prairie. Creek confluence. At the upstream side of West Tarrant Road ...... +499 +502 Turtle Creek ...... At the downstream side of Blackburn Street ...... +445 +448 City of Dallas, Town of Highland Park. At the downstream side of Wycliff Avenue ...... +474 +473 West Fork of South Mesquite At the upstream side of Peachtree Road ...... +460 +461 City of Mesquite. Creek. Approximately 700 feet downstream of Anthony Drive +500 +498 White Rock Creek ...... At the upstream side of the Peaks Branch confluence +407 +408 City of Dallas, Town of Addison. Approximately 0.4 mile upstream of the Hall Branch +583 +588 confluence.

* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ∧ Mean Sea Level, rounded to the nearest 0.1 meter. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the referenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to Luis Rodriguez, Chief, Engineering Management Branch, Federal Insurance and Mitigation Administration, Federal Emer- gency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Balch Springs Maps are available for inspection at the Public Works Department, 3117 Hickory Tree Road, Balch Springs, TX 75180. City of Carrollton Maps are available for inspection at the Engineering Department, 1945 East Jackson Road, Carrollton, TX 75006. City of Cedar Hill Maps are available for inspection at City Hall, 502 Cedar Street, Cedar Hill, TX 75104. City of Cockrell Hill

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Maps are available for inspection at City Hall, Department of Public Works, 4125 West Clarendon Drive, Cockrell Hill, TX 75211. City of Dallas Maps are available for inspection at the Department of Public Works, 320 East Jefferson Boulevard, Dallas, TX 75203. City of Garland Maps are available for inspection at City Hall, 800 Main Street, Garland, TX 75040. City of Grand Prairie Maps are available for inspection at the City Development Center, 206 West Church Street, Grand Prairie, TX 75051. City of Irving Maps are available for inspection at the Public Works Department, 825 West Irving Boulevard, Irving, TX 75015 City of Mesquite Maps are available for inspection at the Engineering Division, 1515 North Galloway Avenue, Mesquite, TX 75185. City of Richardson Maps are available for inspection at the Engineering Office, 411 West Arapaho Road, Room 204, Richardson, TX 75083. City of Rowlett Maps are available for inspection at City Hall, 4000 Main Street, Rowlett, TX 75083. City of Sachse Maps are available for inspection at the Community Development Department, 5560 State Highway 78, Sachse, TX 75048. City of Seagoville Maps are available for inspection at City Hall, 702 North U.S. Route 175, Seagoville, TX 75182. Town of Addison Maps are available for inspection at the Public Works Department, 16801 Westgrove Drive, Addison, TX 75001. Town of Highland Park Maps are available for inspection at the Public Works Department, 4700 Drexel Drive, Highland Park, TX 75205. Town of Sunnyvale Maps are available for inspection at the Town Hall, 537 Long Creek Road, Sunnyvale, TX 75182. Unincorporated Areas of Dallas County Maps are available for inspection at the Dallas County Records Building, 509 Main Street, Dallas, TX 75202.

(Catalog of Federal Domestic Assistance No. broadband services in certain spectrum comments, identified by WT Docket No. 97.022, ‘‘Flood Insurance.’’) bands. Specifically, we consider 03–66, by any of the following methods: Dated: May 11, 2011. changes to the out-of-band emission Federal eRulemaking Portal: http:// Sandra K. Knight, limits for mobile Broadband Radio www.regulations.gov. Follow the Deputy Federal Insurance and Mitigation Service (BRS) and Educational instructions for submitting comments. Administrator, Mitigation, Department of Broadband Service (EBS) devices Federal Communications Homeland Security, Federal Emergency operating in the 2496–2690 MHz band Commission’s Web Site: http:// Management Agency. (2.5 GHz band). The proposed changes www.fcc.gov/cgb/ecfs/. Follow the [FR Doc. 2011–14021 Filed 6–6–11; 8:45 am] may permit operators to use spectrum instructions for submitting comments. BILLING CODE 9110–12–P more efficiently, and to provide higher People with Disabilities: Contact the data rates to consumers, thereby FCC to request reasonable advancing key goals of the National accommodations (accessible format FEDERAL COMMUNICATIONS Broadband Plan. Also, the changes documents, sign language interpreters, COMMISSION would promote greater harmonization of CART, etc.) by e-mail: [email protected] FCC requirements with global standards or phone: (202) 418–0530 or TTY: (202) 47 CFR Part 27 for mobile devices in the 2.5 GHz band, 418–0432. potentially making equipment more For detailed instructions for [WT Docket No. 03–66; RM–11614; FCC 11– submitting comments and additional 81] affordable and furthering the development of mobile broadband information on the rulemaking process, The Provision of Fixed and Mobile devices. In addition, we seek comment see the SUPPLEMENTARY INFORMATION Broadband Access, Educational and on whether the proposed changes can be section of this document. Other Advanced Services in the 2150– made without increasing the potential FOR FURTHER INFORMATION CONTACT: John 2162 and 2500–2690 MHz Bands for harmful interference to existing Schauble, Deputy Chief, Broadband users in the 2.5 GHz band and adjacent Division, Wireless Telecommunications AGENCY: Federal Communications bands. Bureau, Federal Communications Commission. DATES: Submit comments on or before Commission, 445 12th Street, SW, ACTION: Proposed rule. July 7, 2011. Submit reply comments on Washington, DC 20554, at (202) 418– SUMMARY: In this document, the or before July 22, 2011. 0797 or via the Internet to Commission seeks comment on a ADDRESSES: Federal Communications [email protected]. proposal to use wider channel Commission, 445 12th Street, SW., SUPPLEMENTARY INFORMATION: This is a bandwidths for the provision of Washington, DC 20554. You may submit summary of the Commission’s Fourth

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Further Notice of Proposed Rulemaking, technology based on the Institute of interference and argues that these FCC 11–81, adopted on May 24, 2011, Electrical and Electronics Engineers changes are necessary to permit and released on May 27, 2011. The full (IEEE) 802.16 standard which supports operators to realize the full benefits of text of this document is available for delivery of non-line-of-sight 4G technologies. inspection and copying during normal connectivity between a subscriber 6. A number of parties support the business hours in the FCC Reference station and base station with a typical proposed rule changes, including Information Center, Room CY–A257, cell radius of 3 to 10 kilometers. Clearwire, the largest BRS licensee and 445 12th Street, SW., Washington, DC WiMAX can support fixed and nomadic, lessee of EBS spectrum and 20554. The complete text may be as well as portable and mobile, wireless DigitalBridge Communications Corp., a purchased from the Commission’s broadband applications. Another mobile WiMAX provider; as well as duplicating contractor, Best Copy and standard for wireless broadband equipment and component Printing, Inc. (BCPI), Portals II, 445 12th technology is Long Term Evolution manufacturers including GCT Street, SW., Room CY–B402, (LTE), which is developed by the Third Semiconductor, HTC America, Inc., Washington, DC 20554, (202) 488–5300, Generation Partnership Project (3GPP), a Motorola, Inc., and Nokia Siemens facsimile (202) 488–5563, or via e-mail consensus-driven international Networks US LLC/Nokia Inc. These at [email protected]. The complete text partnership of telecommunications parties assert that the proposed changes is also available on the Commission’s standards bodies. Both IEEE and 3GPP would allow wireless carriers to realize Web site at http://hraunfoss.fcc.gov/ are working to develop standards for the full benefits of 4G technologies, offer edocs_public/attachmatch/FCC–11– refinements of WiMAX and LTE, which a greater variety of services and 81A1.doc. Alternative formats are known as WiMAX 2 (based on the applications, allow more efficient use of (computer diskette, large print, audio 802.16m standard and LTE–Advanced spectrum, and better align the cassette, and Braille) are available by (3GPP Release 10 and beyond). Commission’s rules with the approach contacting Brian Millin at (202) 418– 3. Current WiMAX deployments of 3GPP and other standards bodies. 7426, TTY (202) 418–7365, or via e-mail typically use maximum channel 7. One concern raised in the to [email protected]. bandwidths of 10 megahertz. Clearwire oppositions is that the rule change will reports that average usage for its mobile result in increased interference to SUMMARY: services is more than 7 GB/month. service providers in adjacent spectrum I. Background Wireless broadband data usage is bands. Globalstar, Inc. (Globalstar), projected to increase by a factor of at which is authorized to operate a mobile 1. General: On July 29, 2004, the least twenty from 2009 to 2014. One satellite service (MSS) system with the Commission released the BRS/EBS R&O way of making more efficient use of downlink (satellite to mobile earth & FNPRM, which fundamentally spectrum is to increase channel stations) in the 2483.5–2500 MHz band, transformed the rules for the 2.5 GHz bandwidth. LTE–Advanced and asserts that the proposed change could band. In the BRS/EBS R&O, the WiMAX2 contemplate channel cause significant harm to its MSS users, Commission adopted a band plan that bandwidths up to 40–100 megahertz. including consumers and public safety restructured the 2.5 GHz band into 4. WCAI Petition: On October 22, users. Similarly, Engineers for the upper and lower-band segments for low- 2010, the Wireless Communications Integrity of Broadcast Auxiliary Services power operations (UBS and LBS, Association International (WCAI) filed a Spectrum (EIBASS) are concerned that respectively), and a mid-band segment petition for rulemaking asking the the proposed change could result in (MBS) for high-power operations, in Commission to revise the out-of-band greater interference to Broadcast order to reduce the likelihood of emission limits for mobile digital Auxiliary Services (BAS) operations interference caused by incompatible stations operating in the BRS and EBS operating on Channels A10 (2483.5– uses. The Commission also revised the band to accommodate channel 2500 MHz) and A9 (2467–2483.5 MHz). out-of band emission limits for BRS and bandwidths of 20 megahertz and wider. With respect to the concerns raised by EBS licensees consistent with a WCAI asserts that it is currently difficult Globalstar and EIBASS, WCAI responds proposal made by a coalition of for BRS/EBS devices to meet the out-of- that those parties exaggerate the risk of organizations representing BRS and EBS band emission limits for 10 megahertz interference, because the chances that licensees. With respect to mobile channels because of the limits of power BRS Channel 1 would be operating at devices, the Commission adopted an amplifier efficiency inherent in current full power across the entire bandwidth emission mask which requires that technology, and states that developing a of the channel in the vicinity of emissions outside the licensee’s smartphone that would fully use a 20 Globalstar’s mobile receivers and BAS frequency bands of operation be megahertz channel bandwidth that Channels A9 or A10 receivers are very attenuated below the transmitter power complies with the current out-of-band low. (P) by a factor of 43 + 10 log(P) decibels emission limits would be very difficult 8. IP Wireless, Inc. (IP Wireless), a (dB) at the channel’s edge, and 55 + 10 or impossible. developer and manufacturer of 3GPP log(P) dB at 5.5 megahertz from the 5. WCAI argues that the revised rules user equipment, opposes the rule channel edge, where (P) is the will not significantly increase the risk of changes proposed by WCAI because it transmitter power measured in watts. interference, because mobile 4G devices does not believe changes are necessary 5.5 megahertz represents the size of using orthogonal frequency-division to permit wider bandwidth operations. individual channels in the LBS and UBS multiple access (OFDMA) technology IP Wireless asserts that it makes in the post-transition band plan adopted (on which WiMAX and LTE are based) available LTE devices that can ‘‘easily’’ by the Commission. are not typically allocated all of the meet the FCC’s existing out-of-band 2. Today, the 2.5 GHz band is used by uplink bandwidth while operating at emission limits for mobile devices Clearwire Corporation (Clearwire) and full transmit power, the scenario that operating with 20 megahertz channels. other operators to provide wireless would maximize potential interference. WCAI responds that IP Wireless is just broadband service using the Worldwide In addition, WCAI notes that mobile 4G one equipment supplier in a larger Interoperability for Microwave Access devices operate under very stringent ecosystem and that other equipment (WiMAX) version 802.16e standard. power controls in order to maximize manufacturers agree ‘‘that the mask WiMAX is a wireless broadband access battery life and minimize intra-system proposed in the Petition represents an

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appropriate and reasonable trade-off 12. We seek comment on whether the 2495 MHz band.’’ The same between form factor, battery proposed rule change is necessary to considerations apply to adjacent band consumption, and performance, permit mobile devices to operate in the BAS operations. As noted above, especially for the most challenging type 2.5 GHz band using channel bandwidths Globalstar, EIBASS and WCAI disagree of device: highly integrated wider than 10 megahertz. IP Wireless about whether the proposed rule smartphones with multiple radios.’’ claims to have equipment capable of changes could result in increased II. Discussion operating on 20 megahertz channels that interference into services below 2495 meets the FCC’s current out-of-band MHz, the likelihood that such 9. We find that facilitating the use of emission limits, but a number of other interference could result, and the harms wider channels in the 2.5 GHz spectrum equipment manufacturers and operators that could result from such interference. band would greatly enhance spectrum support the proposed rule change. Also, In view of these disputes in the record, efficiency and throughput in wireless IP Wireless also argues that the we seek comment including detailed broadband systems operating in the proposed rule changes will result in engineering analyses on the potential band. We also find that the opportunity insufficient protection against for, and likelihood that, the proposed to harmonize the Commission’s rules interference within the 2.5 GHz band. rule changes will result in harmful with international standards could Specifically, it claims that the more interference into MSS and BAS benefit both operators and consumers by permissive 3GPP emissions standard on operations below 2495 MHz. In this encouraging the development of mobile which the proposed rule changes are vein, we seek comment on the broadband equipment for the 2.5 GHz modeled has traditionally been applied assumptions used by Globalstar in its band at lower cost. For these reasons, to paired (Frequency Division Duplex engineering study, including its we initiate this rulemaking on WCAI’s (FDD)) spectrum allocations, and cites a definition of interference as a signal proposal to change the out-of-band European Conference of Postal and level above ¥133 dBm/MHz. We also emission limits for mobile devices for Telecommunications Administrations seek additional engineering analyses BRS and EBS. (CEPT) report for support that related to the potential for interference, 10. Specifically, we seek comment on coexistence between FDD and Time in which the key assumptions whether to modify the out-of-band Division Duplex (TDD) systems in underlying the analysis are identified, emission limits for BRS and EBS mobile adjacent spectrum, or between and accompanied by an explanation of digital stations by modifying the factors uncoordinated TDD systems, is why these assumptions are appropriate. by which these devices’ emissions generally achieved by a combination of We also seek comment on the outside the licensee’s frequency bands the 3GPP emissions standards and guard significance of the fact that MSS of operation must be attenuated below bands. However, the CEPT report notes licensees can file documented the transmitter power (P), in Watts, to interference complaints against adjacent the following, as requested by WCAI: that the block edge mask limits it • 40 + 10 log (P) dB at the channel proposed were developed in order to channel licensees and take advantage of edge, measured using a resolution manage the risk of harmful interference the provisions that could require bandwidth of 2 percent of the emission independently of any relaxation which adjacent channel BRS licensees to bandwidth of the fundamental emission may be achieved through mitigation comply with tighter base station in the 1 megahertz bands immediately techniques or coordination. We seek emission masks. outside and adjacent to the frequency comment on how adoption of the 14. In addition, we seek comment on block. proposed rule changes would affect the whether, in connection with the • 43 + 10 log (P) dB beyond 5 likelihood of interference within the 2.5 proposed rule changes, we should megahertz from the channel edges, and GHz band and whether additional consider adopting additional measures • 55 + 10 log (P) dB attenuation factor protections against such interference of protecting against interference to at a distance of ‘‘X’’ megahertz from the would be needed. In that regard, we adjacent bands. For example, we seek channel edges, where ‘‘X’’ is the greater note that our existing rules contain a comment on the desirability and of 6 megahertz or the actual emission provision requiring both licensees to feasibility of establishing a fixed limit bandwidth as defined in § 27.53(m)(6) of comply with a tighter emission mask for on out-of-band emissions below 2495 the Commission’s rules. its base stations within 60 days of MHz or above 2690 MHz in order to WCAI asserts that these changes would receiving a documented interference protect adjacent bands’ operations. allow operators to provide the full complaint from an adjacent channel While the WCAI Petition and comments uplink capacity available in 20 licensee. Since mobile devices and base discuss the use of 20 megahertz megahertz or wider channels, and stations operate in the same frequency channels, the proposed rule is not would harmonize the Commission’s out- band in TDD systems, and base stations limited to 20 megahertz channels, and of-band emission limits with 3GPP operate with higher power, it appears developing standards contemplate the standards for out-of-band emission that the existing provisions in our rules use of wider channels. We seek limits in the 2.5 GHz band. may protect adjacent channel licensees comment on whether the proposed rule 11. WCAI has argued that it will be with protection against adjacent channel would work for channels wider than 20 particularly difficult to design interference. We seek further comment megahertz without causing interference smartphone devices with small form on this issue. to adjacent bands’ operations, or factors that can use 20 megahertz 13. Globalstar and EIBASS contend whether we should set a maximum channels and meet the current OOBE that adopting WCAI’s requested OOBE channel size to which the proposed out- requirements, and asserts that IP limits would increase the potential for of-band emission limits would apply. In Wireless does not offer any handset harmful interference into the MSS and addition, while the proposed rule devices. Does the existence of some BAS bands and we seek comment. The change relies on standards being mobile devices capable of operating on Commission has previously said that the developed by 3GPP, we seek comment 20 megahertz channels and meeting the BRS/EBS out-of-band emission limits on whether, to the extent such current FCC OOBE rules affect the ‘‘should allow MSS providers to operate information is available, the proposed necessity or desirability of making the without unnecessary restrictions or changes would be consistent with proposed rule changes? significant interference in the 2483.5– IEEE’s continuing development of

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WiMAX2, as well as other evolving • Paper Filers: Parties who choose to Business Paperwork Relief Act of 2002, standards. Finally, we seek comment on file by paper must file an original and Public Law 107–198, see 44 U.S.C. whether any additional changes to the four copies of each filing. If more than 3506(c)(4) requirements. OOBE limits applicable to mobile one docket or rulemaking number Initial Regulatory Flexibility Analysis devices in the 2.5 GHz band are appears in the caption of this necessary or desirable to promote proceeding, filers must submit two 18. As required by the Regulatory greater efficiency and flexibility in the additional copies for each additional Flexibility Act of 1980, as amended provision of broadband services in these docket or rulemaking number. Filings (RFA), the Commission has prepared bands? can be sent by hand or messenger this present Initial Regulatory delivery, by commercial overnight Procedural Matters Flexibility Analysis (IRFA) of the courier, or by first-class or overnight possible significant economic impact on Ex Parte Rules—Permit-But-Disclose U.S. Postal Service mail (although we a substantial number of small entities by Proceeding continue to experience delays in the policies and rules proposed in this receiving U.S. Postal Service mail). All 15. This is a permit-but-disclose Fourth Further Notice of Proposed filings must be addressed to the notice and comment rulemaking Rulemaking (4th FNPRM). Written Commission’s Secretary, Office of the proceeding. Ex parte presentations are public comments are requested on this Secretary, Federal Communications permitted, except during the Sunshine IRFA. Comments must be identified as Commission. The Commission’s Agenda period, provided they are responses to the IRFA and must be filed contractor will receive hand-delivered by the deadlines specified in the 4th disclosed pursuant to the Commission’s or messenger-delivered paper filings for rules. NPRM for comments. The Commission the Commission’s Secretary at 236 will send a copy of this 4th FNPRM, Comment Period and Procedures Massachusetts Avenue, NE., Suite 110, including this IRFA, to the Chief Washington, DC 20002. The filing hours 16. Pursuant to §§ 1.415 and 1.419 of Counsel for Advocacy of the Small at this location are 8 a.m. to 7 p.m. All the Commission’s rules, 47 CFR 1.415, Business Administration (SBA). In hand deliveries must be held together 1.419, interested parties may file addition, the 4th FNPRM and IRFA (or with rubber bands or fasteners. Any comments and reply comments on or summaries thereof) will be published in envelopes must be disposed of before before the dates indicated on the first the Federal Register. entering the building. Commercial page of this document. Comments may overnight mail (other than U.S. Postal A. Need for, and Objectives of, the be filed using: (1) The Commission’s Service Express Mail and Priority Mail) Proposed Rules Electronic Comment Filing System must be sent to 9300 East Hampton In this 4th FNPRM, we seek comment (ECFS), (2) the Federal Government’s Drive, Capitol Heights, MD 20743. U.S. on changing the out-of-band emission eRulemaking Portal, or (3) by filing Postal Service first-class, Express, and limits, which limit the amount of energy paper copies. See Electronic Filing of Priority mail must be addressed to 445 that can be radiated outside a licensee’s Documents in Rulemaking Proceedings, 12th Street, SW., Washington DC 20554. 63 FR 24121 (1998). • authorized bandwidth, for mobile • People with Disabilities: To request Electronic Filers: Comments may be materials in accessible formats for devices operating in the Broadband filed electronically using the Internet by people with disabilities (braille, large Radio Service (BRS) and Educational accessing the ECFS: http://www.fcc.gov/ print, electronic files, audio format), Broadband Service (EBS) in the 2496– cgb/ecfs/ or the Federal eRulemaking send an e-mail to [email protected] or call 2690 MHz band (2.5 GHz band). The Portal: http://www.regulations.gov. the Consumer and Governmental Affairs proposed change is designed to facilitate Filers should follow the instructions Bureau at 202–418–0530 (voice), 202– the use of wider channel bandwidths, provided on the Web site for submitting 418–0432 (tty). which could potentially allow higher comments. • Availability of Documents: The data rates and more efficient use of • For ECFS filers, if multiple docket public may view the documents filed in spectrum. Such a change would or rulemaking numbers appear in the this proceeding during regular business increase the range of applications and caption of this proceeding, filers must hours in the FCC Reference Information devices that can benefit from mobile transmit one electronic copy of the Center, Federal Communications broadband connectivity, generating a comments for each docket or Commission, 445 12th Street, SW., corresponding increase in demand for rulemaking number referenced in the Room CY–A257, Washington, DC 20554, mobile broadband service from caption. In completing the transmittal and on the Commission’s Internet Home consumers, businesses, public safety, screen, filers should include their full Page: http://www.fcc.gov. Copies of health care, education, energy and other name, U.S. Postal Service mailing comments and reply comments are also public safety uses. The proposed change address, and the applicable docket or available through the Commission’s is also designed to facilitate rulemaking number. Comments shall be duplicating contractor: Best Copy and harmonization of future standards in the sent as an electronic file via the Internet Printing, Inc., 445 12th Street, SW., equipment market for mobile devices in to http://www.fcc.gov/e-file/ecfs.html. In Room CY–B402, Washington, DC 20554, the 2.5 GHz band, which would make completing the transmittal screen, 1–800–378–3160. equipment more affordable and further commenters should include their full the development of advanced wireless name, Postal Service mailing address, Paperwork Reduction Analysis broadband devices. We seek comment and the applicable docket number. 17. This document does not contain on whether the proposed changes can be Parties may also submit an electronic proposed information collection(s) made without any increase in the comment by Internet e-mail. To get subject to the Paperwork Reduction Act potential for harmful interference to filing instructions for e-mail comments, of 1995 (PRA), Public Law 104–13. In existing users in the 2.5 GHz band and commenters should send an e-mail to addition, therefore, it does not contain adjacent bands. We also consider [email protected], and include the following any new or modified ‘‘information establishing an additional requirement words in the body of the message, ‘‘get collection burden for small business of fixed interference limits below 2496 form.’’ A sample form and directions concerns with fewer than 25 MHz and above 2690 MHz in order to will be sent in response. employees,’’ pursuant to the Small protect adjacent band users.

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B. Legal Basis licensees to the number of incumbent standard was: all such firms having The proposed action is authorized licensees not already counted, we find $13.5 million or less in annual receipts. pursuant to sections 1, 2, 4(i), 7, 10, 201, that there are currently approximately According to Census Bureau data for 214, 301, 302, 303, 307, 308, 309, 310, 440 BRS licensees that are defined as 2002, there were a total of 1,191 firms 319, 324, 332, and 333 of the small businesses under either the SBA in this previous category that operated Communications Act of 1934, as or the Commission’s rules. In 2009, the for the entire year. Of this total, 1,087 amended, 47 U.S.C. 151, 152, 154(i), Commission conducted Auction 86, the firms had annual receipts of under $10 157, 160, 201, 214, 301, 302, 303, 307, sale of 78 licenses in the BRS areas. The million, and 43 firms had receipts of 308, 309, 310, 319, 324, 332, and 333. Commission offered three levels of $10 million or more but less than $25 bidding credits: (i) A bidder with million. Thus, the majority of these C. Description and Estimate of the attributed average annual gross revenues firms can be considered small. Number of Small Entities to Which the that exceed $15 million and do not Proposed Rules Will Apply D. Description of Projected Reporting, exceed $40 million for the preceding Recordkeeping, and Other Compliance The RFA directs agencies to provide three years (small business) will receive Requirements a description of, and, where feasible, an a 15 percent discount on its winning This 4th FNPRM imposes no new estimate of the number of small entities bid; (ii) a bidder with attributed average reporting or recordkeeping that may be affected by the proposed annual gross revenues that exceed $3 requirements. rules and policies, if adopted. The RFA million and do not exceed $15 million generally defines the term ‘‘small entity’’ for the preceding three years (very small E. Steps Taken To Minimize Significant as having the same meaning as the terms business) will receive a 25 percent Economic Impact on Small Entities, and ‘‘small business,’’ ‘‘small organization,’’ discount on its winning bid; and (iii) a Significant Alternatives Considered bidder with attributed average annual and ‘‘small governmental jurisdiction.’’ The only potential burden on small In addition, the term ‘‘small business’’ gross revenues that do not exceed $3 million for the preceding three years entities that hold BRS or EBS licenses has the same meaning as the term ‘‘small is a potential increase in interference to business concern’’ under the Small (entrepreneur) will receive a 35 percent discount on its winning bid. Auction 86 existing users in the 2.5 GHz band. We Business Act. A ‘‘small business believe this potential burden would be concern’’ is one which: (1) Is concluded in 2009 with the sale of 61 licenses. Of the ten winning bidders, outweighed by benefits to small independently owned and operated; (2) businesses that hold BRS and EBS is not dominant in its field of operation; two bidders that claimed small business status won 4 licenses; one bidder that licensees, who would be able to use and (3) satisfies any additional criteria wider channel bandwidths to provide established by the SBA. claimed very small business status won three licenses; and two bidders that faster service and use their spectrum Broadband Radio Service and more efficiently. An alternative being Educational Broadband Service. claimed entrepreneur status won six licenses. considered in order to minimize any Broadband Radio Service systems, potential burden is establishing fixed previously referred to as Multipoint In addition, the SBA’s Cable interference limits below 2496 MHz and Distribution Service (MDS) and Television Distribution Services small above 2690 MHz in order to protect Multichannel Multipoint Distribution business size standard is applicable to adjacent band users. Service (MMDS) systems, and ‘‘wireless EBS. There are presently 2,032 EBS The other main alternative would be cable,’’ transmit video programming to licensees. All but 100 of these licenses to maintain the existing rules. If we subscribers and provide two-way high are held by educational institutions. maintained the existing rules, it would speed data operations using the Educational institutions are included in be more difficult or impossible for BRS microwave frequencies of the this analysis as small entities. Thus, we and EBS operators to offer broadband Broadband Radio Service (BRS) and estimate that at least 1,932 licensees are systems with higher data rates by using Educational Broadband Service (EBS) small businesses. Since 2007, Cable wider channel bandwidths. Such (previously referred to as the Television Distribution Services have difficulty would make it more difficult Instructional Television Fixed Service been defined within the broad economic for BRS and EBS operators, including (ITFS)). In connection with the 1996 census category of Wired small entities, to be competitive with BRS auction, the Commission Telecommunications Carriers; that other broadband providers. established a small business size category is defined as follows: ‘‘This standard as an entity that had annual industry comprises establishments Ordering Clauses average gross revenues of no more than primarily engaged in operating and/or 19. Accordingly, it is ordered that $40 million in the previous three providing access to transmission notice is hereby given of the proposed calendar years. The BRS auctions facilities and infrastructure that they regulatory changes described in this resulted in 67 successful bidders own and/or lease for the transmission of Fourth Further Notice of Proposed obtaining licensing opportunities for voice, data, text, sound, and video using Rulemaking, and that comment is 493 Basic Trading Areas (BTAs). Of the wired telecommunications networks. sought on these proposals. 67 auction winners, 61 met the Transmission facilities may be based on 20. It is further ordered pursuant to definition of a small business. BRS also a single technology or a combination of section 4(i) of the Communications Act includes licensees of stations authorized technologies.’’ The SBA has developed a of 1934, 47 U.S.C. 154(i), that the prior to the auction. At this time, we small business size standard for this Commission’s Consumer and estimate that of the 61 small business category, which is: all such firms having Governmental Affairs Bureau, Reference BRS auction winners, 48 remain small 1,500 or fewer employees. To gauge Information Center, shall send a copy of business licensees. In addition to the 48 small business prevalence for these this Fourth Further Notice of Proposed small businesses that hold BTA cable services we must, however, use Rulemaking, including the Final authorizations, there are approximately the most current census data that are Regulatory Certification and the Initial 392 incumbent BRS licensees that are based on the previous category of Cable Regulatory Certification, to the Chief considered small entities. After adding and Other Program Distribution and its Counsel for Advocacy of the Small the number of small business auction associated size standard; that size Business Administration.

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List of Subjects in 47 CFR Part 27 attenuated at least 26 dB below the between 9 a.m. and 5 p.m. ET, Monday Communications common carriers, transmitter power. With respect to through Friday, except Federal holidays. • Fax: 202–493–2251. Radio. television operations, measurements must be made of the separate visual and To avoid duplication, please use only Federal Communications Commission. aural operating powers at sufficiently one of these four methods. See the Marlene H. Dortch, frequent intervals to ensure compliance ‘‘Public Participation and Request for Secretary. with the rules. Comments’’ portion of the SUPPLEMENTARY INFORMATION section For the reasons discussed in the * * * * * [FR Doc. 2011–14001 Filed 6–6–11; 8:45 am] below for instructions on submitting preamble, the Federal Communications comments. Commission proposes to amend 47 CFR BILLING CODE 6712–01–P part 27 as follows: FOR FURTHER INFORMATION CONTACT: Ms. Deborah M. Freund, Vehicle and PART 27—MISCELLANEOUS DEPARTMENT OF TRANSPORTATION Roadside Operations Division, Office of WIRELESS COMMUNICATIONS Bus and Truck Standards and SERVICES Federal Motor Carrier Safety Operations (MC–PSV), Federal Motor Administration Carrier Safety Administration, 1200 1. The authority citation for part 27 New Jersey Avenue, SE., Washington, continues to read as follows: 49 CFR Parts 390 and 396 DC 20590; telephone (202) 366–5370. Authority: 47 U.S.C. 154, 301, 302, 303, SUPPLEMENTARY INFORMATION: 307, 309, 332, 336, and 337 unless otherwise [Docket No. FMCSA–2011–0046] noted. I. Public Participation and Request for RIN 2126–AB34 Comments 2. Section 27.53 is amended by revising paragraphs (m)(4) and (m)(6) to Inspection, Repair, and Maintenance; FMCSA encourages you to participate read as follows: Driver-Vehicle Inspection Report for in this rulemaking by submitting Intermodal Equipment comments and related materials. All § 27.53 Emission Limits. comments received will be posted * * * * * AGENCY: Federal Motor Carrier Safety without change to http:// (m) * * * Administration (FMCSA), Department www.regulations.gov and will include (4) For mobile digital stations, the of Transportation. any personal information you provide. ACTION: Notice of proposed rulemaking attenuation factor shall be not less than A. Submitting Comments 40 + 10 log (P) dB at the channel edge, (NPRM); request for comments. 43 + 10 log (P) dB beyond 5 MHz from If you submit a comment, please SUMMARY: the channel edges, and 55 + 10 log (P) FMCSA proposes to revise a include the docket number for this dB at X MHz from the channel edges, requirement of the Federal Motor rulemaking (FMCSA–2011–0046), where X is the greater of 6 MHz or the Carrier Safety Regulations that applies indicate the specific section of this actual emission bandwidth as defined in to intermodal equipment providers and document to which each comment § 27.53(m)(6). Mobile Satellite Service motor carriers operating intermodal applies, and provide a reason for each licensees operating on frequencies equipment. The Agency proposes to suggestion or recommendation. You below 2495 MHz may also submit a delete the requirement for drivers may submit your comments and documented interference complaint operating intermodal equipment to material online or by fax, mail, or hand against BRS licensees operating on submit and intermodal equipment delivery, but please use only one of channel BRS Channel 1 on the same providers to retain driver-vehicle these means. FMCSA recommends that terms and conditions as adjacent inspection reports when the driver has you include your name and a mailing address, an e-mail address, or a phone channel BRS or EBS licensees. neither found nor been made aware of any defects on the intermodal number in the body of your document * * * * * equipment used. This NPRM responds so that FMCSA can contact you if there (6) Measurement procedure. to a joint petition for rulemaking from are questions regarding your Compliance with these rules is based on the Ocean Carrier Equipment submission. the use of measurement instrumentation Management Association and the To submit your comment online, go to employing a resolution bandwidth of 1 Institute of International Container http://www.regulations.gov and click on MHz or greater. However, in the 1 Lessors. the ‘‘Submit a Comment’’ box, which megahertz bands immediately outside will then become highlighted in blue. In and adjacent to the frequency block a DATES: Send your comments on or the ‘‘Select Document Type’’ drop-down resolution bandwidth of at least one before August 8, 2011. menu, select ‘‘Proposed Rule,’’ insert percent (or two percent for mobile ADDRESSES: You may submit comments ‘‘FMCSA–2011–0046’’ in the ‘‘Keyword’’ digital stations) of the emission identified by Docket ID Number box, and click ‘‘Search.’’ When the new bandwidth of the fundamental emission FMCSA–2011–0046 by any of the screen appears, click on ‘‘Submit a of the transmitter may be employed. A following methods: Comment’’ in the ‘‘Actions’’ column. If narrower resolution bandwidth is • Federal eRulemaking Portal: http:// you submit your comments by mail or permitted in all cases to improve www.regulations.gov. Follow the online hand delivery, submit them in an measurement accuracy provided the instructions for submitting comments. unbound format, no larger than 81⁄2 by measured power is integrated over the • Mail: Docket Management Facility: 11 inches, suitable for copying and full required measurement bandwidth U.S. Department of Transportation, 1200 electronic filing. If you submit (i.e., 1 megahertz). The emission New Jersey Avenue, SE., West Building, comments by mail and would like to bandwidth is defined as the width of the Ground Floor, Room W12–140, know that they reached the facility, signal between two points, one below Washington, DC 20590–0001. please enclose a stamped, self-addressed the carrier center frequency and one • Hand Delivery or Courier: West postcard or envelope. above the carrier center frequency, Building, Ground Floor, Room W12– FMCSA will consider all comments outside of which all emissions are 140, 1200 New Jersey Avenue, SE., and material received during the

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comment period and may change this These trailers, generally referred to as designated by the Secretary to inspect proposed rule based on your comments. intermodal equipment (IME), fall under IME and copy related maintenance and FMCSA’s safety jurisdiction. At issue in repair records (49 U.S.C. 31151(b)). Any B. Viewing Comments and Documents this NPRM is the requirement that IME that fails to comply with applicable To view comments, as well as drivers complete driver vehicle Federal safety regulations may be placed documents mentioned in this preamble, inspection reports (DVIRs) which note out of service (OOS) by Departmental or available in the docket, go to http:// the existence or absence of defects or other Federal, State, or governmental www.regulations.gov and click on the deficiencies in IME. FMCSA proposes to officials designated by the Secretary ‘‘Read Comments’’ box in the upper eliminate the requirement that drivers until the necessary repairs have been right-hand side of the screen. Then, in complete DVIRs when they have no made (49 U.S.C. 31151(c)). Also the ‘‘Keyword’’ box insert ‘‘FMCSA– defects or deficiencies to report. included is a provision preempting 2011–0046’’ and click ‘‘Search.’’ Next, This NPRM is based on the authority inconsistent State, local, or tribal click the ‘‘Open Docket Folder’’ in the of the Motor Carrier Act of 1935 (1935 requirements, but providing that ‘‘Actions’’ column. Finally, in the ‘‘Title’’ Act) and the Motor Carrier Safety Act of preemption may be waived upon column, click on the document you 1984 (1984 Act), both of which are application by the State if the Secretary would like to review. If you do not have broadly discretionary, and the specific finds the State requirement is as access to the Internet, you may view the mandates of section 4118 of the Safe, effective as the Federal requirement and docket online by visiting the Docket Accountable, Flexible, Efficient does not unduly burden interstate Management Facility in Room W12–140 Transportation Equity Act; a Legacy for commerce (49 U.S.C. 31151(d) and (e)). on the ground floor of the Department Users (SAFETEA–LU Pub. L. 109–59, FMCSA published a final rule on of Transportation West Building, 1200 119 Stat. 1144, at 1729, August 10, 2005, December 17, 2008 (73 FR 76794) New Jersey Avenue, SE., Washington, codified at 49 U.S.C. 31151). implementing the SAFETEA–LU The 1935 Act provides that the DC 20590, between 9 a.m. and 5 p.m. requirements. That rule requires Secretary of Transportation (Secretary) ET, Monday through Friday, except Intermodal Equipment Providers (IEPs) may prescribe requirements for (1) Federal holidays. to register and file with FMCSA an qualifications and maximum hours of Intermodal Equipment Provider C. Privacy Act service of employees of, and safety of Identification Report (Form MCS–150C); Anyone is able to search the operation and equipment of, a (for-hire) establish a systematic inspection, repair, electronic form for all comments motor carrier (49 U.S.C. 31502(b)(1)), and maintenance program in order to received into any of our dockets by the and (2) qualifications and maximum provide IME that is in safe and proper name of the individual submitting the hours of service of employees of, and operating condition; maintain comment (or signing the comment, if standards of equipment of, a (not for- documentation of their maintenance submitted on behalf of an association, hire) motor private carrier, when needed program; and provide a means to business, labor union, etc.). You may to promote safety of operation (49 U.S.C. respond effectively to driver and motor review the U.S. Department of 31502(b)(2)). This rulemaking is based carrier reports about intermodal chassis Transportation’s (DOT) Privacy Act on the Secretary’s authority under both mechanical defects and deficiencies. system of records notice for the DOT provisions. The regulations also require IEPs to Federal Docket Management System The 1984 Act authorizes the Secretary mark each intermodal chassis offered for (FDMS) in the Federal Register to regulate drivers, motor carriers, and transportation in interstate commerce published on January 17, 2008 (73 FR vehicle equipment. Codified at 49 with a DOT identification number. 3316) at http://edocket.access.gpo.gov/ U.S.C. 31136(a), section 206(a) of the These regulations, for the first time, 2008/pdf/E8-785.pdf. 1984 Act requires the Secretary to publish regulations on motor vehicle make IEPs subject to the Federal Motor II. Abbreviations safety. Specifically, the Act sets forth Carrier Safety Regulations (FMCSRs), ATA American Trucking Associations minimum safety standards to ensure and call for shared safety responsibility CMV commercial motor vehicle that: (1) Commercial motor vehicles among IEPs, motor carriers, and drivers. DOT U.S. Department of Transportation (CMVs) are maintained, equipped, Additionally, FMCSA adopted DVIR driver-vehicle inspection report loaded, and operated safely (49 U.S.C. inspection requirements for motor FHWA Federal Highway Administration 31136(a)(1)); (2) the responsibilities carriers and drivers operating IME. FMCSRs Federal Motor Carrier Safety imposed on operators of CMVs do not Regulations IV. Background IANA Intermodal Association of North impair their ability to operate the America vehicles safely (49 U.S.C. 31136(a)(2)); Section 4118 of SAFETEA–LU [Pub. IEP intermodal equipment provider (3) the physical condition of CMV L. 109–59, August 10, 2005, 119 Stat. IICL Institute of International Container operators is adequate to enable them to 1144, 1729] amended 49 U.S.C. chapter Lessors operate the vehicles safely (49 U.S.C. 311 to require that the Secretary IME intermodal equipment 31136(a)(3)); and (4) the operation of establish a program ensuring that IME NPRM Notice of Proposed Rulemaking CMVs does not have a deleterious effect used to transport intermodal containers OCEMA Ocean Carrier Equipment on the physical condition of the is safe and systematically maintained Management Association operators (49 U.S.C. 31136(a)(4)). (49 U.S.C. 31151). Among other things, SAFETEA–LU Safe, Accountable, Flexible, Efficient Transportation Equity Act; A Section 4118 of SAFETEA–LU, the statute called for the Secretary to Legacy for Users entitled ‘‘Roadability,’’ requires the mandate ‘‘a process by which a driver or Secretary Secretary of Transportation Secretary to issue regulations ‘‘to ensure motor carrier transporting IME is that intermodal equipment used to required to report to the IEP or the III. Legal Basis for the Rulemaking transport intermodal containers is safe providers’ designated agent any actual Although cargo containers move by and systematically maintained.’’ Section damage or defect in the IME of which ship, and often also by rail, their 31151(a)(3) of title 49, United States the driver or motor carrier is aware at journeys generally begin and end on Code, specifies a minimum of 14 items the time the IME is returned to the IEP chassis trailers for transportation by to be included in those regulations. It or the provider’s designated agent’’ (49 highway to their final destinations. also authorizes departmental employees U.S.C. 31151(a)(3)(L)).

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To satisfy this statutory requirement, On October 27, 2009, Ocean Carrier which results in 38,491,440 no-defect FMCSA proposed a rule that for the first Equipment Management Association DVIRs per year. The risk is that time would (1) make IEPs subject to the (OCEMA) petitioned FMCSA for a 1,603,810 DVIRs, or 4 percent of the FMCSRs and (2) call for a shared safety partial extension of the compliance date total, that contain defect and damage responsibility among IEPs, motor for §§ 396.9(d), 396.11(a)(2), 396.12(a), information will be lost, obscured, or carriers, and drivers (71 FR 76796, 396.12(c), and 396.12(d). These delayed by the sheer magnitude of the December 21, 2006). That proposed rule provisions include the process for remaining 96 percent of no-defect included a new § 390.44 (changed to delivering the DVIR and acting on DVIRs. § 390.42 in the final rule), which defects or deficiencies reported. FMCSA (3) The petitioners added that ‘‘Data prescribed the responsibilities of drivers granted the petition. In a final rule transmission, processing, and storage and motor carriers when operating IME. published December 29, 2009, the requirements for no-defect DVIRs add Proposed § 390.44(b) required the driver compliance date for these provisions significant unnecessary costs to or motor carrier to report any damage or was extended from December 17, 2009, intermodal operations with no apparent deficiencies in the equipment at the to June 30, 2010 (74 FR 68703). offsetting benefits.’’ They stated: time the equipment is returned to the V. OCEMA’s and IICL’s Petition Each DVIR processed will involve utilizing IEP. These included, at a minimum, the the GIER [Global Intermodal Equipment items listed in proposed § 396.11(a)(2), On March 31, 2010, OCEMA and Registry] system to retrieve the USDOT which required that the IEP have a Institute of International Container number at a transaction cost of $.02. For an process in place to receive reports of Lessors (IICL) jointly petitioned FMCSA estimated 38,491,440 no-defect DVIRs per defects or deficiencies in the equipment to rescind the part of § 390.42(b) that year, IEPs would incur over $769,828.00 in and which listed the specific concerns a driver’s responsibility to file costs to retrieve just that information. components that must be included on no-defect DVIRs with IEPs on IME they (4) The petitioners claimed that the DVIR. Finally, FMCSA proposed a are returning.2 The regulatory text at submission of no-defect DVIRs new § 396.12 that required IEPs to issue states: contributes to driver productivity losses establish a procedure to accept reports (b) A driver or motor carrier transporting in the form of congestion and delay at of defects or deficiencies from motor intermodal equipment must report to the intermodal facilities. The petitioners carriers or drivers, repair the defects intermodal equipment provider, or its assumed that truck drivers take 3 that are likely to affect safety, and designated agent, any known damage, minutes to fill out a report, which document the procedure. Importantly, defects, or deficiencies in the intermodal results in 1,924,572 driver hours lost per FMCSA did not propose any changes to equipment at the time the equipment is year. They added: § 396.11(b), ‘‘Report content,’’ which returned to the provider or the provider’s designated agent. If no damage, defects, or IEPs will incur costs associated with requires—for both non-IME and IME— deficiencies are discovered by the driver, the storage of electronic or paper copies and the that ‘‘If no defect or deficiency is report shall so indicate. The report must reproduction of same for FMCSA personnel. discovered by or reported to the driver, include, at a minimum, the items in Assuming truck drivers take 3 minutes per the report shall so indicate.’’ This § 396.11(a)(2) of this chapter (emphasis report, this would mean almost 2 million requirement to prepare a DVIR, even in added). driver-hours spent on a largely meaningless exercise. the absence of equipment defects or OCEMA and IICL requested that FMCSA deficiencies (hereafter a ‘‘no-defect delete the sentence in italics. FMCSA granted the petition on July 30, 2010. The Agency Order granting the DVIR’’), has been in the safety The petitioners presented four petition has been placed in the docket. regulations since 1952 (17 FR 4422, arguments against the DVIR element of 4452, May 15, 1952).1 FMCSA did not Because FMCSA did not have the current rule: sufficient time to address the petition receive any comments opposing its (1) SAFETEA–LU requires DVIRs only through a notice-and-comment decision not to make changes to for known damage or defects. Congress rulemaking prior to the compliance date § 396.11(b). could have added a requirement to file of June 30, 2010, it published a final In the final rule, published December no-defect DVIRs but did not do so. The rule on August 20, 2010 that extended 17, 2008 (73 FR 76794), the Agency regulatory imposition of no-defect added language in the new § 390.42(b) the compliance date for § 390.42(b) to DVIRs is not required by law and likely (which had been § 390.44 in the NPRM) June 30, 2011 (75 FR 51419). is inconsistent with Congressional and § 396.12(b)(4) to clarify that ‘‘if no intent. VI. Agency Analysis of the Petition and damage, defects, or deficiencies are (2) There is a significant risk that the Discussion of Proposed Rule discovered by the driver, the report volume of no-defect DVIRs, if required, ’’ The Agency agrees with the shall so indicate. This was done to could overwhelm the 4 percent of DVIRs make the new rules for IEPs consistent petitioners that the existing requirement that contain damage or defects. Using a for motor carriers to prepare no-defect with § 396.11(b), which has, for many sampling of industry data from 2007– years, required drivers to prepare no- DVIRs goes beyond the specific 2009, OCEMA estimated that 16.9 defect DVIRs. requirements of 49 U.S.C. percent of chassis operating in the 31151(a)(3)(L). In its 2008 final rule, United States are in-gated (return to the 1 The driver’s responsibility to report vehicle FMCSA, for the first time, subjected defects has always been part of the Federal safety IME through the in-gate process) every IEPs to the FMCSRs, and called for regulations for CMVs. Part 6, Rule 6.6, of the Motor day. Assuming a fleet of 650,000 active shared safety responsibility among IEPs, Carrier Safety Regulations issued by the Interstate chassis per day, there are 109,850 in- Commerce Commission (ICC) in 1939 called for motor carriers, and drivers regarding every driver to submit a written report at the end gates per day and 40,095,250 in-gates processes for assessing the condition of of his day’s work or tour of duty to inform his per year. The petitioners estimated that IME and documenting deficiencies and employer of any vehicle defect or deficiency he approximately 96 percent of DVIRs repairs. Section 390.40(d) requires an discovered that would likely affect the safety of collected do not contain discrepancies, operation of that vehicle (4 FR 2294, 2305, June 7, IEP to ‘‘provide intermodal equipment 1939). The ICC recommended, but did not require, that is in safe and proper operating 2 motor carriers to use a Driver’s Trip Report. The Although the petition did not specifically condition.’’ At facilities at which the IEP report included the driver’s name, vehicle number, address the analogous requirement in § 396.12(b)(4), date, a list of 20 items for inspection and a space this NPRM addresses the issue of ‘‘no-defect DVIRs’’ makes IME available for interchange, for the driver and mechanic to note defects. throughout Parts 390 and 396. § 390.40(i) requires that the IEP must (1)

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develop and implement procedures to burden of handling DVIR paperwork by Proposed Changes repair any equipment damage, defects, motor carriers and IEP staff. This proposed rule would revise or deficiencies identified as part of a Second, the petitioners also stated §§ 390.42(b), 396.11(b), and 396.12(b)(4) pre-trip inspection, or (2) replace the that a $.02 transaction cost is incurred to delete the sentence, ‘‘If no damage, equipment. Existing regulations provide by the IEP to retrieve the USDOT defects, or deficiencies are discovered a system of checks and balances to number through an electronic database, by the driver, the report shall so ensure that all IME offered for which is necessary for IME indicate.’’ This proposed rule also makes interchange is in safe and proper identification and completion of no- an editorial change. The language that operating condition—regardless of defect DVIR processing. However, the was originally under § 396.11(b) has whether the motor carrier prepared a Agency published a technical been split, for clarity, into three DVIR for IME that had no damage, amendment on December 29, 2009 (74 subparagraphs: § 396.11(b)(1), (2), and defects, or deficiencies at the time it was FR 68703), which introduced a fifth (3), respectively. New text, as described, returned. option for IME identification: use of an is contained in § 396.11(b)(2). Accordingly, FMCSA is proposing to electronic database system. The Agency VII. Regulatory Analyses eliminate the language of §§ 390.42(b) required that several conditions be and 396.12(b)(4) that expressly requires satisfied, specifically, that the system Executive Orders 13563 and 12866 motor carriers to prepare and transmit a not require a user-fee: (Regulatory Planning and Review) and no-defect DVIR to the IEP upon DOT Regulatory Policies and Procedures returning the IME. For consistency, the 2. The identification system shall be Agency is also proposing minor publicly-available, and offer read-only access FMCSA has determined that this amendments to § 396.11(b) to clarify for inquiries on individual items of IME action does not meet the criteria for a that no-defect DVIRs do not need to be without requiring advance user registration, ‘‘significant regulatory action.’’ either as a password, or a usage-fee. The identification prepared for items of IME. specified in Executive Order 12866 as system must be accessible through: real-time This proposed rule does not change a supplemented by Executive Order internet access via public web portal; and 13563 issued by the President on driver’s obligation to assess the toll-free telephonic access (emphasis added) condition of IME at the end of a January 18, 2011 (76 FR 3821) or within workday to determine whether the IME Because the Agency cannot validate the meaning of the Department of has defects or deficiencies that could the cost and time burden associated Transportation regulatory policies and affect the safety of its operation. with no-defect DVIRs, the Agency is procedures (44 FR 11034, February 26, Although FMCSA proposes to remove requesting that commenters to this 1979). If this rule becomes final, the the requirement to complete a DVIR if rulemaking provide their analysis of the industry would not be expected to the driver has found no defects in the DVIR process. FMCSA requests experience new costs. The proposed rule would remove the IME and none have been reported to the comments from all interested parties on requirement for drivers to submit DVIRs driver, he or she must still inspect the these questions: IME to make this determination. This when they do not have IME defects or proposed change also does not affect 1. DVIR Handling deficiencies to report. Because the requirements governing the inspection requirement for identifying IME only 1.1. Please explain in detail the came into effect in December 2010, and and completion of DVIRs for power procedures for filing and maintaining units. because information management DVIRs from the time they are completed systems and crash report forms are still Although FMCSA is proposing to through the end of their retention make the change requested by the in the process of being revised to periods. Are defect DVIRs are kept identify IEPs, the Agency does not have petitioners, it still seeks comments from separate from no-defect DVIRs, sent to all interested parties on certain aspects current data on crashes involving IME maintenance staff, and then acted on? or subject to the December 2008 rule. of the DVIR process. First, there are Do you have special procedures in place differences between the Petitioners’ and Because IEPs continue to be required to for the no-defect DVIRs? If so, please provide IME intended for interchange to FMCSA’s previously published cost and describe them. time burden estimates associated with motor carriers that is in safe and proper no-defect DVIRs. The Information 1.2. Do you have examples of specific operating condition, the Agency does Collection Request (ICR) statement incidents in which handling of a large not expect implementation of this rule referenced in the 2008 final rule 3 volume of no-defect DVIRs has to result in any change in the number estimated the time spent for a driver to interfered with handling of defect of truck crashes. Lacking independent data, FMCSA prepare a written inspection report and DVIRs? If so, please describe how these also is unable to estimate the precise provide a copy to his/her employing additional documents affected the aggregate benefits of the proposed rule. motor carrier as approximately 2 repairing of defects. minutes 30 seconds on average. 1.3. Some DVIRs are completed Regulatory Flexibility Act Additionally, 5 seconds were estimated electronically. Are the electronic DVIRs The Regulatory Flexibility Act (5 for a driver to review and acknowledge automatically or manually separated U.S.C. 601 et seq.) requires Federal the last vehicle inspection report that into defect and no-defect categories? Do agencies to determine whether proposed had noted no vehicle defects. This you have an estimate of the percentage rules could have a significant economic results in a total burden of 2 minutes 35 of forms filled out on paper and impact on a substantial number of small seconds when no defect was found, less electronically? If so, please provide entities. This proposed rule would grant than the 3 minute burden presented in detailed information on the data and regulatory relief to IEPs, which consist the petition. Neither the 2008 final rule methodology used for that estimate. of 108 entities, including steamship nor the petition evaluated the time 2. Please provide information on the lines, railroads, and chassis pool percentage of no-defect DVIRs. Also, operators. In its 2008 final rule, the 3 See the currently approved supporting statement for Inspection, Repair and Maintenance please provide a discussion of the Agency confirmed that all IEPs are Information Collection Request (ICR) (OMB control methodology for developing this either foreign-owned or otherwise do number 2126–0003). information. not meet the criteria for small business

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designation as defined by the Small Executive Order 12372 standards and are not expected to be Business Administration (73 FR 76816). (Intergovernmental Review) subject to the Environmental Protection Consequently, the Agency certifies that The regulations implementing Agency’s General Conformity Rule (40 this proposed action would not have a Executive Order 12372 regarding CFR parts 51 and 93). significant economic impact on a intergovernmental consultation on Executive Order 13211 (Energy Effects) substantial number of small entities. Federal programs and activities do not FMCSA analyzed this action under Unfunded Mandates Reform Act of 1995 apply to this action. Executive Order 13211, Actions Paperwork Reduction Act Concerning Regulations That This rulemaking does not impose an Significantly Affect Energy Supply, The Paperwork Reduction Act of 1995 unfunded Federal mandate, as defined Distribution, or Use. We determined (44 U.S.C. 3507(d)) requires that FMCSA by the Unfunded Mandates Reform Act that it is not a ‘‘significant energy action’’ consider the impact of paperwork and of 1995 (2 U.S.C. 1532, et seq.), that will under that Executive Order because it is other information collection burdens result in the expenditure by State, local, not economically significant and is not imposed on the public. We determined and tribal governments, in the aggregate, likely to have an adverse effect on the that no new information collection or by the private sector, of $140.8 supply, distribution, or use of energy. requirements are associated with this million (which is the value of $100 proposed rule. The Agency believes List of Subjects million in 2009 after adjusting for that, if promulgated, this rulemaking 49 CFR Part 390 inflation) or more in any 1 year. would result in a reduction in the Executive Order 12988 (Civil Justice information collection burden Highway safety, Intermodal Reform) associated with completing the driver- transportation, Motor carriers, Motor vehicle inspection report, but cannot vehicle safety, Reporting and This proposed action meets quantify the reduction at this time. recordkeeping requirements. applicable standards in sections 3(a) National Environmental Policy Act 49 CFR Part 396 and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize FMCSA analyzed this NPRM for the Highway safety, Motor carriers, Motor litigation, eliminate ambiguity, and purpose of the National Environmental vehicle safety, Reporting and recordkeeping requirements. reduce burden. Policy Act of 1969 (42 U.S.C. 4321 et seq.) and determined under our In consideration of the foregoing, Executive Order 13045 (Protection of environmental procedures Order 5610.1, FMCSA proposes to amend 49 CFR Children) issued March 1, 2004 (69 FR 9680), that chapter III, subchapter B, as follows: this proposed action does not have any FMCSA analyzed this action under effect on the quality of the environment. PART 390—FEDERAL MOTOR Executive Order 13045, Protection of Therefore, this NPRM is categorically CARRIER SAFETY REGULATIONS; Children from Environmental Health excluded from further analysis and GENERAL Risks and Safety Risks. We determined documentation in an environmental 1. The authority citation for part 390 that this rulemaking does not pose an assessment or environmental impact continues to read as follows: environmental risk to health or safety statement under FMCSA Order 5610.1, Authority: 49 U.S.C. 508, 13301, 13902, that may disproportionately affect paragraph 6(bb) of Appendix 2. The children. 31132, 31133, 31136, 31144, 31151, 31502, Categorical Exclusion under paragraph 31504; sec. 204, Pub. L. 104–88, 109 Stat. Executive Order 12630 (Taking of 6(y)(6) relates to ‘‘regulations concerning 803, 941 (49 U.S.C. 701 note); sec. 114, Pub. Private Property) vehicle operation safety standards,’’ L. 103–311, 108 Stat. 1673, 1677; sec. 212, such as the driver-vehicle inspection 217, 229, Pub. L. 106–159, 113 Stat. 1748, This rulemaking does not effect a reports addressed by this rulemaking. A 1766, 1767, 1773; sec. 4136, Pub. L. 109–59, taking of private property or otherwise Categorical Exclusion determination is 119 Stat. 1144, 1745 and 49 CFR 1.73. have takings implications under available for inspection or copying in 2. Revise § 390.42(b) to read as Executive Order 12630, Governmental the Regulations.gov Web site listed follows: Actions and Interference with under ADDRESSES. § 390.42 What are the responsibilities of Constitutionally Protected Property We also analyzed this proposal under section 176(c) of the Clean Air Act drivers and motor carriers operating Rights. intermodal equipment? (CAA), as amended (42 U.S.C. 7401 et Executive Order 13132 (Federalism) seq.), and implementing regulations * * * * * promulgated by the Environmental (b) A driver or motor carrier A rulemaking has implications for Protection Agency. Approval of this transporting intermodal equipment Federalism under Executive Order action is exempt from the CAA’s general must report to the intermodal 13132, Federalism, if it has a substantial conformity requirement since it does equipment provider, or its designated direct effect on State or local not affect direct or indirect emissions of agent, any known damage, defects, or governments and would either preempt criteria pollutants. deficiencies in the intermodal State law or impose a substantial direct In addition to the NEPA requirements equipment at the time the equipment is cost of compliance on them. FMCSA to examine impacts on air quality, the returned to the provider or the analyzed this proposed action in CAA also requires FMCSA to analyze provider’s designated agent. The report accordance with Executive Order 13132. the potential impact of its actions on air must include, at a minimum, the items The proposal would not have a quality and to ensure that FMCSA in § 396.11(a)(2) of this chapter. substantial direct effect on States, nor actions conform to State and local air PART 396—INSPECTION, REPAIR, would it limit the policymaking quality implementation plans. The AND MAINTENANCE discretion of States. Nothing in this additional contributions to air emissions rulemaking would preempt any State from any of the options are expected to 3. The authority citation for part 396 law or regulation. fall within the CAA de minimis continues to read as follows:

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Authority: 49 U.S.C. 31133, 31136, 31151, DEPARTMENT OF THE INTERIOR deaf (TDD), please call the Federal and 31502; and 49 CFR 1.73. Information Relay Service (FIRS) at Fish and Wildlife Service 800–877–8339. 4. Revise § 396.11(b) to read as SUPPLEMENTARY INFORMATION: follows: 50 CFR Part 17 Background § 396.11 Driver vehicle inspection [Docket No. FWS–R4–ES–2010–0007; MO report(s). 92210–0–0008 B2] Section 4(b)(3)(B) of the Act (16 U.S.C. 1531 et seq.) requires that, for * * * * * Endangered and Threatened Wildlife any petition to revise the Federal Lists (b) Report content. (1) The report shall and Plants; 12-Month Finding on a of Threatened and Endangered Wildlife identify the vehicle and list any defect Petition To List the Striped Newt as and Plants that contains substantial or deficiency discovered by or reported Threatened scientific or commercial information to the driver that would affect the safety that listing a species may be warranted, of operation of the vehicle or result in AGENCY: Fish and Wildlife Service, we make a finding within 12 months of its mechanical breakdown. Interior. the date of receipt of the petition. In this ACTION: Notice of 12-month petition finding, we determine whether the (2) For vehicles other than intermodal finding. petitioned action is: (a) Not warranted, equipment tendered by intermodal (b) warranted, or (c) warranted, but equipment providers, if no defect or SUMMARY: We, the U.S. Fish and immediate proposal of a regulation deficiency is discovered by or reported Wildlife Service (Service), announce a implementing the petitioned action is to the driver, the written report shall so 12-month finding on a petition to list precluded by other pending proposals to indicate. the striped newt (Notophthalmus determine whether species are (3) For intermodal equipment perstriatus) as threatened under the threatened or endangered, and tendered by intermodal equipment Endangered Species Act of 1973, as expeditious progress is being made to providers, if no defects or deficiencies amended (Act). After review of all add or remove qualified species from are discovered by or reported to the available scientific and commercial the Federal Lists of Endangered and information, we find that listing the driver, no written report is required. Threatened Wildlife and Plants. Section striped newt as endangered or 4(b)(3)(C) of the Act requires that we (4) In all instances where a written threatened is warranted. Currently, treat a petition for which the requested driver vehicle inspection report is however, listing the striped newt is action is found to be warranted but required, the driver shall sign the report. precluded by higher priority actions to precluded as though resubmitted on the On two-driver operations, only one amend the Lists of Endangered and date of such finding, that is, requiring a driver needs to sign, provided both Threatened Wildlife and Plants. Upon subsequent finding to be made within drivers agree as to the defects or publication of this 12-month petition 12 months. We must publish these 12- deficiencies identified. If a driver finding, we will add the striped newt to month findings in the Federal Register. our candidate species list. We will operates more than one vehicle during Previous Federal Actions the day, a report shall be prepared for develop a proposed rule to list the each vehicle operated. striped newt as our priorities allow. We On July 14, 2008, we received a petition dated July 10, 2008, from Dr. D. * * * * * will make any determination on critical habitat during development of the Bruce Means, Ryan C. Means, and 5. Revise § 396.12(b)(4) to read as proposed listing rule. During any Rebecca P.M. Means of the Coastal follows: interim period, we will address the Plains Institute and Land Conservancy status of the candidate taxon through (CPI), requesting that the striped newt § 396.12 Procedures for intermodal (Notophthalmus perstriatus) be listed as equipment providers to accept reports our annual Candidate Notice of Review (CNOR). threatened under the Act. Included in required by § 390.42 (b) of this chapter. the petition was supporting information DATES: The finding announced in this * * * * * regarding the species’ taxonomy, document was made on June 7, 2011. (b) * * * biology, historical and current ADDRESSES: This finding is available on distribution, and present status, as well (4) All damage, defects, or the Internet at http:// as a summary of actual and potential deficiencies of the intermodal www.regulations.gov at Docket Number threats. We acknowledged the receipt of equipment must be reported to the FWS–R4–ES–2010–0007. Supporting the petition in a letter to petitioners equipment provider by the motor carrier documentation we used in preparing dated August 15, 2008. In that letter we or its driver. If no defect or deficiency this finding is available for public also stated that we could not address in the intermodal equipment is inspection, by appointment, during their petition at that time because discovered by or reported to the driver, normal business hours at the U.S. Fish responding to existing court orders and no written report is required. and Wildlife Service, North Florida settlement agreements for other listing * * * * * Field Office, 7915 Baymeadows Way, actions required nearly all of our listing Suite 200, Jacksonville, FL 32256. funding. Issued on: May 27, 2011. Please submit any new information, Funding became available to begin Anne S. Ferro, materials, comments, or questions processing the petition in early 2010. Administrator, FMCSA. concerning this finding to the above On March 23, 2010, we published a 90- [FR Doc. 2011–13935 Filed 6–6–11; 8:45 am] street address. day finding (75 FR 13720) that the BILLING CODE 4910–EX–P FOR FURTHER INFORMATION CONTACT: petition presented substantial Dave Hankla, Field Supervisor, North information indicating that listing the Florida Field Office (see ADDRESSES); by striped newt may be warranted and that telephone at (904) 731–3336; or by we were initiating a status review, for facsimile at (904) 731–3045. If you use which we would accept public a telecommunications device for the comments until May 24, 2010. This

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notice constitutes the 12-month finding 2001, pp. 115–116; May et al. undated, Aquatic and breeding adults occur in on the July 14, 2008, petition to list the unpublished report). One region isolated, temporary ponds associated striped newt as threatened. consists of populations located in with well-drained sands. Sexually peninsular Florida and southeastern mature adults migrate to these breeding Species Information Georgia, and the other region consists of ponds, which lack predatory fish, and Our 90-day finding summarized much populations located in northwestern courtship, copulation, and egg-laying of the current literature regarding the Florida and southwestern Georgia (Dodd take place there. Females lay eggs one striped newt’s distribution, habitat and LaClaire 1995, p. 42; Franz and at a time and attach them to aquatic requirements, and life history, and may Smith 1999, p. 13). May et al. (2010, vegetation or other objects in the water. be reviewed for detailed information (75 undated, unpublished report) found that It may take one female several months FR 13720, March 23, 2010). Below, we there is gene flow between localities to lay all of her eggs (Johnson 2005, p. briefly summarize previously presented within each region, but none were 94). Eggs hatch and develop into information, and provide new shared between regions. Johnson (2001, externally-gilled larvae in the temporary information that we believe is relevant pp. 107, 113–115) found genetic pond environment. to understanding our analysis of the exchange between populations is Once larvae reach a size suitable for factors affecting the striped newt. minimal or nonexistent due to upland metamorphosis, they may either Taxonomy and Species Description habitat fragmentation that has limited undergo metamorphosis and exit the long-distance dispersals and restricted pond as immature, terrestrial efts, or There are three species of gene flow. In 2001, Johnson (2001, p. remain in the pond and eventually Notophthalmus found in North 115) found there was enough genetic mature into gilled, aquatic adults America. These include the eastern red divergence to show that the western (paedomorphs) (Petranka 1998, pp. 449– spotted newt (N. viridescens), the black- 450; Johnson 2005, p. 94). The spotted newt (N. meridionalis), and the region is different than the eastern regions. However, May et al. (2010, immature, terrestrial efts migrate into striped newt (N. perstriatus). The three the uplands where they mature into species are found in different areas unpublished report) did not find that there was sufficient genetic divergence terrestrial adults. Efts will remain in the throughout the United States and uplands until conditions are appropriate Mexico (Reilly 1990, p. 51). Reilly to support splitting eastern and western regions into separate species. (adequate rainfall) to return to the ponds (1990, p. 53), in his study of to reproduce. Johnson (2005, p. 94) May et al. (2010, unpublished report) Notophthalmus spp., found that N. found that 25 percent of larvae became ran niche-based distribution models that perstriatus and N. meridionalis are paedomorphs at his study pond. showed that there were significant distinct species that are more similar Paedomorphs will postpone climatic and environmental differences and phylogenetically more closely metamorphosis until after they have between the two regions when related than either is to N. viridescens. matured and reproduced. At about a In 2008, Zhang et al. (2008, pp. 586 and considering temperature and year old, they will reproduce, 592) looked at the phylogenetic precipitation. The western region is metamorphose, and migrate into the relationship (i.e., evolutionary history of characterized by lower mean uplands adjacent to the pond (Johnson an organism) of the family temperatures and more extreme winter 2005, pp. 94–95). Once there are proper Salamandridae and found that the clade cold, coupled with higher variation in conditions (e.g., adequate rainfall) at the (i.e., group of species that includes all temperature and precipitation. These ponds, the terrestrial adults will move descendents of a common ancestor) differences in temperatures and back to the ponds to court and containing newts was separate from the precipitation between the regions reproduce. Once they return to the clade containing ‘‘true’’ salamanders. should be considered if translocation ponds, they are referred to as aquatic The branching order of the clades for between regions is to be used for adults. newts are: Primitive newts conservation of this species. Striped newts as well as other (Echinotriton, Pleurodeles, and Understanding genetic structure and Notophthalmus spp. have long lifespans Tylototriton), New World newts species ecology will ensure that (approximately 12 to 15 years) in order (Notophthalmus and Taricha), Corisca- genetically similar individuals are to cope with unfavorable stochastic Sardinia newts (Euproctus), modern moved between areas with similar environmental events (e.g., drought) that European newts (Calotriton, Lissotriton, environmental conditions. can adversely affect reproduction (Dodd Mesotriton, Neurergus, Ommatotriton, Life History and Biology 1993b, p. 612; Dodd et al. 2005, p. 889; and Triturus), and modern Asian newts Wallace et al. 2009, p. 139). (Cynops, Pachytriton, and Life-history stages of the striped newt Movement of striped newts by both Paramesotriton). New World newts, are complex, and include the use of emigration and immigration occurs which include Notophthalmus, both aquatic and terrestrial habitats between ponds and surrounding originally evolved from salamandrids throughout their life cycle. Striped uplands. Adult newts immigrate into migrating from Europe to North America newts are opportunistic feeders that ponds from uplands during the fall and via the North Atlantic land bridge prey on frog eggs, worms, snails, fairy winter months, but some newts also during the Mid-Late Eocene (Zhang et shrimp, spiders, and insects (adult and immigrate during the spring and al. 2008, p. 595). larvae) that are of appropriate size summer months as well, when Another genetic study, conducted in (Dodd et al. 2005, p. 889; Christman and environmental conditions (e.g., 2010, looked at whether populations of Franz 1973, pp. 134–135; Christman and adequate rainfall) are conducive to Notophthalmus perstriatus that occur in Means 1992, pp. 62–63). Christman and breeding (Johnson 2005, p. 95). two regions separated by 125 kilometers Franz (1973, p. 135) found that newts Extended breeding periods allow striped (km) (78 miles (mi)) exhibit genetic and were attracted to frog eggs by smell. newts to adapt to temporary breeding ecological differentiation showing that Feeding behavior of newts has only habitats whose conditions fluctuate these two regions are separate been documented with aquatic adults; within seasons (Johnson 2002, p. 395). conservation units (Dodd et al. 2005, p. little is known of the feeding habits in Even with suitable water levels in 887; Dodd and LaClaire 1995, p. 42; the terrestrial stage (Dodd et al. 2005, p. ponds, adults emigrate back into Franz and Smith 1999, p. 12; Johnson 889). uplands after breeding. There is a

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staggered pattern of adult immigration striped newts due to persistent drought Habitat into ponds and eft emigration into conditions. Johnson (2002, p. 399) uplands due to the required 6 months found that heavy rainfall in the winter Ephemeral ponds are important for larvae to undergo metamorphosis of 1997 to spring of 1998 filled ponds components of upland habitat in the into efts (Johnson 2002, p. 397). to their maximum depth and southeastern United States (LaClaire Suitability of upland habitat around contributed to the reproductive success and Franz 1990, p. 9). Ephemeral ponds tend to be described as small (typically breeding ponds influences the pattern of at these ponds. At one breeding pond, less than 5 hectares (ha) (12.4 acres immigration and emigration of newts a minimum hydro-period of 139 days (ac)), isolated wetlands with a cyclic and directional movements (Dodd 1996, (Dodd 1993, pp. 609–610) was needed nature of drying and refilling known as p. 46; Dodd and Cade 1998, p. 337; for larvae to reach complete hydroperiods. Ephemeral ponds can Johnson 2003, p. 16). Dodd and Cade metamorphosis. Larvae undergo (1998, p. 337) found that striped newts hold water at various times throughout metamorphosis into efts after a period of a year to allow for reproduction. migrated in a direction that favored high 6 months, and in order for larvae to pine sandhill habitats. Newts migrate Precipitation is the most important mature into paedomorphs, a breeding into terrestrial habitats at significant water source for ephemeral ponds pond must hold water for at least a year distances from their breeding ponds. (LaClaire and Franz 1990, p. 12). The (Johnson 2005, p. 94). For a Dodd (1996, p. 46) found that 82.9 cyclical nature of ephemeral ponds percent of 12 wetland breeding paedormorph to successfully reproduce, prevents predatory fish from inhabiting amphibians (including striped newts) ponds must hold water for an additional breeding ponds (Dodd and Charest were captured 600 meters (m) (1,969 6 months to allow sufficient time for its 1988, pp. 87, 94; LaClaire and Franz feet (ft)) from the nearest wetland, and larvae to undergo metamorphosis. 1990, p. 12; Moler and Franz 1987, p. only 28 percent of amphibians were Striped newts form metapopulations 237). Ephemeral ponds are biologically captured less than 400 m (1,300 ft) from that persist in isolated fragments of unique, because they support diverse the wetland. Johnson (2003, p. 18) longleaf pine-wiregrass ecosystems species that are different than species found that 16 percent of striped newts (Johnson 2001, p. 114; Johnson 2005, p. found in larger, more permanent in his study migrated more than 500 m 95). Within metapopulations, ponds wetlands or ponds (Moler and Franz (1, 600 ft) from ponds. Dodd and Cade function as focal points for local 1987, pp. 234, 236; Kirkman et al. 1999, (1998, p. 337) showed that striped newts breeding populations that experience p. 553). travelled up to 709 m (2,330 ft) from periods of extirpation and The frequency and duration of water ponds. These long-distance movements recolonization through time (e.g., in ephemeral ponds creates different of striped newts from breeding ponds to ‘‘ponds as patches’’) (Johnson 2005, p. zones of vegetation within ponds. One terrestrial habitats suggest that buffer 95; Marsh and Trenham 2001, p. 41). species, maidencane (Panicum zones around ponds should be Striped newts typically have limited hemitomon), has been found at established to protect upland habitats, dispersal, which can lead to pond ephemeral ponds where striped newts as well as breeding ponds (Dodd 1996, isolation when stochastic events (e.g., have been found, and seems be a good p. 49; Dodd and Cade 1998, p. 337, drought) affect rates of colonization and indicator of the extent of previous Johnson 2003, p. 19; Kirkman et al. extinction (Marsh and Trenham 2001, p. flooding in ponds (LaClaire 1995, p. 88; 1999, p. 557; Semlitsch and Bodie 2003, 41). In order for striped newts to LaClaire and Franz 1990, p. 10). p. 1219). Trenham and Shaffer (2005, p. recolonize local breeding ponds within Persistence of maidencane helps to 1166) found that protecting at least 600 the metapopulation, newts must reduce the rate of oxidation of organic m (2,000 ft) of upland habitat would disperse through contiguous upland matter, reduce soil moisture loss, and maintain a population with only a 10 habitat (Dodd and Johnson 2007, p. inhibit growth and establishment of percent reduction in mean population 150). Protecting the connectivity upland plant species (LaClaire 1995, p. size in the California tiger salamander between uplands and breeding ponds of 94). The center of flooded ponds may (Ambystoma californiense). Dodd and diverse hydroperiods is crucial for contain floating-leaved plants, and is Cade (1998, p. 337) suggested that maintaining metapopulations (Dodd and surrounded by vegetation with terrestrial buffer zones need to consider Johnson 2007, pp. 150–151; Gibbs 1993, submerged roots growing along the wet both distance and direction (migratory p. 25; Johnson 2005, p. 95). Only a few edges. Surrounding the wet areas are tall patterns) when created. Johnson (2003, ‘‘ ’’ and short emergents, such as sedges, p. 19) recommended a protected area stronghold locations exist, where there grasses, and rushes such as sandweed extending 1,000 m (3,300 ft) from a are multiple breeding ponds with (Hypericum fasciculatum), followed by breeding site as upland ‘‘core habitat’’ appropriate upland habitat that allow other grasses such as bluestem grass surrounding breeding ponds. dispersal to occur among the ponds Optimal pond hydrology is important (Johnson 2005, p. 95). These (Andropogon virginicus) found in the for maintaining the complex life-history ‘‘stronghold’’ locations represent drier margins of ponds. Water-tolerant pathways of striped newts. If there is different metapopulations across the shrubs or trees are found in some not enough water in ephemeral ponds, range of the striped newt (Johnson 2005, transitional zones between pond and then larvae will not have enough time p. 95). These sites need to be protected uplands (LaClaire 1995, p. 74; LaClaire to reach the minimum size needed for and managed to provide long-term and Franz 1990, p. 10). metamorphosis and will die as ponds protection for newts. In Florida, these Ephemeral ponds are surrounded by dry up (Johnson 2002, p. 398). However, include Apalachicola National Forest, upland habitats of high pine, scrubby permanent ponds could support Ocala National Forest, Jennings State flatwoods, and scrub (Christman and predatory fish that feed on aquatic- Forest, Katherine Ordway-Swisher Means, 1992, p. 62). Longleaf pine- breeding amphibians (Johnson 2005, p. Biological Station, and Camp Blanding turkey oak stands with intact ground 94; Moler and Franz 1987, p. 235). Training Site. In Georgia, they are found cover containing wiregrass (Aristida Variable hydroperiods in breeding at Joseph Jones Ecological Research beyrichiana) are the preferred upland ponds over a long time period could Center and Fort Stewart Military habitat for striped newts, followed by result in varying reproductive success. Installation (Johnson 2005, p. 95; scrub, then flatwoods (K. Enge, Florida Dodd (1993, p. 610) found a decline in Stevenson 2000, p. 4). Fish and Wildlife Conservation

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Commission, personal communication, 11). The impacts of fire on these southeastern Georgia to the north- May 24, 2010). temporary ponds promote species central peninsula of Florida and through Striped newt habitat is fire- richness of grasses and sedges, the Florida panhandle into portions of dependent, and naturally ignited fires especially during droughts (Means 2006, southwest Georgia (Dodd et al. 2005, p. and prescribed burning maintain an p. 196). To eliminate hardwood 887). There is a 125-km (78-mi) open canopy and reduce forest floor encroachment, a prescribed fire regime separation between the western and litter. An open canopy provides sunlight should be used every 1 to 3 years during eastern portions of the striped newt’s necessary for ground cover growth May to June, in order to protect striped range (Dodd et al. 2005, p. 887; Dodd needed by newts for foraging and newt habitat (Means 2006, p. 196). and LaClaire 1995, p. 42; Franz and sheltering. Fire is also an important Striped newts use upland habitats Smith 1999, p. 12; Johnson 2001, pp. factor for wetland vegetation (LaClaire that surround breeding ponds to 115–116). The historical range of the and Franz 1990, p. 10; Means 2008, p. complete their life cycle. Efts move from striped newt was likely similar to the 4). Historically, fire would be naturally ponds to uplands where they mature current range (Dodd et al. 2005, p. 887). ignited in the uplands during the late into terrestrial adults. The uplands also However, loss of native longleaf habitat, spring and early summer, and would provide habitat for the striped newt to fire suppression, and the natural patchy sweep through the dry pond basins, forage and burrow during the non- distribution of upland habitats used by reducing organic matter and killing breeding season (Dodd and Charest striped newts have resulted in encroaching upland plant species 1988, p. 95). Striped newts also use fragmentation of existing populations (Means 2008, p. 4; Myer 1990, p. 189). uplands to access alternative ponds that (Johnson and Owen 2005, p. 2). Lack of fire in uplands that buffer are needed if the original breeding pond In Figure 1, we provide a map breeding ponds allows fire-intolerant is destroyed or the hydroperiod is illustrating the current and historical hardwoods to shade out herbaceous altered (Means 2006, p. 197). This ranges of the striped newt on public understory needed by striped newts for shows the interdependence between lands. The dark-shaded areas represent foraging and sheltering. As a result, fire upland and aquatic habitats in the the currently occupied sites shadows may form along the upslope persistence of populations (Semlitsch documented from 2005 to 2010 surveys wetland and upland boundary. The and Bodie 2003, p. 1219). Semi-aquatic of public lands (Enge, FWC, personal vegetation in this area contains fire- species (such as the striped newt) communication, 2010; Jensen, Georgia intolerant evergreen shrubs (Ilex spp., depend on both aquatic and upland Department of Natural Resources Vaccinium spp., Myrica spp., and habitats for various parts of their life (GDNR), personal communication, Ceratiola spp.) and sometimes xeric oak cycle in order to maintain viable 2010). The light-shaded areas represent hammock zones (LaClaire and Franz populations (Dodd and Cade 1998, pp. the historical range where striped newts 1990, p. 11). Ponds that are completely 336–337; Johnson 2001, p. 47; Semlitsch are now extirpated. There are from 1 to burned from the upland margin to the 1998, p. 1116; Semlitsch and Bodie 30 breeding ponds documented within opposite margin lack this vegetation; 2003, p. 1219). dark shaded areas. However, due to the however, if the ponds are filled with scale of the map, the specific ponds are Distribution water, fire will burn out at the pond, not identified. This map represents the and allow the invasion of fire-intolerant The range of the striped newt extends best available information used to hardwoods (LaClaire and Franz 1990, p. from the Atlantic Coastal Plain of establish the species’ range.

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To determine where there may be The GIS analysis found a total of Florida (Enge, FWC, personal additional unsurveyed suitable habitat 244,576 ha (604,360 ac) of potential communication, 2010). Striped newts for striped newts in Florida, Endries et habitat (Endries et al. 2009, p. 45). Of are also found in ponds throughout al. (2009, pp. 45–46) developed a the potential habitat, 122,724 ha Peninsular Florida at Ordway-Swisher striped newt habitat model. The model (303,257 ac) occurred on 124 sites Biological Station, Camp Blanding Joint was developed using Florida Fish and within public lands, but only 64 of these Training Center, Jennings State Forest, Wildlife Conservation Commission sites had greater than 40 ha (100 ac) of Goethe State Forest, Rock Springs State (FWC) 2003 landcover classes. Three potential habitat. The remaining habitat Park, Ft. White Mitigation Park, Faver- classes were identified: (1) Breeding was found on privately owned lands in Dykes State Park, and Pumpkin Hill (bay, cypress swamp, freshwater marsh, patches that were greater than 79 ha Creek Preserve State Park. wet prairie), (2) primary upland (195 ac) (Endries et al. 2008, pp. 45–46). Within the panhandle of Florida, (sandhill, xeric oak scrub, sand pine Of the potential habitat found on public striped newts have been found within scrub), and (3) secondary upland lands, 55 percent occurred on Ocala the Munson Sandhills. This site (hardwood hammocks and forests, National Forest (ONF), 8 percent on represents a small physiographic region pinelands, and shrub and brushlands). Camp Blanding Military Installation, 6 within the Gulf Coastal Plains in Florida Then potential habitat was evaluated for percent on Withlacoochee State Forest, (Means and Means 1998a, p. 3). Striped 5.3 percent on Apalachicola National each class. Breeding habitat was limited newts have only been located in the Forest (ANF), and 2.9 percent on to patches that were less than 9 ha (22 western portion of the Munson Jennings State Forest (Enge, FWC, ac) in size and which were contiguous Sandhills within the ANF. No newts personal communication, 2010). have been found in the eastern portion with upland habitats. The primary However, no records of striped newt of the sandhills since the 1980s, when upland habitats included in the model occurrences have been found at the area was converted to a dense sand were those areas contiguous and within Withlacoochee State Forest, even pine (Pinus clausa) plantation (Means 1,000 m (3,300 ft) of breeding habitat. though this appears to be suitable and Means 1998a, p. 6). Striped newt Secondary upland habitat was included habitat. Ocala National Forest has distribution continues north of this site for areas that were contiguous and 67,514 ha (166,831 ac) of potential to the Tallahassee Red Hills and Tifton within 500 m (1,600 ft) of primary habitat and 39 occupied ponds, making Uplands, and finally to the Dougherty uplands and 1,000 m (3,300 ft) of it the largest ‘‘stronghold’’ for Plain in southwestern Georgia. breeding habitat. metapopulations for striped newts in However, the Tallahassee Red Hills no

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longer support the newt. Striped newts but also found 34 new ponds containing survey 8 ponds on 2 private lands, and were documented once in a breeding newts were that were not part of the found newts on at least one site. pond found in the Red Hills, but this historical records. All 38 breeding Striped newt breeding ponds at ANF site was dredged, deepened, and ponds were found on 7 public lands that and other areas within the Munson stocked with game fish in the 1980s, included ANF, Camp Blanding Military Sandhills region in Leon County, and no longer supports newts (Means Reservation, Favor-Dykes State Park, Florida, have seen a decline. ANF was and Means 1998b, pp. 6, 15). Jennings State Forest, Katharine Ordway once considered a metapopulation for The striped newt is currently known Preserve-Swisher Memorial Sanctuary, striped newt (Johnson 2005, p. 95; to occur in five separate locations in ONF, and Rock Springs State Preserve Johnson and Owen 2005, p. 7; Enge, Georgia, including Fort Stewart, Lentile (Franz and Smith, 1999, pp. 8–9). FWC, personal communication, 2010). Property, Joseph W. Jones Ecological Johnson and Owen (2005, p. 7) visited However, the western Munson Research Center (JJERC), Fall Line 51 sites in 11 counties in Florida from Sandhills in ANF was surveyed from Sandhills Natural Area, and Ohoopee 2000 to 2003 that overlapped with the 1995–2007, and researchers were only Dunes Natural Area (J. Jensen, GDNR, sites visited by Franz and Smith. They able to locate 18 breeding ponds personal communication, September 14, found that of 51 sites visited (totaling 64 (containing larvae or breeding adults) in 2010; L. Smith, JJERC, personal ponds), only 26 ponds and adjacent 265 ephemeral ponds surveyed (Means communication, September 11, 2010; upland habitat had excellent habitat and Means 1998a, p. 5). Means et al. Stevenson 2000, p. 4; Stevenson and quality (e.g., multiple ephemeral ponds (2008, p. 6) found only 5 adult striped Cash 2008, p. 252; Stevenson et al. surrounded by fire-maintained native newts and no larvae in the past 10 years. 2009a, pp. 2–3). Most of these locations uplands) capable of supporting striped Since 2000, severe drought conditions are within the Dougherty Plain (Baker newts. Only 4 of these 26 sites had were experienced at these ponds, and Co.), Tifton Uplands (Irwin, Lanier, and multiple breeding ponds needed to newts were shown to be declining. Lowndes Counties), and the Barrier comprise metapopulations. They were Recent surveys conducted in the Island Sequence (Bryan, Camden, found in Clay, Marion, and Putnam Munson Sandhills in 2010 were not able Charlton, Evans, and Long Counties) Counties in Camp Blanding Military to locate any striped newts at any of the (Dodd and LaClaire 1995, pp. 40–42). Reservation (Clay), Jennings State Forest breeding ponds (Means, CPI, personal From 1993 to 1994, Dodd and LaClaire (Clay), Ocala National Forest (Marion), communication, 2010). The precipitous (1995, p. 40) found striped newts in one and Katherine Ordway Preserve-Swisher apparent declines now being seen at pond each at five sites in Irwin, Baker, Memorial Sanctuary (Putnam) (Johnson ANF could occur elsewhere on and Charlton Counties, and a series of and Owen 2005, p. 7). protected lands within the striped ponds at Ft. Stewart in Bryan and Evans newt’s range, despite the protection of From 2005 to 2010, Enge (FWC, Counties. A pond in Baker County at habitat. This indicates that perhaps personal communication, 2010) JJERC was found to be a new location, other threats (e.g., disease and drought) surveyed ponds in suitable habitat on 32 and extends the known range west of may continue to act on the species at conservation lands in Florida. He found the Flint River approximately 115 km these sites. (71 mi) farther from the nearest recorded breeding ponds with newts in 58 ponds As mentioned above, striped newts site (LaClaire et al. 1995, pp. 103–104; on 11 of the 32 conservation lands. He have only been found at five locations Franz and Smith 1999, p. 13). Striped also found that although newts had a in Georgia, and these sites are highly newts were first found on Trail Ridge in wider range in Florida than Georgia, fragmented and isolated (Stevenson 1924 near Okefenokee National Wildlife they remained abundant only on public 2000, p. 4). An amphibian survey on Refuge (ONWR), but this area has been lands in Clay, Marion, and Putnam 196 ephemeral ponds in 17 counties on highly modified since the 1940s (Dodd Counties. This is consistent with the timber company lands in the Coastal 1995, p. 44; Dodd and LaClaire 1995, surveys conducted by Franz and Smith Plain of southeastern Georgia did not pp. 39–40), and newts are no longer (1999, pp. 8–9) and Johnson and Owen locate any striped newts in Georgia; found in this area, except for possibly in (2005, p. 7). He found that there were however, striped newts were found in the ONWR. In 2008, a new striped newt a total of 49 extant populations known four ponds in Florida (Wigley 1999, pp. site was found in Georgia in Camden from the peninsula of Florida and 7 5–10). Stevenson (2000, p. 3) looked at County, which is the first record for this populations from the panhandle. An 25 historic striped newt localities in county since 1953 (Stevenson et al. isolated breeding pond farther than Georgia and was only able to find 2 sites 2009b, p. 248). 1,000 m (3,300 ft) from the closest other (8 percent) that had multiple breeding breeding pond represents a separate ponds and upland habitat that would Population Status and Trends population (Enge, FWC, personal support striped newt populations. As of Surveys have been conducted for communication, 2010). The striped 2010, only 2 properties in the State are striped newts at many sites within newt metapopulations (i.e., multiple known to support viable populations: Florida and Georgia. These surveys have breeding ponds with enough upland to JJERC and Fort Stewart Army Base found that the number of known allow for dispersal) are now only found (Jensen, GDNR, personal occupied sites has declined and on public lands in Clay, Putnam, and communication, 2010; Stevenson et al. occupied sites are limited to just a few Marion Counties. Populations still exist 2009a, p. 2). The Fort Stewart counties. However, historical in 10 other counties in Florida, but population lies within the range of the information on the location of striped these counties have fewer than 3 eastern genetic group on the Atlantic newts is difficult to confirm, as most of breeding ponds and these populations Coastal Plain and was represented by these sites underwent substantial land are considered vulnerable to extirpation approximately 10 known wetlands. use changes since newts were first (Enge, FWC, personal communication, Since 2002, striped newts have been collected (Dodd et al. 2005, p. 887). 2010). found at only one wetland at Fort Franz and Smith (1999, p. 8) reviewed The status of the striped newt is Stewart (Stevenson et al. 2009, p. 2). 100 records from 20 counties in Florida unknown on private lands due to the The JJERC population lies within the between 1922 and 1995, and conducted difficulty in accessing these lands; range of the western genetic group on surveys between 1989 and 1995. They however, Enge (FWC, personal the Gulf Coastal Plain, and is found that 4 historical ponds had newts, communication, 2010) was able to represented by 5 known wetlands. In

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annual surveys from 2002 to 2010, habitats have been destroyed or Silvicultural practices, including researchers confirmed striped newts modified in the past due to: (1) mechanical site preparation, pond from only 3 of these 5 known wetlands Conversion of habitat to intensely ditching, soil disturbance, and the use (Smith, JJERC, personal communication, managed, planted pine plantations or of fertilizer and herbicides, can interfere 2010). Evidence suggests that both the naturally regenerated stands (Dodd with migration and successful eastern and western striped newt 1995b, p. 129; Wear and Greis 2002, p. reproduction (Dodd 1995b, p. 130; Dodd populations in Georgia are rare and 46); (2) loss of habitat resulting from and LaClaire 1995, pp. 43–44; Means declining. Most suitable striped newt urban development (Zwick and Carr and Means 2005, pp. 59–60; Means habitat in Georgia has been lost to 2006, pp. 4–6); (3) degradation of habitat 2008, p. 29). Pond ditching, which is development or converted to pine due to fire suppression (Means 2008, used to drain ponds to create ideal plantations and silviculture (Dodd and pp. 27–28); and (4) degradation of the conditions for silvicultural operations, LaClaire 1995, p. 43). habitat by the use of off-road vehicles is detrimental to striped newts, because and road construction (Means 1996, p. it alters pond hydrology and facilitates Summary of Information Pertaining to 2; Means 2001; p. 31, Means 2003 p. 6; predatory fish movement into otherwise the Five Factors Means et al. 1994a., pp. 5–6). fishless ponds (Means 2008, p. 30). Section 4 of the Act (16 U.S.C. 1533) Ditching creates a shortened Natural Pine Forest Conversion and its implementing regulations (50 hydroperiod, reducing the amount of CFR 424) set forth procedures for adding Natural pine forests (i.e., longleaf pine time striped newts have to undergo species to the Federal Lists of forest) that once were found from metamorphosis, which can eventually Endangered and Threatened Wildlife southeastern Virginia through eastern decrease the number of reproducing and Plants. Under section 4(a)(1) of the Texas have declined to about 13 million adults (Means 2008, p. 31). ha (33 million ac), and planted pine Act, a species may be determined to be Urban Development endangered or threatened based on any plantations increased to more than 12 of the following five factors: million ha (30 million ac) by 1999 Alteration of upland habitat to urban (A) The present or threatened (Dodd 1995b., p. 129; Wear and Greis development can create habitat destruction, modification, or 2002, p. 46). There are presently about fragmentation and loss of curtailment of its habitat or range; 11 million ha (27 million ac) of metapopulations of striped newts. In 10 (B) Overutilization for commercial, managed pine plantations where natural coastal Georgia counties, the human recreational, scientific, or educational longleaf pines were once found (Frost population is expected to increase 51 purposes; 2006, p. 36). Within the longleaf pine percent by 2030 (Center for Quality (C) Disease or predation; ecosystem in the South’s coastal plains, Growth and Regional Development (D) The inadequacy of existing only 2.2 percent of the original range 2006, p. 4), but no estimate of impact on regulatory mechanisms; or exists (Frost 2006, p. 13; Wear and Greis native habitats was provided. Striped (E) Other natural or manmade factors 2002, p. 66). Between 1936 and 1989, newts have been found within 5 of these affecting its continued existence. longleaf pine forests within the range of counties in Georgia, including Bryan, In making this finding, information the striped newt in Florida decreased Camden, Long, Liberty, and Screven pertaining to the striped newt in from more than 3 million ha (7.6 million Counties (Franz and Smith 1999, p. 13, relation to the five factors provided in ac) to only 384,500 ha (950,000 ac), an Stevenson 2000, pp. 6–7). Zwick and section 4(a)(1) of the Act is discussed 88 percent decrease (Dodd 1995b., p. Carr (2006, pp. 4–6) modeled human below. 129). Longleaf pine forest in Georgia population growth in Florida, and In considering whether a species may declined 36 percent between 1981 and concluded that 2.8 million ha (7 million warrant listing under any of the five 1988 (Dodd 1995b., p. 129). ac) of land will be converted to urban factors, we look beyond the species’ Habitat loss from the conversion of use by 2060. Of the 2.8 million ha (7 exposure to a potential threat or natural pine forests to intensely million ac), they estimated that about aggregation of threats under any of the managed, planted pine plantations has 1.1 million ha (2.7 million ac) of native factors, and evaluate whether the greatly disrupted the dispersal of striped habitat would be destroyed to species responds to those potential newts between breeding ponds and accommodate urban development threats in a way that causes actual upland habitat. Means and Means (Zwick and Carr 2006, p. 2). It is impact to the species. The identification (1998a, p. 6) found that striped newt predicted that more than 800,000 ha (2 of threats that might impact a species habitat at the Munson Sandhills varied million ac) of native habitat in Florida negatively may not be sufficient to due to differences in silvicultural will be developed by 2060 within a mile compel a finding that the species practice between the eastern and of public conservation lands (Zwick and warrants listing. The information must western portions of the Sandhills. In the Carr 2006, p. 19; FWC 2008, p. 8). Urban include evidence indicating that the western portion of the Sandhills found sprawl where newts occur will fragment threats are operative and, either singly within ANF, native groundcover striped newt ponds from upland or in aggregation, affect the status of the remains in the second-growth longleaf habitats. This will limit movement of species. Threats are significant if they pine forests, where striped newts spend newts between breeding ponds and drive, or contribute to, the risk of most of their adult life. However, the make them more vulnerable to extinction of the species, such that the eastern portion of the Munson Sandhills extinction, as the genetic viability of the species warrants listing as endangered has been clear-cut and roller-chopped, newts declines (FWC 2008, p. 8). or threatened, as those terms are defined and planted in sand pine (Pinus clausa), Powerlines and natural gas rights-of- in the Act. which is now a closed canopy with little ways impact groundcover associated native groundcover. Surveys of ponds with longleaf pine adjacent to breeding Factor A. The Present or Threatened located in the eastern Munson Sandhills ponds, creating barriers to dispersal and Destruction, Modification, or found no striped newts after the site was eventually decreasing populations Curtailment of Its Habitat or Range converted to sand pine plantations (Means 2001, pp. 31–32). Striped newt Striped newts have been found to use (Means and Means 1998a, p. 4; Means habitat in the Tallahassee Red Hills has both aquatic and upland habitats and Means 2005, pp. 58–59; Means been impacted by urban sprawl and throughout their life cycle. Most of these 2008, p. 30). land conversion from 1824 to the

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present, and has resulted in the grasses used by the newts along the Summary of Factor A extirpation of striped newts from this pond margins (Means 2006, p. 196). We have identified a number of area (Means and Means 1998b, p. 8). In Florida, some public land managers threats to striped newt habitat that have Small, isolated wetlands support do not currently have the resources to resulted in the destruction and breeding populations of striped newts. implement effective habitat modification of habitat in the past, are However, small, ephemeral wetlands management programs (Howell et al. continuing to threaten habitat now, and (less than 0.2 ha (0.5 ac)) receive no 2003, p.10). In a questionnaire to State, are expected to continue to threaten protection from development (Johnson Federal, and local land managers striped newt habitat in the future. 2003, p. 19; Dodd and Cade 1998, p. throughout Florida, the Service asked Indications are that the loss of habitat 337; see discussion under Factor D what impediments they had in due to conversion of natural pine forests below). The loss of these small, effectively using prescribed fire to to more intense silvicultural ephemeral wetlands can potentially manage scrub, a fire-maintained management regimes will continue in increase extinction rates of newts by ecosystem. Many respondents indicated interior portions of the range of the limiting migration between ponds and that funding, staff, and smoke striped newt. Striped newt habitat corridors, thus decreasing management issues substantially recolonization of local populations within the species’ range in Florida and reduced their ability to burn (Service Georgia is currently threatened with (Gibbs 1993, pp. 25–26; LaClaire and 2006, Excel spreadsheet; Thomson 2010, Franz 1990, p. 13; Semlitsch and Bodie habitat loss and modification resulting p. 12). Less than 25 percent of public from urban development. Habitat loss 1998, pp. 1131–1132). Green (2003, p. land managers had been ranked as 341) concluded that pond-breeding and fragmentation due to urban having an excellent prescribed burn development and road construction is amphibians, like striped newts, that program (Florida Department of have highly fluctuating populations and expected to continue in the future. Lack Environmental Protection 2007, p. 1). of, or inappropriate use of, prescribed high frequencies of local extinctions are On most public lands in Florida, striped likely to be affected rapidly by habitat fire is ongoing and likely to continue in newt habitat is likely to continue to the future, and has adverse effects on fragmentation. The loss of breeding degrade unless land management ponds due to habitat destruction will striped newt habitat and extant funding and staffing increase in the populations. On the basis of this reduce corridors and limit migration future. between the ponds and the uplands. analysis, we find that the destruction, Off-Road Vehicles and Road Impacts modification, or curtailment of the Prescribed Fire striped newt’s habitat is currently a Prescribed fire plays an important role Means et al. (1994, pp. 6–7; 2008, pp. threat and is expected to persist and in maintaining productive breeding 11 and 16) found that their study ponds possibly escalate in the future. Because ponds for striped newts (Kirkman et al. at the Munson Sandhills in ANF off- this threat is ongoing and we expect it 1999, p. 556). Burning in dry ponds is road vehicle (ORV) use had degraded will continue over the coming decades; also necessary to maintain the quality of the littoral zone of the breeding ponds we consider the threat to be imminent. vegetation needed for striped newts into barren sandy beaches unsuitable for However, based on the large amount of (Johnson 2005, p. 97). Fire suppression striped newts. The littoral zone provides potential habitat that is currently in at many sites with newt breeding ponds shallow, warm water where small public ownership, and fact that most of has been concurrent with the aquatic invertebrates are concentrated, the known striped newt ponds are on conversion of uplands to pine providing food for newts. ORV use also conservation lands, we believe the plantations (Johnson 2005, p. 97). Lack destroys the grasses and grass-like magnitude of this threat is moderate. of fire can result in the succession of vegetation around the ponds needed by Based upon our review of the best natural pine forests converting to fire- newts for protection from predators commercial and scientific data intolerant species, dominated by such as wading birds (Means et al. 2008, available, we conclude that the present hardwoods (Means 2008, pp. 27–28). p. 11). In 1994, 27 of 100 ponds at ANF or threatened destruction, modification, Wear and Greis (2002, pp. 46–47) found were found to be damaged by ORV use, or curtailment of its habitat or range is that 3.9 million ha (9.7 million ac) of including 3 of 18 striped newt ponds an imminent threat of moderate natural pine forest throughout the (Means et al. 1994, pp. 6–7). By 2006, magnitude to the striped newt, both Southeast were reclassified to hardwood ORV impacts were documented at now and in the foreseeable future. and natural oak-pine forests. Of the nearly every pond at ANF (Means et al. remaining longleaf pine habitat in the 2008, p. 16). However, by 2010, the ANF Factor B. Overutilization for southeast, only 0.2 percent is managed closed the Munson Sandhills to ORV Commercial, Recreational, Scientific, or with fire and can support native use to protect the striped newt ponds Educational Purposes longleaf pine species of plants and (Petrick, USFS, personal The petition provided information animals, including striped newts (Frost communication, 2010; see discussion that striped newts were collected and 2006, p. 38). The succession of natural under Factor D below). sold during the 1970s and 1980s. pine forest to more shade-tolerant Striped newts dispersing from However, in our 90-day finding (75 FR species, such as oaks and hickories, can breeding ponds to upland habitat are 13720, March 23, 2010), we determined result in the loss of ground cover, such also impacted by roads and highways. that there was no evidence to support as wire grass, needed by striped newts These impacts usually result in direct the existence of any threat under this for shelter and foraging (Means 2001, p. road mortality; desiccation of small, factor. We obtained no additional 31). Frequencies of prescribed burns in moist-bodied animals (like newts) on information during the status review to these uplands need to take place in a 1- dry asphalt; and increased exposure of indicate that this factor is currently a to 3-year cycle to provide suitable these small animals to aerial predation threat to the species or will become a habitat for striped newts (Johnson and (Means 1996, p. 2). At one study pond threat in the foreseeable future. Gjerstad 2006, pp. 287–292). This would in ANF, Means (2003, p. 6) found that Therefore, based on our review of the also reduce the naturally woody most striped newts were emigrating and best available scientific and commercial components around the ephemeral immigrating to and from the breeding information, we conclude that the ponds, and stimulate flowering of pond across a major highway, U.S. 319. striped newt is not threatened by

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overutilization for commercial, the disease. The presence of this disease become more susceptible to disease recreational, scientific, or educational in the range of the striped newt is not outbreaks, which could potentially purposes now or in the foreseeable confirmed, but is a potential cause for result in some localized population future. concern, given the deleterious effect of extinctions, as has occurred with similar the disease on other amphibian species. species. Because, from the best available Factor C. Disease or Predation A group of viruses belonging to the information, we do not know if disease In our 90-day finding (75 FR 13720, genus Ranavirus has been shown to is currently affecting the striped newt March 23, 2010), we found no evidence affect some local populations and cause populations, but we believe it is likely that predation was a threat to the striped localized die-offs of amphibians (Gray et that it will in the coming decades, we newt, and we obtained no additional al. 2009a, p. 244). The Ranavirus could consider this threat to be nonimminent. information during the status review be affecting populations of the striped Since disease has resulted in loss to that would change that finding. As to newt, but it is difficult to detect in less similar amphibian species, and disease, below we summarize what was abundant species (Gray et al. 2009a, p. additional stressors (e.g., habitat loss, previously stated in the 90-day finding 244), and we do not have confirmation drought, and climate change) might (75 FR 13720, March 23, 2010), as well that it is present in striped newt make some populations of striped newts as additional information obtained populations. However, Green et al. more vulnerable to disease, the during the status review. (2002, p. 334) found that Ranavirus was magnitude of this threat is moderate. Disease can be difficult to detect in the most frequent cause of amphibian Based upon our review of the best pond-breeding amphibians. In addition, mortality in at least 10 species, commercial and scientific data the rarity of striped newts increases the including the spotted salamander available, we conclude that disease is a difficulty of documenting mortality in (Ambystoma maculatum) and eastern nonimminent threat of moderate the species. However, there are reasons newt, so this virus may be impacting magnitude to the striped newt within to believe that disease may be a possible striped newt populations in breeding the foreseeable future. factor in the decline of striped newts. ponds where other subspecies of eastern Chytridiomycosis (a disease caused by newts, such as the central newt Factor D. The Inadequacy of Existing Batrachochytrium dendrobatidis) is (Notophthalmus viridescens Regulatory Mechanisms implicated or documented as a louisianensis), are found. There are two There is currently little Federal and causative agent in many New World reasons for the emergence of Ranavirus State protection of isolated wetland amphibian declines (Blaustein and in amphibian populations: (1) Reduced habitat and surrounding upland Johnson 2003, p. 91). Ouellet et al. amphibian immunity associated with habitats. While many States in the (2005, p. 1434) documented the chytrid increased occurrence of anthropogenic southeastern United States regulate fungal infections in the eastern newts stressors (e.g. drought), and (2) those activities affecting wetlands that (N. viridescens) in North America. A introduction of Ranavirus strains into are exempt from section 404 of the subspecies of the eastern newt, the amphibian populations by humans Federal Clean Water Act (CWA) (33 central or common newt (N. v. (Gray et al. 2009b, p. 2). U.S.C.1251 et seq.), Florida is the only louisanensis), has been found in the Another recently described disease, State known to regulate isolated same ponds as the striped newt at ANF caused by a fungus-like protist wetlands. In Georgia, there are no State and other ponds in North Florida (Amphibiocystidium viridescens), has laws that protect isolated wetlands. (Means 2007, p. 19; Means 2001, pp. been reported in eastern newt Lack of protection for upland habitat 19–21; Means et al. 1994, pp. 9–10 and populations (Raffel et al. 2008, p. 204). under wetland statutes can result in loss 30–32). The effect of the disease on Specifically, evidence of mortality and of recruitment of efts and paedomorphs striped newts is unknown; however, morbidity due to infection with this into the breeding adult population, California newts (Taricha torosa) have disease, and the potential importance of which would reduce the potential for tested positive for the pathogen in secondary infections as a source of the population to persist (Semlitsch ponds where a die-off of the species was mortality, were reported (Raffel et al. 1998, p. 1116). previously reported (Padgett-Flohr and 2008, p. 204). Also, Cook (2008) found Federal Statutes and Regulations Longcore 2007, p. 177). a striped newt in captivity to be infected Some researchers believe that disease with a protistan parasite that has caused The CWA regulates the dredge and fill pathogens represent one of the potential disease in other species of amphibians. activities that adversely affect wetlands. causes of decline of the striped newt This parasite, currently identified as Section 404 of CWA regulates the (Blaustein and Johnson 2003, pp. 87– Demomycoides spp. (Cook 2007, p. 2), discharge of dredge or fill materials into 92). The presence of chytrid fungal caused disease resulting in a complete wetlands. Discharges are commonly infections could particularly threaten loss of recruitment of the Mississippi associated with projects to create dry populations of striped newts, as they gopher frog population in Harrison land for development sites, water- may not have the resiliency to recover County, Mississippi, in 2003. control projects, and land clearing. The after a population crash caused by this U.S. Army Corps of Engineers (COE) disease (Ouellet et al. 2005, p. 1437). Summary of Factor C and the U.S. Environmental Protection Further, the effect of this disease could We have found that several of the Agency (EPA) share the responsibility be exacerbated by other stressors, such diseases mentioned above have resulted for implementing the permitting as habitat degradation and climate in mortality of species similar to the program under section 404 of the CWA. change (Blaustein and Johnson 2003, p. striped newt, such as the eastern newt EPA and COE provided a guidance 91; Ouellet et al. 2005, p. 1432; (which is in the same genus as the memorandum for implementing recent Rothermel et al. 2008, pp. 3, 13). Daszak striped newt). Drought conditions are court cases addressing jurisdiction over et al. (2005, p. 3236) found that the predicted to be more severe and longer waters of the United States under the impact of Batrachochytrium in the coming years. As drought (see CWA, specifically addressing the term dendrobatidis on amphibians can vary discussion under Factor E below) and ‘‘navigable waters’’ (EPA and COE 2001, among species, and several factors, such loss of habitat (see discussion under pp. 1–7; EPA and COE 2008, pp. 1–13). as climate (i.e., drought) and life-history Factor A above) continue to act as It is clear from this guidance that traits, can affect the species’ response to stressors, striped newt populations may isolated wetlands are not considered

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waters of the United States under the management activities within the refuge Mayport, and Naval Submarine Base ‘‘navigable waters’’ definition and thus system. Kings Bay. However, the INRMPs do not are not provided protection under the On military installations, the include specific management measures CWA. Further wetland regulations are Department of Defense (DOD) must for the striped newt. reviewed by the COE for the conserve and maintain native The Forest and Rangeland Renewable development of wetlands less than 1.2 ecosystems, viable wildlife populations, Resources Planning Act (16 U.S.C. 36),of ha (3 ac) under a permit called Federal and State listed species, and 1974, as amended by the National Forest Nationwide Permit 26 (Kirkman et al. habitats as vital elements of its natural Management Act of 1976 (16 U.S.C. 1999, p. 553; Snodgrass et al. 2000, p. resource management programs, to the 1600 et seq.), requires that each national 415). extent these requirements are consistent forest be managed under a forest plan The Department of the Interior, with the military mission (DOD which must be revised every 10 years. through the Service, administers the Instruction 4715.3). Amendments to the Regulations governing preparation of National Wildlife Refuge System. The Sikes Act (16 U.S.C. 670 et seq.) require forest plans are found in 36 CFR 219. National Wildlife Refuge System each military department to prepare and The purpose of a forest plan is to Administration Act of 1966 (NWRAA; implement an integrated natural provide an integrated framework for 16 U.S.C. 668dd–668ee) provides resources management plan (INRMP) for analyzing and approving future, site- legislation for the administration of a each installation under its jurisdiction. specific projects and programs, national network of lands and water for The INRMP must be prepared in including conservation of listed species. cooperation with the Service and State Identification and implementation of the conservation, management, and fish and wildlife agencies, and must land management and conservation restoration of fish, wildlife, and plant reflect the mutual agreement of these measures to benefit striped newts vary resources and their habitats for the parties concerning conservation, between forests. For example, on the benefit of the American people. protection, and management of wildlife National Forests in Florida, striped Amendment of the NWRAA in 1997 resources (16 U.S.C. 670a). Each INRMP newts are not designated as a species for requires the refuge system to ensure that must provide for wildlife, land and which special management the biological integrity, diversity, and forest management, wildlife-oriented prescriptions are implemented. There environmental health of refuges be recreation, wildlife habitat are no specific land management maintained and requires development enhancement, wetland protection, objectives for striped newts on the and implementation of a comprehensive sustainable public use of natural National Forests in Florida. The Land conservation plan (CCP) for each refuge. resources that are not inconsistent with and Resource Management Plan for the The CCP must identify and describe the the needs of wildlife resources, and National Forests in Florida (U.S. Forest wildlife and related habitats in the enforcement of natural resource laws Service 1999, entire) provides for the refuge and actions needed to correct (16 U.S.C 670a). DOD regulations restoration of longleaf pine forest significant problems that may adversely mandate that resources and expertise through various management areas affect wildlife populations and habitat needed to establish and implement an located at Apalachicola National Forest (16 U.S.C. 668dd(e)). Striped newt integrated natural resources (ANF) and Ocala National Forest (ONF). habitat within national wildlife refuges management program are maintained Metapopulations of striped newts are is protected from loss due to urban (DOD Instruction 4715.3). These found at both of these forests. However, development. Striped newts have regulations further define the INRMP a decline of striped newt populations at historically been observed at St. Marks requirements, and mandate that plans ANF has occurred over the past 10 years National Wildlife Refuge (SMNWR) in be revised every 5 years and that they (Means et al. 2008, p. 6). Florida and Okefenokee National ensure the military lands suitable for State Statutes and Regulations Wildlife Refuge (ONWR) in Georgia. management of wildlife are actually Striped newts were historically found at managed to conserve wildlife resources Generally, State statutes and ONWR in the 1920s, but the only known (DOD Instruction 4715.3). regulations protect striped newts from breeding pond was last occupied by The effectiveness of individual take, but the effectiveness and newts in 1994. Aicher (ONWR, personal INRMPs to protect striped newts vary implementation of regulations vary communication, September 14, 2010) between and within military between States. The striped newt is not has not found striped newts at ONWR, departments. Because the striped newt currently a State-listed species in even though this breeding pond is still is not a protected species in Florida, the Florida. However, the ephemeral ponds in good condition with well-maintained INRMP for Camp Blanding Military in Florida have some protection under uplands surrounding it. At SMNWR, Installation does not specifically Florida State regulations. The five Water surveys conducted in 2002–2005 and address management programs for this Management Districts (WMDs) and the again in 2009 were not able to locate species. However, management Florida Department of Environmental any newts at 34 ponds (Enge, FWC, activities that benefit the red-cockaded Protection (FDEP) regulate wetland personal communication, 2010; Dodd et woodpecker and gopher tortoise, such protection. The WMDs include isolated al. 2007, p. 29). The last known as prescribed burning, should also wetlands in the Environmental Resource observation was in 1978, but now the benefit the striped newt. The striped Permit process, which requires a permit habitat appears to be too degraded to be newt is listed as threatened by the State for any activities that would impact a suitable for striped newts due to the of Georgia, so the INRMP for Fort wetland (SJRWMD 2010, p. 1). Under lack of fire. Striped newts may Stewart Range and Garrison does the WMDs permitting process, indirectly benefit from fire management address the specific conservation and mitigation for impacts to wetlands programs intended to maintain and management of this species. below a minimum permitting threshold restore habitat for species such as the The Navy does incorporate protective size of 0.2 ha (0.5 ac) is not addressed red cockaded woodpecker (Picoides ecosystem management into INRMPs for unless the wetland supports an borealis) and gopher tortoise (Gopherus Naval Air Station Jacksonville (and endangered or threatened species, is polyphemus), but no systematic associated Rodman Bombing Range, connected by standing or flowing monitoring programs are in place to Pinecastle Range, and Outlying Landing surface water at seasonal high water evaluate striped newt responses to land Field Whitehouse), Naval Station level to one or more wetlands that total

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more than 0.2 ha (0.5 ac), or is of more rules and regulations impede However, recent changes at ANF and than minimal value to fish and wildlife construction of any type (Ga. Code Ann. ONF have made ORVs off-limits in the (SJRWMD 2010, p. 1). This minimum section 27–3–132(b)). Georgia’s Munson Sandhills and the ephemeral permitting threshold size was adopted Endangered Wildlife Act of 1973 ponds in the ONF where striped newt by the WMD, ‘‘based on consensus of establishes statutory protection for ponds were being affected by ORV use scientific and regulatory opinions rather protected species (Ga. Code Ann. (Petrick, USFS, personal than on biological and hydrological section 27–3–130–133). Georgia Board communication, 2006). evidence’’ (Hart and Newman 1995, p. of Natural Resources Rule (Chapter 391– Summary of Factor D 4). However, under Florida Statue Title 4–10) mirrors the statue, but includes XXVIII Chapter 371.406, agriculture permitting for research under a Current Federal, State, and local (which includes silviculture) has scientific collecting permit (Ga. Code regulations do not protect the vast exemptions to alter topography unless it Ann. section 27–2–12). Any majority of striped newts or their habitat is for the sole purpose of impounding or implementing regulations are on private lands. In Georgia, striped obstructing surface waters. constrained by these statutory newt populations on private lands are The size of the wetland is primarily requirements, and therefore can only not protected under State regulations, how the State of Florida and the COE prohibit collection, killing, or selling of even though the striped newt is listed as address wetland regulations. Snodgrass individual newts. There are no threatened in that State. The status of et al. (2000, p. 415) found that wetland regulatory or permitting mechanisms in striped newts on private lands is values were based on four assumptions: place in Georgia to address habitat unknown, but is likely threatened by (1) That small wetlands are ephemeral; destruction or striped newt mortality ongoing land uses, such as development (2) because wetlands are ephemeral, resulting from development projects on and silviculture. Regulatory they support few species; (3) species private lands. Consequently, striped mechanisms at the local, State, and supported by small wetlands are also newts and their habitat in private Federal levels provide varying degrees found in large wetlands; and (4) ownership in Georgia are vulnerable to of protection to wetlands, but do not populations found in individual ongoing and future habitat loss and protect the small, ephemeral wetlands wetlands are independent from other mortality. that striped newts use for breeding sites. wetlands. Snodgrass et al. (2000 p. 219) Many regulations do not address concluded that these assumptions are Local Laws and Ordinances management needs of the striped newt. not accurate and that there is no Florida’s State Comprehensive Plan We find that existing regulatory relationship between wetland size and and Growth Management Act of 1985 mechanisms are insufficient to reduce species richness. Instead, wetland (F.A.C. 163 Part II) requires each county or remove threats to striped newts on regulations should include a diversity of to develop local comprehensive public and private lands, including hydroperiods and connectedness of planning documents. Comprehensive wetlands that may support striped newt wetlands (Snodgrass et al. 2000, p. 219). plans contain policy statements and populations, and we therefore find that Protecting these small wetlands will natural resource protection objectives, the inadequacy of existing regulatory help maintain biodiversity with respect including protection of State and mechanisms is an imminent threat to to the number of plant, invertebrate, and federally listed species, but they are this species throughout all of its range, vertebrate species, including striped only effective if counties develop, as it is occurring now and not expected newts (Moler and Franz 1987, pp. 236– implement, and enforce ordinances. to change in the near future. This threat 237). The loss of these small, ephemeral Some Florida county governments have is pervasive throughout the species’ wetlands changes the metapopulation developed protective ordinances for entire range, so the magnitude of this dynamics of striped newts by reducing State and federally listed species, but all threat is moderate. Therefore, based on the number of individuals that can such ordinances are based on our review of the best available disperse and reproduce successfully, compliance with the State or Federal scientific and commercial information, and by increasing the dispersal distance law, rather than enacting more stringent we conclude that the inadequacy of among wetlands (Semlitsch and Bodie local laws. Consequently, Florida’s local existing regulatory mechanisms is an 1998, p. 1131). The reduction in governments provide no additional imminent threat of moderate magnitude wetland densities decreases the protection to striped newts. We are to the striped newt, both now and in the probability that populations can be aware of no county or local regulations foreseeable future. or ordinances that protect the striped recovered by adjacent source Factor E. Other Natural or Manmade newt beyond existing State law in populations, due to greater distances Factors Affecting the Species’ Continued between wetlands, which eventually Georgia. Existence leads to population extinctions (Gibbs Conservation Efforts To Increase 1993, pp. 25–26; Semlitsch and Bodie The effects of a long-term drought Adequacy of Existing Regulations 1998, pp. 1131–1132). This makes it have contributed to the decline of important to not only consider local and As we indicated above, the striped newts from breeding ponds at regional wetland distribution in wetland inadequacies of existing regulations are not only the Munson Sandhills of the regulations, but also the protection of inextricably linked to threats associated ANF in Florida, but at breeding sites the surrounding non-breeding uplands, with the present or threatened throughout Florida and Georgia. in which the newts complete their destruction, modification, or Droughts normally occur in cycles and metamorphosis from efts to adults, and curtailment of the striped newt’s habitat amphibian populations fluctuate with from which the adults emigrate back to or range, explained under Factor A drought conditions (Dodd 1992, pp. the breeding ponds. above. However, the U.S. Forest Service 138–139). However, droughts lasting In Georgia, a State statute requires (USFS) has now restricted or closed several years (more than 4) were found that any rule and regulation ORV use in sensitive biological to have affected reproductive success, promulgated for protected species communities, such as wetlands (USFS resulting in population decline (Dodd (including the striped newt) shall not 2010, p. 1), at both ANF and ONF. ORVs 1992, p. 139; Dodd and Johnson 2007, affect rights on private property or in have historically been a recurring issue p. 150; Petranka 1998, p. 450). Surveys public or private streams, nor shall such in or around ponds at ANF and ONF. conducted at the Camp Blanding

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Training Site in 2000 to 2001, during a systematic translocation of at-risk striped newt experts and other Federal drought, did not find any striped newts, human populations to interior locations and State agencies. due to dry breeding ponds. In previous (Gilkey 2008, pp. 9–12). Florida’s In considering whether a species may years, surveys found 7 to 10 sites with interior natural ecological communities warrant listing under any of the five newts (Gregory et al. 2006, p. 487). will likely be impacted by the factors, we look beyond the species’ Striped newts will respond to drought increasing need of urban infrastructure exposure to a potential threat or conditions in several ways: (1) to support retreating coastal inhabitants. aggregation of threats under any of the Temporary extirpation; (2) migration to While available data are not adequately factors, and evaluate whether the adjacent areas with better habitat specific to evaluate the potential direct species responds to those potential conditions; and (3) survival in upland effects of predicted climate changes on threats in a way that causes actual habitat, with recolonization once water the striped newt or provide information impact to the species. The identification has returned (Dodd 1993, p. 612). on just how much habitat may be lost, of threats that might impact a species Even with the return of water at the any habitat loss related to climate negatively may not be sufficient to Munson Sandhills in ANF, striped newt change would be in addition to the 20 compel a finding that the species populations have not recovered (Means, percent loss projected to occur by 2060 warrants listing. The information must CPI, personal communication, 2010). due solely to people moving into include evidence indicating that the Although droughts are a naturally Florida (FWC 2008, p. 2). threats are operative and, either singly occurring event in the ecology of the or in aggregation, affect the status of the striped newt, prolonged droughts can Summary of Factor E species. Threats are significant if they worsen threats to already small We have identified that long-term drive, or contribute to, the risk of populations, and exacerbate the droughts have resulted in the loss of extinction of the species, such that the degradation and fragmentation of striped newt breeding ponds, species warrants listing as endangered striped newt habitat that is already exacerbating existing population or threatened, as those terms are defined taking place (discussed under Factor A fluctuations and causing local in the Act. This status review identified threats above), leading to extinction of striped extinctions. This threat is ongoing and to the striped newt attributable to newts in many areas. is expected to continue in the future, We expect climate change will result Factors A, C, D, and E. The primary especially because threats to habitat in the loss and degradation of striped threats to the striped newt are habitat continue to affect existing striped newt newt habitat in the future, particularly loss, disease, inadequate regulatory populations and may make them more in Florida. According to the mechanisms, and drought. Habitat susceptible to potential population Intergovernmental Panel on Climate destruction and modification (Factor A) extinction. On the basis of this analysis, Change Synthesis Report (IPCC 2007, p. in the form of conversion of native 2), warming of the earth’s climate is we find that the natural factor of long- longleaf pine forests to intensively ‘‘unequivocal,’’ as is now evident from term droughts is currently a threat and managed pine forests and urban observations of increases in average is expected to persist, and possibly development are occurring on private global air and ocean temperatures, escalate in the future, as a result of lands throughout the range. Disease widespread melting of snow and ice, climate change, although climate change (Factor C) is expected to become more and rising sea level. Temperatures are itself is not an imminent threat. Because problematic for striped newts as predicted to rise from 2.0 degrees we expect this threat will occur over the additional habitat is lost and Celsius (°C) to 5.0 °C (3.6 degrees coming decades, we consider the threat fragmentation increases. Stressors such Fahrenheit (°F) to 9.0 °F) for North to be imminent. Throughout the entire as habitat loss (Factor A) and droughts America by the end of this century range of the striped newt, droughts are (Factor E) are expected to elevate risks (IPCC 2007, p. 9). The IPCC (2007, pp. predicted to be more severe and longer of diseases in newts because this has 2, 6) report outlines several scenarios in duration in the coming years, so we been the case with similar species. that are virtually certain or very likely believe the magnitude of this threat is Regulatory mechanisms are inadequate to occur in the next 50 years, including: high. Based upon our review of the best to prevent further loss of breeding (1) Over most land, there will be fewer commercial and scientific data ponds (Factor D) throughout the striped cold days and nights, and warmer and available, we conclude that other newt’s range. Existing regulations also more frequent hot days and nights; (2) natural or manmade factors affecting the do not protect striped newts on private Areas affected by drought will increase; species’ continued existence is an lands in Florida and Georgia. Long-term and (3) The frequency of heavy imminent threat of high magnitude to regional droughts in Florida and Georgia precipitation events over most land the striped newt, both now and in the (Factor E) have a negative impact on the areas will likely increase. The foreseeable future. long-term persistence of striped newts. Southeastern United States is predicted Finding Since 2000, the striped newt has been to experience more severe and longer monitored at 20 of the best breeding droughts. Other processes to be affected As required by the Act, we conducted ponds on ANF (Means, CPILC, personal by this projected warming include a review of the status of the species and communication, 2010; Means and rainfall (amount, seasonal timing, and considered the five factors in assessing Means 1998a., pp. 9–25; Means et al. distribution), storms (frequency and whether the striped newt is endangered 1994, pp. 14–24; Means et al. 2008, p. intensity), and sea level rise. or threatened throughout all or a 6). Since 2000, severe drought Indirect impacts are expected due to significant portion of its range. We conditions were experienced at these the relocation of people from flood- examined the best scientific and ponds, and newts were shown to be prone urban areas to inland areas commercial information available declining. However, despite improving (Ruppert et al. 2008, p. 127), including regarding the past, present, and future conditions at these ponds, no striped the relocation of millions of people to threats faced by the striped newt. We newts were located in 2010. The currently undeveloped interior natural reviewed the petition, information precipitous apparent declines now areas (Stanton and Ackerman 2007, p. available in our files, and other being seen at ANF could occur 15). Others have proposed available published and unpublished elsewhere on protected lands within the implementation of a large-scale information, and we consulted with striped newt’s range, despite the

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protection of habitat. This suggests that magnitude of threats, and the level of listing priority is the immediacy of perhaps other threats (e.g., disease and taxonomic distinctiveness by assigning threats. This criterion is intended to drought) may continue to act on the priority in descending order to ensure that the species that face actual, species at these sites. Drought monotypic genera (genus with one identifiable threats are given priority conditions are predicted to be more species), full species, and subspecies (or over those for which threats are only severe and longer in the coming years. equivalently, distinct population potential or that are intrinsically As described under Factor C, drought segments (DPSes) of vertebrates). We vulnerable but are not known to be and other factors continue to act as assign the striped newt a Listing Priority presently facing such threats. Factors A, stressors on existing striped newt Number (LPN) of 8, based on our D, and E are considered imminent populations and may make them more determination that the primary threats because they are occurring now and are susceptible to disease outbreaks and are moderate and imminent. These expected to continue to occur in the may result in the population extinction threats include habitat destruction, future. These actual, identifiable threats of some metapopulations. There has not disease, inadequate regulatory are covered in detail under the been any evidence of disease at other mechanisms, and droughts. Rationale discussion of Factors A, D, and E of this large metapopulations, such as ONF. for assigning the striped newt an LPN of finding. Because we find that threats On the basis of the best scientific and 8 is outlined below. under three factors (A, D, and E) are commercial information available, we Under the Service’s LPN Guidance, imminent, and the threat under one find that the petitioned action to list the the magnitude of threat is the first factor (C) to be nonimminent, we find striped newt as endangered or criterion we look at when establishing a the overall threats that the striped newt threatened is warranted. We will make listing priority. The guidance indicates is facing to be imminent. a determination on the status of the that species with the highest magnitude The third criterion in our LPN striped newt as endangered or of threat are those species facing the guidance is intended to devote threatened when we complete a greatest threats to their continued resources to those species representing proposed listing determination. existence. These species receive the highly distinctive or isolated gene pools However, as explained in more detail highest listing priority. The primary as reflected by taxonomy. The striped below, an immediate proposal of a threats to striped newt (e.g., habitat loss, newt is a valid taxon at the species regulation implementing this action is disease, inadequate regulatory level, and therefore receives a higher precluded by higher priority listing mechanisms, and drought) are occurring priority than subspecies or DPSes, but a actions, and progress is being made to in populations throughout the species’ lower priority than species in a add or remove qualified species from range. For Factor E, we consider the monotypic genus. The striped newt the Lists of Endangered and Threatened magnitude high because nearly all faces mostly moderate magnitude, Wildlife and Plants. populations are affected, and this factor largely imminent threats, and is a valid We have reviewed the available may lead to possible extirpation. Also, taxon at the species level. Thus, in information to determine if the existing throughout the entire range of the accordance with our LPN guidance, we and foreseeable threats render the striped newt, droughts are predicted to have assigned the striped newt an LPN species at risk of extinction now such be more severe and longer in the coming of 8. that issuing an emergency regulation years, which could have a detrimental We will continue to monitor the temporarily listing the species in effect on the species’ long-term survival. threats to the striped newt, and the accordance with section 4(b)(7) of the With drought as a possible cause for the species’ status on an annual basis, and Act is warranted. We have determined decline in the population at ANF, we should the magnitude or the imminence that issuing an emergency regulation predict that, with continued drought of the threats change, we will revisit our temporarily listing the striped newt is conditions, declines are likely to occur assessment of the LPN. not warranted for this species at this at other protected lands as well, with Work on a proposed listing time because there are no impending possible extirpation in those areas. We determination for the striped newt is actions that might result in extinction of consider the magnitude for Factors A precluded by work on higher priority the species that would be addressed and and C moderate, as most of the known listing actions with absolute statutory, alleviated by emergency listing, and the striped newt metapopulations are on court-ordered, or court-approved severity and timing of the threats are conservation lands, and, although deadlines and final listing such that the risk of extinction will not disease has been found in similar determinations for those species that occur over a short duration, or be species, no known metapopulations of were proposed for listing with funds caused by any one action. However, if striped newts have shown any evidence from Fiscal Year 2011. This work at any time we determine that issuing an of disease. Existing regulatory includes all the actions listed in the emergency regulation temporarily mechanisms at the local, State, and tables below under expeditious listing the striped newt is warranted, we Federal levels provide varying degrees progress. will initiate this action at that time. of protection to wetlands, but do not protect the small, ephemeral wetlands Preclusion and Expeditious Progress Listing Priority Number striped newts use for breeding sites. The Preclusion is a function of the listing The Service adopted guidelines on lack of regulatory protection has not priority of a species in relation to the September 21, 1983 (48 FR 43098), to prevented further loss of breeding ponds resources that are available and the cost establish a rational system for utilizing and adjacent upland habitat throughout and relative priority of competing available resources for the highest the species’ range. We consider this a demands for those resources. Thus, in priority species when adding species to threat that is moderate in magnitude. In any given fiscal year (FY), multiple the Lists of Endangered or Threatened sum, because we find that threats under factors dictate whether it will be Wildlife and Plants or reclassifying three factors (A, C, and D) are moderate, possible to undertake work on a listing species listed as threatened to we find the overall threats that the proposal or whether promulgation of endangered status. These guidelines, striped newt is facing to be moderate in such a proposal is precluded by higher titled ‘‘Endangered and Threatened magnitude. priority listing actions. Species Listing and Recovery Priority Under our LPN Guidance, the second The resources available for listing Guidelines,’’ address the immediacy and criterion we consider in assigning a actions are determined through the

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annual Congressional appropriations critical habitat designation subcap will maximum extent practicable’’ limitation process. The appropriation for the ensure that some funding is available to on the 90-day deadline for making a Listing Program is available to support address other listing activities’’ (House ‘‘substantial information’’ finding (see 16 work involving the following listing Report No. 107–103, 107th Congress, 1st U.S.C. 1533(b)(3)(A)), that finding is actions: Proposed and final listing rules; Session, June 19, 2001)). In FY 2002 and made at the point when the Service is 90-day and 12-month findings on each year until FY 2006, the Service has deciding whether or not to commence a petitions to add species to the Lists of had to use virtually the entire critical status review that will determine the Endangered and Threatened Wildlife habitat subcap to address court- degree of threats facing the species, and and Plants (Lists) or to change the status mandated designations of critical therefore the analysis underlying the of a species from threatened to habitat, and consequently none of the statement is more relevant to the use of endangered; annual ‘‘resubmitted’’ critical habitat subcap funds have been the warranted-but-precluded finding, petition findings on prior warranted- available for other listing activities. In which is made when the Service has but-precluded petition findings as some FYs since 2006, we have been able already determined the degree of threats required under section 4(b)(3)(C)(i) of to use some of the critical habitat facing the species and is deciding the Act; critical habitat petition subcap funds to fund proposed listing whether or not to commence a findings; proposed and final rules determinations for high-priority rulemaking. designating critical habitat; and candidate species. In other FYs, while In FY 2011, on April 15, 2011, litigation-related, administrative, and we were unable to use any of the critical Congress passed the Full-Year program-management functions habitat subcap funds to fund proposed Continuing Appropriations Act (Pub. L. (including preparing and allocating listing determinations, we did use some 112–10) which provides funding budgets, responding to Congressional of this money to fund the critical habitat through September 30, 2011. The and public inquiries, and conducting portion of some proposed listing Service has $22,103,000 for the listing public outreach regarding listing and determinations so that the proposed program. Of that, the Service anticipates critical habitat). The work involved in listing determination and proposed needing to dedicate $11,632,000 for preparing various listing documents can critical habitat designation could be determinations of critical habitat for be extensive and may include, but is not combined into one rule, thereby being already listed species. Also $500,000 is limited to: Gathering and assessing the more efficient in our work. At this time, appropriated for foreign species listings best scientific and commercial data for FY 2011, we do not know if we will under the Act. The Service thus has available and conducting analyses used be able to use some of the critical $9,971,000 available to fund work in the as the basis for our decisions; writing habitat subcap funds to fund proposed following categories: compliance with and publishing documents; and listing determinations. court orders and court-approved obtaining, reviewing, and evaluating We make our determinations of settlement agreements requiring that public comments and peer review preclusion on a nationwide basis to petition findings or listing comments on proposed rules and ensure that the species most in need of determinations be completed by a incorporating relevant information into listing will be addressed first and also specific date; section 4 (of the Act) final rules. The number of listing because we allocate our listing budget listing actions with absolute statutory actions that we can undertake in a given on a nationwide basis. Through the deadlines; essential litigation-related, year also is influenced by the listing cap, the critical habitat subcap, administrative, and listing program- complexity of those listing actions; that and the amount of funds needed to management functions; and high- is, more complex actions generally are address court-mandated critical habitat priority listing actions for some of our more costly. The median cost for designations, Congress and the courts candidate species. In FY 2010, the preparing and publishing a 90-day have in effect determined the amount of Service received many new petitions finding is $39,276; for a 12-month money available for other listing and a single petition to list 404 species. finding, $100,690; for a proposed rule activities nationwide. Therefore, the The receipt of petitions for a large with critical habitat, $345,000; and for funds in the listing cap, other than those number of species is consuming the a final listing rule with critical habitat, needed to address court-mandated Service’s listing funding that is not $305,000. critical habitat for already listed species, dedicated to meeting court-ordered We cannot spend more than is set the limits on our determinations of commitments. Absent some ability to appropriated for the Listing Program preclusion and expeditious progress. balance effort among listing duties without violating the Anti-Deficiency Congress identified the availability of under existing funding levels, it is Act (see 31 U.S.C. 1341(a)(1)(A)). In resources as the only basis for deferring unlikely that the Service will be able to addition, in FY 1998 and for each fiscal the initiation of a rulemaking that is initiate any new listing determinations year since then, Congress has placed a warranted. The Conference Report for candidate species in FY 2011. statutory cap on funds that may be accompanying Public Law 97–304 In 2009, the responsibility for listing expended for the Listing Program, equal (Endangered Species Act Amendments foreign species under the Act was to the amount expressly appropriated of 1982), which established the current transferred from the Division of for that purpose in that fiscal year. This statutory deadlines and the warranted- Scientific Authority, International cap was designed to prevent funds but-precluded finding, states that the Affairs Program, to the Endangered appropriated for other functions under amendments were ‘‘not intended to Species Program. Therefore, starting in the Act (for example, recovery funds for allow the Secretary to delay FY 2010, we used a portion of our removing species from the Lists), or for commencing the rulemaking process for funding to work on the actions other Service programs, from being used any reason other than that the existence described above for listing actions for Listing Program actions (see House of pending or imminent proposals to list related to foreign species. In FY 2011, Report 105–163, 105th Congress, 1st species subject to a greater degree of we anticipate using $1,500,000 for work Session, July 1, 1997). threat would make allocation of on listing actions for foreign species, Since FY 2002, the Service’s budget resources to such a petition [that is, for which reduces funding available for has included a critical habitat subcap to a lower-ranking species] unwise.’’ domestic listing actions; however, ensure that some funds are available for Although that statement appeared to currently only $500,000 has been other work in the Listing Program (‘‘The refer specifically to the ‘‘to the allocated for this function. Although

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there are no foreign species issues by using the following extinction-risk proposed rules for the highest priority included in our high-priority listing type criteria: International Union for the species in the next several years, we are actions at this time, many actions have Conservation of Nature and Natural preparing multi-species proposals when statutory or court-approved settlement Resources (IUCN) Red list status/rank; appropriate, and these may include deadlines, thus increasing their priority. Heritage rank (provided by species with lower priority if they The budget allocations for each specific NatureServe); Heritage threat rank overlap geographically or have the same listing action are identified in the (provided by NatureServe); and species threats as a species with an LPN of 2. Service’s FY 2011 Allocation Table (part currently with fewer than 50 In addition, we take into consideration of our administrative record). individuals, or 4 or fewer populations. the availability of staff resources when For the above reasons, funding a Those species with the highest IUCN we determine which high-priority proposed listing determination for the rank (critically endangered); the highest species will receive funding to striped newt is precluded by court- Heritage rank (G1); the highest Heritage minimize the amount of time and ordered and court-approved settlement threat rank (substantial, imminent resources required to complete each agreements, listing actions with absolute threats); and currently with fewer than listing action. statutory deadlines, and work on 50 individuals, or fewer than 4 As explained above, a determination proposed listing determinations for populations, originally comprised a that listing is warranted but precluded those candidate species with a higher group of approximately 40 candidate must also demonstrate that expeditious listing priority (i.e., candidate species species (‘‘Top 40’’). These 40 candidate progress is being made to add and with LPNs of 1 to 7). species have had the highest priority to remove qualified species to and from Based on our September 21, 1983, receive funding to work on a proposed the Lists of Endangered and Threatened guidelines for assigning an LPN for each listing determination. As we work on Wildlife and Plants. As with our candidate species (48 FR 43098), we proposed and final listing rules for those ‘‘warranted-but-precluded’’ finding, the have a significant number of species 40 candidates, we apply the ranking evaluation of whether progress in with a LPN of 2. Using these guidelines, criteria to the next group of candidates adding qualified species to the Lists has we assign each candidate an LPN of 1 with an LPN of 2 and 3 to determine the been expeditious is a function of the to 12, depending on the magnitude of next set of highest priority candidate resources available for listing and the threats (high or moderate to low), species. Finally, proposed rules for competing demands for those funds. immediacy of threats (imminent or reclassification of threatened species to (Although we do not discuss it in detail nonimminent), and taxonomic status of endangered are lower priority, because here, we are also making expeditious the species (in order of priority: as listed species, they are already progress in removing species from the monotypic genus (a species that is the afforded the protections of the Act and list under the Recovery program in light sole member of a genus); species; or part implementing regulations. However, for of the resource available for delisting, of a species (subspecies, distinct efficiency reasons, we may choose to which is funded by a separate line item population segment, or significant work on a proposed rule to reclassify a in the budget of the Endangered Species portion of the range)). The lower the species to endangered if we can Program. So far during FY 2011, we listing priority number, the higher the combine this with work that is subject have completed one delisting rule; see listing priority (that is, a species with an to a court-determined deadline. 76 FR 3029.) Given the limited LPN of 1 would have the highest listing With our workload so much bigger resources available for listing, we find priority). than the amount of funds we have to that we are making expeditious progress Because of the large number of high- accomplish it, it is important that we be in FY 2011. This progress includes priority species, we have further ranked as efficient as possible in our listing preparing and publishing the following the candidate species with an LPN of 2 process. Therefore, as we work on determinations:

FY 2011 COMPLETED LISTING ACTIONS

Publication date Title Actions FR pages

10/6/2010 ...... Endangered Status for the Altamaha Proposed Listing Endangered ...... 75 FR 61664– Spinymussel and Designation of Critical Habi- 61690 tat. 10/7/2010 ...... 12-Month Finding on a Petition to list the Sac- Notice of 12-month petition finding, Not war- 75 FR 62070– ramento Splittail as Endangered or Threat- ranted. 62095 ened. 10/28/2010 ...... Endangered Status and Designation of Critical Proposed Listing Endangered (uplisting) ...... 75 FR 66481– Habitat for Spikedace and Loach Minnow. 66552 11/2/2010 ...... 90-Day Finding on a Petition to List the Bay Notice of 90-day Petition Finding, Not substan- 75 FR 67341– Springs Salamander as Endangered. tial. 67343 11/2/2010 ...... Determination of Endangered Status for the Final Listing Endangered ...... 75 FR 67511– Georgia Pigtoe Mussel, Interrupted Rocksnail, 67550 and Rough Hornsnail and Designation of Crit- ical Habitat. 11/2/2010 ...... Listing the Rayed Bean and Snuffbox as Endan- Proposed Listing Endangered ...... 75 FR 67551– gered. 67583 11/4/2010 ...... 12-Month Finding on a Petition to List Cirsium Notice of 12-month petition finding, Warranted 75 FR 67925– wrightii (Wright’s Marsh Thistle) as Endan- but precluded. 67944 gered or Threatened. 12/14/2010 ...... Endangered Status for Dunes Sagebrush Lizard Proposed Listing Endangered ...... 75 FR 77801– 77817 12/14/2010 ...... 12-Month Finding on a Petition to List the North Notice of 12-month petition finding, Warranted 75 FR 78029– American Wolverine as Endangered or but precluded. 78061 Threatened.

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FY 2011 COMPLETED LISTING ACTIONS—Continued

Publication date Title Actions FR pages

12/14/2010 ...... 12-Month Finding on a Petition to List the Notice of 12-month petition finding, Warranted 75 FR 78093– Sonoran Population of the Desert Tortoise as but precluded. 78146 Endangered or Threatened. 12/15/2010 ...... 12-Month Finding on a Petition to List Astragalus Notice of 12-month petition finding, Warranted 75 FR 78513– microcymbus and Astragalus schmolliae as but precluded. 78556 Endangered or Threatened. 12/28/2010 ...... Listing Seven Brazilian Bird Species as Endan- Final Listing Endangered ...... 75 FR 81793– gered Throughout Their Range. 81815 1/4/2011 ...... 90-Day Finding on a Petition to List the Red Notice of 90-day Petition Finding, Not substan- 76 FR 304–311 Knot subspecies Calidris canutus roselaari as tial. Endangered. 1/19/2011 ...... Endangered Status for the Sheepnose and Proposed Listing Endangered ...... 76 FR 3392–3420 Spectaclecase Mussels. 2/10/2011 ...... 12-Month Finding on a Petition to List the Pacific Notice of 12-month petition finding, Warranted 76 FR 7634–7679 Walrus as Endangered or Threatened. but precluded. 2/17/2011 ...... 90-Day Finding on a Petition To List the Sand Notice of 90-day Petition Finding, Substantial .... 76 FR 9309–9318 Verbena Moth as Endangered or Threatened. 2/22/2011 ...... Determination of Threatened Status for the New Final Listing Threatened ...... 76 FR 9681–9692 Zealand-Australia Distinct Population Segment of the Southern Rockhopper Penguin. 2/22/2011 ...... 12-Month Finding on a Petition to List Solanum Notice of 12-month petition finding, Warranted 76 FR 9722–9733 conocarpum (marron bacora) as Endangered. but precluded. 2/23/2011 ...... 12-Month Finding on a Petition to List Thorne’s Notice of 12-month petition finding, Not war- 76 FR 991–10003 Hairstreak Butterfly as Endangered. ranted. 2/23/2011 ...... 12-Month Finding on a Petition to List Astragalus Notice of 12-month petition finding, Warranted 76 FR 10166– hamiltonii, Penstemon flowersii, Eriogonum but precluded and Not Warranted. 10203 soredium, Lepidium ostleri, and Trifolium friscanum as Endangered or Threatened. 2/24/2011 ...... 90-Day Finding on a Petition to List the Wild Notice of 90-day Petition Finding, Not substan- 76 FR 10299– Plains Bison or Each of Four Distinct Popu- tial. 10310 lation Segments as Threatened. 2/24/2011 ...... 90-Day Finding on a Petition to List the Notice of 90-day Petition Finding, Not substan- 76 FR 10310– Unsilvered Fritillary Butterfly as Threatened or tial. 10319 Endangered. 3/8/2011 ...... 12-Month Finding on a Petition to List the Mt. Notice of 12-month petition finding, Warranted 76 FR 12667– Charleston Blue Butterfly as Endangered or but precluded. 12683 Threatened. 3/8/2011 ...... 90-Day Finding on a Petition to List the Texas Notice of 90-day Petition Finding, Substantial .... 76 FR 12683– Kangaroo Rat as Endangered or Threatened. 12690 3/10/2011 ...... Initiation of Status Review for Longfin Smelt ...... Notice of Status Review ...... 76 FR 13121– 13122 3/15/2011 ...... Withdrawal of Proposed Rule to List the Flat- Proposed rule withdrawal ...... 76 FR 14210– tailed Horned Lizard as Threatened. 14268 3/22/2011 ...... 12-Month Finding on a Petition to List the Berry Notice of 12-month petition finding, Warranted 76 FR 15919– Cave Salamander as Endangered. but precluded. 15932 4/1/2011 ...... 90-Day Finding on a Petition to List the Spring Notice of 90-day Petition Finding, Substantial .... 76 FR 18138– Pygmy Sunfish as Endangered. 18143 4/5/2011 ...... 12-Month Finding on a Petition to List the Notice of 12-month petition finding, Not War- 76 FR 18684– Bearmouth Mountainsnail, Byrne Resort ranted and Warranted but precluded. 18701 Mountainsnail, and Meltwater Lednian Stonefly as Endangered or Threatened. 4/5/2011 ...... 90-Day Finding on a Petition To List the Peary Notice of 90-day Petition Finding, Substantial .... 76 FR 18701– Caribou and Dolphin and Union population of 18706 the Barren-ground Caribou as Endangered or Threatened. 4/12/2011 ...... Proposed Endangered Status for the Three Proposed Listing Endangered ...... 76 FR 20464– Forks Springsnail and San Bernardino 20488 Springsnail, and Proposed Designation of Crit- ical Habitat. 4/13/2011 ...... 90-Day Finding on a Petition To List Spring Notice of 90-day Petition Finding, Substantial .... 76 FR 20613– Mountains Acastus Checkerspot Butterfly as 20622 Endangered. 4/14/2011 ...... 90-Day Finding on a Petition to List the Prairie Notice of 90-day Petition Finding, Substantial .... 76 FR 20911– Chub as Threatened or Endangered. 20918 4/14/2011 ...... 12-Month Finding on a Petition to List Hermes Notice of 12-month petition finding, Warranted 76 FR 20918– Copper Butterfly as Endangered or Threat- but precluded. 20939 ened. 4/26/2011 ...... 90-Day Finding on a Petition to List the Notice of 90-day Petition Finding, Substantial .... 76 FR 23256– Arapahoe Snowfly as Endangered or Threat- 23265 ened.

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FY 2011 COMPLETED LISTING ACTIONS—Continued

Publication date Title Actions FR pages

4/26/2011 ...... 90-Day Finding on a Petition to List the Smooth- Notice of 90-day Petition Finding, Not substan- 76 FR 23265– Billed Ani as Threatened or Endangered. tial. 23271

Our expeditious progress also statutory timelines, that is, timelines a lower priority if they overlap includes work on listing actions that we required under the Act. Actions in the geographically or have the same threats funded in FY 2010 and FY 2011 but bottom section of the table are high- as the species with the high priority. have not yet been completed to date. priority listing actions. These actions Including these species together in the These actions are listed below. Actions include work primarily on species with same proposed rule results in in the top section of the table are being an LPN of 2, and, as discussed above, considerable savings in time and conducted under a deadline set by a selection of these species is partially funding, when compared to preparing court. Actions in the middle section of based on available staff resources, and separate proposed rules for each of them the table are being conducted to meet when appropriate, include species with in the future.

ACTIONS FUNDED IN FY 2010 AND FY 2011 BUT NOT YET COMPLETED

Species Action

Actions Subject to Court Order/Settlement Agreement

4 parrot species (military macaw, yellow-billed parrot, red-crowned parrot, scarlet macaw) 5 ...... 12-month petition finding. 4 parrot species (blue-headed macaw, great green macaw, grey-cheeked parakeet, hyacinth 12-month petition finding. macaw) 5. 4 parrots species (crimson shining parrot, white cockatoo, Philippine cockatoo, yellow-crested 12-month petition finding. cockatoo) 5. Utah prairie dog (uplisting) ...... 90-day petition finding.

Actions With Statutory Deadlines

Casey’s june beetle ...... Final listing determination. 6 Birds from Eurasia ...... Final listing determination. 5 Bird species from Colombia and Ecuador ...... Final listing determination. Queen Charlotte goshawk ...... Final listing determination. 5 species southeast fish (Cumberland darter, rush darter, yellowcheek darter, chucky madtom, Final listing determination. and laurel dace) 4. Ozark hellbender 4 ...... Final listing determination. Altamaha spinymussel 3 ...... Final listing determination. 3 Colorado plants (Ipomopsis polyantha (Pagosa Skyrocket), Penstemon debilis (Parachute Final listing determination. Beardtongue), and Phacelia submutica (DeBeque Phacelia)) 4. Salmon crested cockatoo ...... Final listing determination. 6 Birds from Peru & Bolivia ...... Final listing determination. Loggerhead sea turtle (assist National Marine Fisheries Service) 5 ...... Final listing determination. 2 mussels (rayed bean (LPN = 2), snuffbox No LPN) 5 ...... Final listing determination. CA golden trout 4 ...... 12-month petition finding. Black-footed albatross ...... 12-month petition finding. Mojave fringe-toed lizard 1 ...... 12-month petition finding. Kokanee—Lake Sammamish population 1 ...... 12-month petition finding. Cactus ferruginous pygmy-owl 1 ...... 12-month petition finding. Northern leopard frog ...... 12-month petition finding. Tehachapi slender salamander ...... 12-month petition finding. Coqui Llanero ...... 12-month petition finding/Proposed listing. Dusky tree vole ...... 12-month petition finding. 5 WY plants (Abronia ammophila, Agrostis rossiae, Astragalus proimanthus, Boechere (Arabis) 12-month petition finding. pusilla, Penstemon gibbensii) from 206 species petition. Leatherside chub (from 206 species petition) ...... 12-month petition finding. Frigid ambersnail (from 206 species petition) 3 ...... 12-month petition finding. Platte River caddisfly (from 206 species petition) 5 ...... 12-month petition finding. Gopher tortoise—eastern population ...... 12-month petition finding. Grand Canyon scorpion (from 475 species petition) ...... 12-month petition finding. Anacroneuria wipukupa (a stonefly from 475 species petition) 4 ...... 12-month petition finding. 3 Texas moths (Ursia furtiva, Sphingicampa blanchardi, Agapema galbina) (from 475 species peti- 12-month petition finding. tion). 2 Texas shiners (Cyprinella sp., Cyprinella lepida) (from 475 species petition) ...... 12-month petition finding. 3 South Arizona plants (Erigeron piscaticus, Astragalus hypoxylus, Amoreuxia gonzalezii) (from 12-month petition finding. 475 species petition). 5 Central Texas mussel species (3 from 475 species petition) ...... 12-month petition finding. 14 parrots (foreign species) ...... 12-month petition finding. Striped Newt 1 ...... 12-month petition finding. Fisher—Northern Rocky Mountain Range 1 ...... 12-month petition finding. Mohave Ground Squirrel 1 ...... 12-month petition finding. Puerto Rico Harlequin Butterfly 3 ...... 12-month petition finding.

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ACTIONS FUNDED IN FY 2010 AND FY 2011 BUT NOT YET COMPLETED—Continued

Species Action

Western gull-billed tern ...... 12-month petition finding. Ozark chinquapin (Castanea pumila var. ozarkensis) 4 ...... 12-month petition finding. HI yellow-faced bees ...... 12-month petition finding. Giant Palouse earthworm ...... 12-month petition finding. Whitebark pine ...... 12-month petition finding. OK grass pink (Calopogon oklahomensis) 1 ...... 12-month petition finding. Ashy storm-petrel 5 ...... 12-month petition finding. Honduran emerald ...... 12-month petition finding. Southeastern pop snowy plover & wintering pop. of piping plover 1 ...... 90-day petition finding. Eagle Lake trout 1 ...... 90-day petition finding. 32 Pacific Northwest mollusks species (snails and slugs) 1 ...... 90-day petition finding. 42 snail species (Nevada & Utah) ...... 90-day petition finding. Spring Mountains checkerspot butterfly ...... 90-day petition finding. Bay skipper ...... 90-day petition finding. Spot-tailed earless lizard ...... 90-day petition finding. Eastern small-footed bat ...... 90-day petition finding. Northern long-eared bat ...... 90-day petition finding. 10 species of Great Basin butterfly ...... 90-day petition finding. 6 sand dune (scarab) beetles ...... 90-day petition finding. Golden-winged warbler 4 ...... 90-day petition finding. 404 Southeast species ...... 90-day petition finding. Franklin’s bumble bee 4 ...... 90-day petition finding. 2 Idaho snowflies (straight snowfly & Idaho snowfly) 4 ...... 90-day petition finding. American eel 4 ...... 90-day petition finding. Gila monster (Utah population) 4 ...... 90-day petition finding. Leona’s little blue 4 ...... 90-day petition finding. Aztec gilia 5 ...... 90-day petition finding. White-tailed ptarmigan 5 ...... 90-day petition finding. San Bernardino flying squirrel 5 ...... 90-day petition finding. Bicknell’s thrush 5 ...... 90-day petition finding. Chimpanzee ...... 90-day petition finding. Sonoran talussnail 5 ...... 90-day petition finding. 2 AZ Sky Island plants (Graptopetalum bartrami & Pectis imberbis) 5 ...... 90-day petition finding. I’iwi 5 ...... 90-day petition finding. Carolina hemlock ...... 90-day petition finding. Western glacier stonefly (Zapada glacier) ...... 90-day petition finding. Thermophilic ostracod (Potamocypris hunteri) ...... 90-day petition finding.

High-Priority Listing Actions

19 Oahu candidate species 2 (16 plants, 3 damselflies) (15 with LPN = 2, 3 with LPN = 3, 1 with Proposed listing. LPN = 9). 19 Maui-Nui candidate species 2 (16 plants, 3 tree snails) (14 with LPN = 2, 2 with LPN = 3, 3 Proposed listing. with LPN = 8). Chupadera springsnail 2 (Pyrgulopsis chupaderae (LPN = 2)) ...... Proposed listing. 8 Gulf Coast mussels (southern kidneyshell (LPN = 2), round ebonyshell (LPN = 2), Alabama Proposed listing. pearlshell (LPN = 2), southern sandshell (LPN = 5), fuzzy pigtoe (LPN = 5), Choctaw bean (LPN = 5), narrow pigtoe (LPN = 5), and tapered pigtoe (LPN = 11)) 4. Umtanum buckwheat (LPN = 2) and white bluffs bladderpod (LPN = 9) 4 ...... Proposed listing. Grotto sculpin (LPN = 2) 4 ...... Proposed listing. 2 Arkansas mussels (Neosho mucket (LPN = 2) & Rabbitsfoot (LPN = 9)) 4 ...... Proposed listing. Diamond darter (LPN = 2) 4 ...... Proposed listing. Gunnison sage-grouse (LPN = 2) 4 ...... Proposed listing. Coral Pink Sand Dunes Tiger Beetle (LPN = 2) 5 ...... Proposed listing. Miami blue (LPN = 3) 3 ...... Proposed listing. Lesser prairie chicken (LPN = 2) ...... Proposed listing. 4 Texas salamanders (Austin blind salamander (LPN = 2), Salado salamander (LPN = 2), Proposed listing. Georgetown salamander (LPN = 8), Jollyville Plateau (LPN = 8)) 3. 5 SW aquatics (Gonzales Spring Snail (LPN = 2), Diamond Y springsnail (LPN = 2), Phantom Proposed listing. springsnail (LPN = 2), Phantom Cave snail (LPN = 2), Diminutive amphipod (LPN = 2)) 3. 2 Texas plants (Texas golden gladecress (Leavenworthia texana) (LPN = 2), Neches River rose- Proposed listing. mallow (Hibiscus dasycalyx) (LPN = 2)) 3. 4 AZ plants (Acuna cactus (Echinomastus erectocentrus var. acunensis) (LPN = 3), Fickeisen Proposed listing. plains cactus (Pediocactus peeblesianus fickeiseniae) (LPN = 3), Lemmon fleabane (Erigeron lemmonii) (LPN = 8), Gierisch mallow (Sphaeralcea gierischii) (LPN = 2)) 5. FL bonneted bat (LPN = 2) 3 ...... Proposed listing. 3 Southern FL plants (Florida semaphore cactus (Consolea corallicola) (LPN = 2), shellmound Proposed listing. applecactus (Harrisia (=Cereus) aboriginum (=gracilis)) (LPN = 2), Cape Sable thoroughwort (Chromolaena frustrata) (LPN = 2)) 5. 21 Big Island (HI) species 5 (includes 8 candidate species—6 plants & 2 animals; 4 with LPN = 2, Proposed listing. 1 with LPN = 3, 1 with LPN = 4, 2 with LPN = 8).

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ACTIONS FUNDED IN FY 2010 AND FY 2011 BUT NOT YET COMPLETED—Continued

Species Action

12 Puget Sound prairie species (9 subspecies of pocket gopher (Thomomys mazama ssp.) (LPN Proposed listing. = 3), streaked horned lark (LPN = 3), Taylor’s checkerspot (LPN = 3), Mardon skipper (LPN = 8)) 3. 2 TN River mussels (fluted kidneyshell (LPN = 2), slabside pearlymussel (LPN = 2)) 5 ...... Proposed listing. Jemez Mountain salamander (LPN = 2) 5 ...... Proposed listing. 1 Funds for listing actions for these species were provided in previous FYs. 2 Although funds for these high-priority listing actions were provided in FY 2008 or 2009, due to the complexity of these actions and competing priorities, these actions are still being developed. 3 Partially funded with FY 2010 funds and FY 2011 funds. 4 Funded with FY 2010 funds. 5 Funded with FY 2011 funds.

We have endeavored to make our Dated: May 3, 2011. • Electronic Submission: Submit all listing actions as efficient and timely as Rowan W. Gould, electronic public comments via the possible, given the requirements of the Acting Director, Fish and Wildlife Service. Federal e-Rulemaking Portal http:// relevant law and regulations, and [FR Doc. 2011–13911 Filed 6–6–11; 8:45 am] www.regulations.gov; or • Mail: Michael D. Tosatto, Regional constraints relating to workload and BILLING CODE 4310–55–P personnel. We are continually Administrator, NMFS, Pacific Islands considering ways to streamline Region (PIR), 1601 Kapiolani Blvd., processes or achieve economies of scale, DEPARTMENT OF COMMERCE Suite 1110, Honolulu, HI 96814–4700. such as by batching related actions Instructions: Comments must be together. Given our limited budget for National Oceanic and Atmospheric submitted to one of the above two implementing section 4 of the Act, these Administration addresses to ensure that the comments actions described above collectively are received, documented, and constitute expeditious progress. 50 CFR Part 665 considered by NMFS. Comments sent to any other address or individual, or The striped newt will be added to the [Docket No. 100218104–1291–01] received after the end of the comment list of candidate species upon period, may not be considered. All publication of this 12-month finding. RIN 0648–AY27 comments received are a part of the We will continue to monitor the status public record and will generally be of this species as new information Western Pacific Pelagic Fisheries; posted to http://www.regulations.gov becomes available. This review will American Samoa Longline Gear without change. All personal identifying determine if a change in status is Modifications To Reduce Turtle information (e.g., name, address, etc.) warranted, including the need to make Interactions submitted voluntarily by the commenter prompt use of emergency listing may be publicly accessible. Do not AGENCY: National Marine Fisheries procedures. submit confidential business Service (NMFS), National Oceanic and information, or otherwise sensitive or We intend that any proposed Atmospheric Administration (NOAA), protected information. NMFS will classification of the striped newt will be Commerce. as accurate as possible. Therefore, we accept anonymous comments (enter ACTION: will continue to accept additional Proposed rule; request for ‘‘N/A’’ in the required name and information and comments from all comments. organization fields if you wish to remain anonymous). Attachments to electronic concerned governmental agencies, the SUMMARY: This proposed rule would comments will be accepted in Microsoft scientific community, industry, or any require specific gear configuration for Word or Excel, WordPerfect, or Adobe other interested party concerning this pelagic longline fishing for vessels finding. PDF file formats only. based in American Samoa, as well as The Western Pacific Fishery References Cited other U.S. longline vessels longer than Management Council (Council) 40 ft (12.2 m), while fishing south of the prepared Amendment 5 to the Fishery A complete list of references cited is Equator in the Pacific Ocean. The Ecosystem Plan for Pelagic Fisheries of available on the Internet at http:// requirements include minimum float the Western Pacific Region (Pelagics www.regulations.gov and upon request line and branch line lengths, number of FEP), including an environmental from the U.S. Fish and Wildlife Service, hooks between floats, and distances assessment, that presents background North Florida Field Office (see between floats and adjacent hooks. The information on this proposed rule. The ADDRESSES section). rule would also limit the number of Pelagics FEP and Amendment 5 are swordfish taken. The proposed action is Authors available from the Council, 1164 Bishop intended to ensure that longline hooks St., Suite 1400, Honolulu, HI 96813, tel The primary authors of this notice are are set at depths of 100 meters (m) or 808–522–8220, fax 808–522–8226, the staff members of the North Florida deeper to reduce interactions between http://www.wpcouncil.org. longline fishing and Pacific green sea Field Office. FOR FURTHER INFORMATION CONTACT: turtles. Authority Adam Bailey, Sustainable Fisheries DATES: Comments on the proposed rule Division, NMFS PIR, 808–944–2248. The authority for this section is must be received by July 22, 2011. SUPPLEMENTARY INFORMATION: Longline section 4 of the Endangered Species Act ADDRESSES: Comments on this proposed fishing employs a mainline that is of 1973, as amended (16 U.S.C. 1531 et rule, identified by 0648–AY27, may be suspended below the surface by floats seq.). sent to either of the following addresses: and float lines that are attached along

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the mainline with clips. Branch lines, While many of the requirements (connected to the mainline and each with a single baited hook, are noted above were established to reduce terminating in a single baited hook) to attached to the mainline. Longline the number and severity of interactions be at least 10 meters long to help ensure deployment is typically referred to as with protected species, the American that hooks are set 100 m or deeper from ‘‘setting,’’ and the gear, once it is Samoa-based longline fishery has the surface. Accordingly, this proposed deployed, is typically referred to as a continued to interact with (hooked or rule would implement the Biological ‘‘set.’’ Once set, longline gear is left to entangled) Pacific green sea turtles Opinion’s additional requirement. fish for several hours, and brought back (Chelonia mydas), which are listed as Class A vessels (40 ft (12.2 m) and on board along with any catch. threatened under the Endangered shorter) are not included in this The limited access program for the Species Act (ESA). Most of the proposed action. There are few current American Samoa pelagic longline interactions are believed to have data to suggest that longline fishing fishery consists of four permit classes occurred in the shallowest 100 m of the from these smaller vessels results in based on vessel length. The pelagic water column, and most injuries to the interactions with sea turtles. NMFS will longline fishery targets albacore for sea turtles have been fatal. The NMFS continue to monitor fishing activities by canning in Pago Pago, American Samoa. observer program reported 13 green sea these small vessels, and, in coordination The larger longline vessels (over 40 ft turtle interactions for the American with the Council, will consider (12.2 m) that include Classes B, C, and Samoa longline fishery from June 2006 appropriate conservation and D) set about 40 nm (75 km) of mainline to July 2010. (Additional interactions management measures should evidence with an average of about 3,000 hooks have been observed since July 2010, but of sea turtle interactions be developed. per day. This fishery has historically the details of these more recent The gear configuration requirement fished at depths from 50 to 300 m, or interactions, such as hook depth, have would apply to U.S. longline vessels in deeper. In 2009, 26 vessels based in not been analyzed, so they are not the Pacific Ocean only south of the American Samoa made 4,689 sets, and included here.) Nine of the turtles were Equator (0° lat.) because different sets of landed 8.6 million lb of albacore, and hooked by the shallowest hooks (first requirements are in place to protect sea smaller amounts of skipjack, yellowfin, three hooks from the float). Green sea turtles in the Hawaii-based longline and bigeye tunas. Preliminary 2010 data turtles are known to mainly inhabit fisheries, which has operated primarily show the number of sets and albacore waters within 100 m of the ocean’s north of the Equator. Each of the three landings were similar to 2009. The surface, and it is expected that forcing large-scale U.S. western Pacific longline fishery also takes wahoo, oilfish, blue hooks to fish at 100 m or deeper would fisheries (Hawaii deep-set, Hawaii marlin, blue sharks, and other pelagic result in fewer green sea turtle shallow-set, and American Samoa) are fish. interactions. monitored under separate sea turtle The smaller Class A (40 ft (12.2 m) In Amendment 5, dated May 12, 2011, incidental take statements, and they and shorter) longline vessels, or alias, the Council recommended that NMFS each operate under different sets of use manually-powered mainline drums require American Samoa longline regulations. To ensure efficient that hold about four miles of fishermen to use a suite of gear administration, uniform enforcement, monofilament line, and set around 300– configurations designed to ensure that and ease of understanding, NMFS 350 hooks per set. These smaller vessels longline hooks are set to fish at least would require the proposed gear generally do not travel long distances 100 m deep, away from the primary configurations for all U.S. longline from shore or carry large quantities of turtle habitat to reduce interactions. fishing south of the Equator in the fish and, ordinarily conduct one- or This proposed rule would implement Pacific Ocean. This proposed rule two-day trips less than 50 nm (93 km) the Council’s recommendations. The would also make administrative from shore. From 2008 to 2010, only one proposed gear configuration clarifications to the names of several alia was actively longline fishing. requirements would apply to Class B, C, tuna and marlin species caught in The American Samoa longline fishery and D vessels (that is, vessels over 40 ft western Pacific pelagic fisheries. The is managed under a host of (12.2 m) in length). These vessels would English and scientific names of the requirements, including a limited access be required to deploy float lines at least bluefin tuna are revised from ‘‘Northern program with a maximum of 60 vessels 30 m long, keep a minimum distance of bluefin tuna, Thunnus thynnus’’ to in all size classes, even though fewer 70 m between any float line and the ‘‘Pacific bluefin tuna, Thunnus than 30 have been active in recent years. closest branch line in either direction orientalis.’’ The English and scientific Other requirements include Federal along the mainline, and attach at least names of the blue marlin are revised permits and logbooks and (for certain 15 branch lines between any two float from ‘‘Indo-Pacific blue marlin, Makaira vessel size classes) observers and a lines. These vessels would also be mazara’’ to ‘‘Pacific blue marlin, satellite vessel monitoring system. prohibited from possessing or landing Makaira nigricans.’’ The scientific Longline vessels and gear must be more than ten (10) swordfish per trip. names of black marlin and striped marked with their identification Because swordfish are typically caught marlin are revised to Istiompax indica, markings. Large longliners (50 ft and in waters shallower than 100 m, limiting and Kajikia audax, respectively. longer) may not fish within designated the number of swordfish that fishermen Public comments on this proposed prohibited areas around the islands of may retain is expected to ensure that rule must be received by close of American Samoa. Each year, owners gear is set to the required depth of 100 business on July 22, 2011, not and operators of American Samoa m or deeper, rather than shallower to postmarked, or otherwise transmitted by longline vessels must attend and be target swordfish. that date to be considered. Late certified in a protected species This proposed rule would also comments will not be accepted. workshop on identification, mitigation, establish a gear configuration handling, and release techniques for sea requirement that was not recommended Classification turtles, seabirds, and marine mammals. in Amendment 5, rather in a September Pursuant to section 304(b)(1)(A) of the Fishermen must use specific equipment 16, 2010, Biological Opinion resulting Magnuson-Stevens Act, the NMFS and techniques for handling and from ESA section 7 consultation on the Assistant Administrator has determined releasing any sea turtles that are hooked proposed action. The Biological that this proposed rule is consistent or entangled. Opinion requires each branch line with the Pelagics FEP, Amendment 5,

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other provisions of the Magnuson- with additional hooks. Research has shown destruction or adverse modification of Stevens Act, and other applicable laws, that fishermen who are able to adopt these critical habitat. subject to further consideration after mitigative activities are likely to increase This proposed rule has been public comment. overall landings of albacore relative to status determined to be not significant for quo due to the prevalence of albacore, The Chief Council for Regulation of especially larger individuals, at depths of purposes of Executive Order 12866. the Department of Commerce certified 150–250 m. Fishermen could also increase List of Subjects in 50 CFR Part 665 to the Chief Council for Advocacy of the the number of sets on a single trip or on Small Business Administration that this several trips throughout the year to make up Administrative practice and proposed rule, if adopted, would not for any loss in catch. procedure, American Samoa, Fisheries, have a significant economic impact on Observer data indicate that longline Fishing, Sea turtles. fishermen operating in American Samoa a substantial number of small entities. Dated: June 1, 2011. The analysis follows: typically use more than 15 branch lines between each float and, generally, do not Eric C. Schwaab, The proposed rule would require longline possess more than a few swordfish on board Assistant Administrator for Fisheries, fishermen to configure their gear to ensure at any time, so the requirements on the National Marine Fisheries Service. that longline hooks are set to fish at least 100 number of branch lines between floats and meters (m) deep, away from the primary limits on the number of swordfish on board For the reasons set out in the turtle habitat. The proposed measures would do not appear to be potential binding preamble, 50 CFR chapter VI is require fishermen on vessels longer than 40 constraints. Recent observer data indicate proposed to be amended as follows: ft to use float lines that are at least 30 m long, that some fishermen are already meeting the and maintain at least 70 m of mainline 30 m minimum float line requirement, and PART 665—FISHERIES IN THE without hooks between float lines and that the average length of float line is about WESTERN PACIFIC adjacent branch lines. Fishermen on these 26 m, with a range of 18–36 m. Fishermen larger vessels would be required to deploy at who need to increase the length of float lines 1. The authority citation for part 665 least 15 branch lines with hooks between would spend about $0.40 per additional continues to read as follows: floats. The possession or landing of more meter of float line, plus minimal labor costs. Authority: 16 U.S.C. 1801 et seq. than 10 swordfish, which tend to inhabit In addition to longline vessels based in near-surface waters, would also be prohibited American Samoa, the proposed rule would 2. In § 665.800: to help ensure that shallow longline fishing also apply south of the Equator to other U.S. A. Add the definitions of ‘‘Branch does not occur. longline fishing in the western Pacific, line’’ and ‘‘Float line’’ in alphabetical This proposed rule would also establish an including vessels operating under Hawaii order, and additional gear configuration requirement limited access and Western Pacific general B. In the definition of ‘‘Western that was not recommended in Amendment 5, permits. Hawaii deep-set longline fishing Pacific pelagic management unit rather in a September 16, 2010, Biological vessels have fished south of the Equator in Opinion resulting from ESA section 7 the past; however, since 2005, there have species’’ remove the entries for consultation on the proposed action. NMFS been two or fewer vessels fishing per year, ‘‘northern bluefin tuna’’ and ‘‘Indo- issued the additional requirement as a comprising 0.05 percent or less of annual Pacific blue marlin,’’ revise the scientific condition to implement the reasonable and fishing effort by the Hawaii deep-set longline names for ‘‘black marlin’’ and ‘‘striped prudent measures of the incidental take fleet. Consequently, the proposed rule is not marlin,’’ and add new entries for ‘‘Pacific statement of that biological opinion. Each likely to have a significant economic impact bluefin tuna’’ and ‘‘Pacific blue marlin,’’ branch line (connected to the mainline and on a significant number of small entities to read as follows: terminating in a single baited hook) would based in Hawaii. Additionally, there is no have to be at least 10 meters long to help reliable information about longline vessels § 665.800 Definitions. ensure that hooks are set 100 m or deeper based in U.S. western Pacific ports north of * * * * * from the surface. the Equator and operating under Western Branch line (or dropper line) means a The proposed rule is not expected to have Pacific general longline permits having ever a significant economic impact on a fished south of the Equator; thus, the line with a hook that is attached to the substantial number of small entities, either proposed rule is not likely to have a mainline. through a significant loss in landings or in significant economic impact on a significant * * * * * expenses incurred. The proposed rule would number of those small entities. Float line means a line attached to a affect vessels operating in the American The proposed rule does not duplicate, mainline used to buoy, or suspend, the Samoa longline fishery that are greater than overlap, or conflict with other Federal rules mainline in the water column. 40 ft in length. Based on 2009 data, this and is not expected to have significant would suggest that the affected vessels would impact on small entities (as discussed above), * * * * * be as follows: Class B (40.1–50 ft): 0 vessels organizations, or government jurisdictions. Western Pacific pelagic management permitted or active; Class C (50.1–70 ft): 5 There does not appear to be disproportionate unit species means the following active, 12 permitted; and Class D (>70 ft): 20 economic impacts from this rule based on species: active, 26 permitted. All vessels having the home port, gear type, or relative vessel size. potential to participate in this fishery are English common Scientific name considered to be small entities under the As a result, an initial regulatory name current Small Business Administration flexibility analysis is not required and definition of small fish-harvesting none has been prepared. Tunas: businesses, that is, their gross receipts do not NMFS concluded a formal section 7 exceed $4.0 million. consultation under the Endangered ***** The proposed gear requirement of at least Species Act for Amendment 5. In a Pacific bluefin tuna Thunnus orientalis 70 m of mainline that is free of hooks could biological opinion dated September 16, be achieved, in part, by removal of the first 2010, NMFS determined that fishing ***** and last two hooks between each float. The activities conducted under Amendment Billfishes: simple removal of these hooks has the 5, its implementing regulations, and the potential to reduce albacore catch by 5.1 ***** percent, but fishermen could offset, or terms and conditions of the biological black marlin ...... Istiompax indica mitigate, this potential loss in several ways. opinion are not likely to jeopardize the striped marlin ...... Kajikia audax They could lengthen the mainline between continued existence or recovery of any floats and redistribute the displaced hooks endangered or threatened species under ***** (branch lines), and/or add more mainline the jurisdiction of NMFS or result in the Pacific blue marlin Makaira nigricans

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pelagic MUS using longline gear south requirements in paragraphs (k)(1) English common Scientific name name of the Equator (0° lat.). through (k)(5) of this section. * * * * * (1) Each float line must be at least 30 m long. ***** 4. In § 665.813, add a new paragraph (2) At least 15 branch lines must be (k) to read as follows: attached to the mainline between any 3. In § 665.802, add a new paragraph two float lines attached to the mainline. (n) to read as follows: § 665.813 Western Pacific longline fishing restrictions. (3) Each branch line must be at least § 665.802 Prohibitions. 10 meters long. * * * * * * * * * * (4) No branch line may be attached to (k) When fishing south of the Equator the mainline closer than 70 meters to (n) Fail to comply with a term or ° condition governing longline gear (0 lat.) for western Pacific pelagic MUS, any float line. configuration in § 665.813(k) if using a owners and operators of vessels longer (5) No more than 10 swordfish may be vessel longer than 40 ft (12.2 m) than 40 ft (12.2 m) registered for use possessed or landed during a single registered for use with any valid with any valid longline permit issued fishing trip. longline permit issued pursuant to pursuant to § 665.801 must use longline [FR Doc. 2011–13972 Filed 6–6–11; 8:45 am] § 665.801 to fish for western Pacific gear that is configured according to the BILLING CODE 3510–22–P

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Notices Federal Register Vol. 76, No. 109

Tuesday, June 7, 2011

This section of the FEDERAL REGISTER response to this docket will be made designate an agency to be ‘‘responsible contains documents other than rules or available for public inspection and for informing the public of the sanitary proposed rules that are applicable to the posted without change, including any and phytosanitary (SPS) standard- public. Notices of hearings and investigations, personal information, to http:// setting activities of each international committee meetings, agency decisions and www.regulations.gov. rulings, delegations of authority, filing of standard-setting organization.’’ The petitions and applications and agency Docket: For access to comments main organizations are Codex, the statements of organization and functions are received, go to the FSIS Docket Room at World Organisation for Animal Health, examples of documents appearing in this the address listed above between 8:30 and the International Plant Protection section. a.m. and 4:30 p.m., Monday through Convention. The President, pursuant to Friday. Proclamation No. 6780 of March 23, Please state that your comments refer 1995 (60 FR 15845), designated the U.S. DEPARTMENT OF AGRICULTURE to Codex and, if your comments relate Department of Agriculture as the agency to specific Codex committees, please responsible for informing the public of Food Safety and Inspection Service identify those committees in your the SPS standard-setting activities of comments and submit a copy of your [Docket No. FSIS–2011–0001] each international standard-setting comments to the delegate from that organization. The Secretary of International Standard-Setting particular committee. Agriculture has delegated to the Office Activities FOR FURTHER INFORMATION CONTACT: of Food Safety the responsibility to Karen Stuck, United States Manager for AGENCY: Office of Food Safety, USDA. inform the public of the SPS standard- Codex, U.S. Department of Agriculture, ACTION: setting activities of Codex. The Office of Notice. Office of Food Safety, Room 4861, South Food Safety has, in turn, assigned the Agriculture Building, 1400 SUMMARY: This notice informs the public responsibility for informing the public of the sanitary and phytosanitary Independence Avenue, SW., Washington, DC 20250–3700; phone: of the SPS standard-setting activities of standard-setting activities of the Codex Codex to the U.S. Codex Office. Alimentarius Commission (Codex), in (202) 205–7760; fax: (202) 720–3157; accordance with section 491 of the e-mail: [email protected]. Codex was created in 1963 by two Trade Agreements Act of 1979, as For information pertaining to United Nations organizations, the Food amended, and the Uruguay Round particular committees, the delegate of and Agriculture Organization (FAO) and Agreements Act, Public Law 103–465, that committee may be contacted. (A the World Health Organization (WHO). 108 Stat. 4809. This notice also provides complete list of U.S. delegates and Codex is the principal international a list of other standard-setting activities alternate delegates can be found in organization for establishing standards of Codex, including commodity Attachment 2 of this notice.) Documents for food. Through adoption of food standards, guidelines, codes of practice, pertaining to Codex and specific standards, codes of practice, and other and revised texts. This notice, which committee agendas are accessible via guidelines developed by its committees covers the time periods from June 1, the World Wide Web at http:// and by promoting their adoption and 2010, to May 31, 2011, and June 1, 2011, www.codexalimentarius.net/ implementation by governments, Codex to May 31, 2012, seeks comments on current.asp. The U.S. Codex Office also seeks to protect the health of consumers, standards under consideration and maintains a Web site at http:// ensure fair practices in the food trade, recommendations for new standards. www.fsis.usda.gov/ and promote coordination of food _ _ ADDRESSES: Comments may be Regulations & Policies/ standards work undertaken by _ submitted by either of the following Codex Alimentarius/index.asp. international governmental and methods: SUPPLEMENTARY INFORMATION: nongovernmental organizations. In the • Federal eRulemaking Portal: This Background United States, U.S. Codex activities are Web site provides the ability to type managed and carried out by the United short comments directly into the The World Trade Organization (WTO) States Department of Agriculture comment field on this Web page or was established on January 1, 1995, as (USDA); the Food and Drug attach a file for lengthier comments. Go the common international institutional Administration (FDA), Department of to http://www.regulations.gov. Follow framework for the conduct of trade Health and Human Services (HHS); the the online instructions at that site for relations among its members in matters National Oceanic and Atmospheric related to the Uruguay Round Trade submitting comments. Administration (NOAA), Department of • Agreements. The WTO is the successor Mail, including diskettes or CD– Commerce (DOC); and the organization to the General Agreement ROMs and hand- or courier-delivered Environmental Protection Agency on Tariffs and Trade (GATT). U.S. items: Send to Docket Clerk, U.S. (EPA). Department of Agriculture, Food Safety membership in the WTO was approved and Inspection Service, Room 2–2127, and the Uruguay Round Agreements Act As the agency responsible for George Washington Carver Center, 5601 was signed into law by the President on informing the public of the SPS Sunnyside Avenue, Mailstop 5272, December 8, 1994. The Uruguay Round standard-setting activities of Codex, the Beltsville, MD 20705–5272. Agreements became effective, with Office of Food Safety publishes this Instructions: All items submitted by respect to the United States, on January notice in the Federal Register annually. mail or electronic mail must include the 1, 1995. Pursuant to section 491 of the Attachment 1 (Sanitary and Agency name and docket number FSIS– Trade Agreements Act of 1979, as Phytosanitary Activities of Codex) sets 2011–0001. Comments received in amended, the President is required to forth the following information:

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1. The SPS standards under June 1, 2011, to May 31, 2012. forwarded to the Commission by the consideration or planned for Attachment 2 provides a list of U.S. general subject committees, commodity consideration; and Codex Officials (including U.S. committees, and ad hoc Task Forces for 2. For each SPS standard specified: delegates and alternate delegates). A list adoption as Codex standards and a. A description of the consideration of forthcoming Codex sessions may be guidance. The Commission will also or planned consideration of the found at http:// consider the implementation status of standard; www.codexalimentarius.net/ the Codex Strategic Plan, the b. Whether the United States is current.asp. management of the Trust Fund for the participating or plans to participate in Participation of Developing Countries Additional Public Notification the consideration of the standard; and Countries in Transition in the Work c. The agenda for United States Public awareness of all segments of of the Codex Alimentarius, as well as participation, if any; and rulemaking and policy development is financial and budgetary issues. At this d. The agency responsible for important. Consequently, in an effort to Session, the Commission will elect a representing the United States with ensure that the public and in particular chairperson and three vice chairpersons. respect to the standard. minorities, women, and persons with Prior to the Commission meeting, the To Obtain Copies of the Standards disabilities are aware of this notice, Executive Committee will meet at its Listed in Attachment 1, Please Contact FSIS will announce it online through Sixty-fifth Session on June 28–July 1, the Codex Delegate or the U.S. Codex the FSIS Web page located at http:// 2011. It is composed of the chairperson; Office www.fsis.usda.gov/ vice-chairpersons; seven members regulations_&_policies/ elected from the Commission from each This notice also solicits public Federal_Register_Notices/index.asp. of the following geographic regions: comment on standards that are currently FSIS also will make copies of this Africa, Asia, Europe, Latin America and under consideration or planned for Federal Register publication available the Caribbean, Near East, North consideration and recommendations for through the FSIS Constituent Update, America, and South-West Pacific; and new standards. The delegate, in which is used to provide information regional coordinators from the six conjunction with the responsible regarding FSIS policies, procedures, regional committees. The United States agency, will take the comments received regulations, Federal Register notices, is the elected representative from North into account in participating in the FSIS public meetings, and other types of America. The Executive Committee will consideration of the standards and in information that could affect or would conduct a critical review of the proposing matters to be considered by be of interest to our constituents and elaboration of Codex standards; Codex. stakeholders. The Update is consider applications from international The United States delegate will communicated via Listserv, a free e-mail non-governmental organizations for facilitate public participation in the subscription service consisting of observer status in Codex; consider the United States Government’s activities industry, trade, and farm groups; Codex Strategic Plan and the capacity of relating to Codex Alimentarius. The consumer interest groups; allied health the Secretariat; review matters arising United States delegate will maintain a professionals; scientific professionals; from reports of Codex Committees and list of individuals, groups, and and other individuals who have proposals for new work; and review the organizations that have expressed an requested to be included. The Update Food and Agriculture Organization and interest in the activities of the Codex also is available on the FSIS Web page. the World Health Organisation (FAO/ committees and will disseminate Through Listserv and the Web page, WHO) Trust Fund for Enhanced information regarding United States FSIS is able to provide information to a Participation in Codex. delegation activities to interested much broader, more diverse audience. Responsible Agency: USDA/FSIS. parties. This information will include In addition, FSIS offers an e-mail U.S. Participation: Yes. the status of each agenda item; the subscription service that provides United States Government’s position or Codex Committee on Residues of automatic and customized access to Veterinary Drugs in Foods preliminary position on the agenda selected food safety news and items; and the time and place of information. This service is available at The Codex Committee on Residues of planning meetings and debriefing http://www.fsis.usda.gov/ Veterinary Drugs in Foods (CCRVDF) meetings following Codex committee News_&_Events/Email_Subscription/. determines priorities for the sessions. In addition, the U.S. Codex Options range from recalls and export consideration of residues of veterinary Office makes much of the same information to regulations, directives, drugs in foods and recommends information available through its Web and notices. Customers can add or Maximum Residue Limits (MRLs) for page, http://www.fsis.usda.gov/ delete subscriptions themselves and veterinary drugs. The Committee also _ _ Regulations & Policies/ have the option to password protect develops codes of practice, as may be _ Codex Alimentarius/index.asp. If you their accounts. required, and considers methods of would like to access or receive sampling and analysis for the information about specific committees, Done at Washington, DC, on June 1, 2011. determination of veterinary drug please visit the Web page or notify the Karen Stuck, residues in food. A veterinary drug is appropriate U.S. delegate or the U.S. U.S. Manager for Codex Alimentarius. defined as any substance applied or Codex Office, Room 4861, South Attachment 1 administered to a food producing Agriculture Building, 1400 animal, such as meat or milk producing Independence Avenue, SW., Sanitary and Phytosanitary Activities animals, poultry, fish or bees, whether Washington, DC 20250–3700 of Codex Alimentarius Commission and used for therapeutic, prophylactic or ([email protected]). Executive Committee diagnostic purposes, or for modification The information provided in The Codex Alimentarius Commission of physiological functions or behavior. Attachment 1 describes the status of will hold its Thirty Fourth Session July A Codex Maximum Residue Limit Codex standard-setting activities by the 4–9, 2011, in Geneva, Switzerland. At (MRL) for Residues of Veterinary Drugs Codex Committees for the time periods that time, it will consider standards, is the maximum concentration of from June 1, 2010, to May 31, 2011, and codes of practice, and related matters residue resulting from the use of a

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veterinary drug (expressed in mg/kg or • Database on need for MRLs of (2) the implication of the outcomes and ug/kg on a fresh weight basis) that is developing countries. possible risk management options. recommended by the Codex • Proposed amendments to the Terms • Update the discussion paper on Alimentarius Commission to be of Reference of CCRVDF. Ochratoxin in Cocoa with a view toward permitted or recognized as acceptable in • Risk management recommendations discussing at the 6th session of CCFH a or on a food. An MRL is based on the for the veterinary drugs for which no possible Code of Practice. type and amount of residue considered ADI or MRL has been recommended by • Update the discussion paper to be without any toxicological hazard JECFA due to specific human health relative to the Code of Practice for the for human health as expressed by the concerns. Prevention and Reduction of Mycotoxin Acceptable Daily Intake (ADI) or on the • Discussion paper on Policy for the Contamination in Cereals to determine basis of a temporary ADI that utilizes an Establishment of MRLs or Other Limits its relevance to Sorghum, so as to additional safety factor. The MRL also in Honey. provide background for discussions at takes into account other relative public Responsible Agencies: HHS/FDA/ the 6th CCCF on the possibility of health risks as well as food CVM; USDA/FSIS. developing an annex pertaining to technological aspects. U.S. Participation: Yes. Aflatoxins in grain sorghum. When establishing an MRL, • Compile exiting management consideration is also given to residues Codex Committee on Contaminants in practices for Pyrrolizidine Alkaloids for that occur in food of plant origin or the Foods consideration by the 6th session of environment. Furthermore, the MRL The Codex Committee on CCCF of a Code of Practice. • may be reduced to be consistent with Contaminants in Foods (CCCF) Develop MLs for Arsenic in rice, good veterinary practices in the use of establishes or endorses permitted specifying whether they apply to total veterinary drugs and to the extent that maximum levels (ML) and, where and/or inorganic Arsenic in rice. practical analytical methods are necessary, revises existing guidelines The Committee decided to continue available. work on: levels for contaminants and naturally • An Acceptable Daily Intake (ADI) is occurring toxicants in food and feed; Proposed draft Maximum Level for Total Aflatoxins in Dried Figs. an estimate by the Joint FAO/WHO prepares priority lists of contaminants • Expert Committee on Food Additives and naturally occurring toxicants for Editorial amendments to the (JECFA) of the amount of a veterinary risk assessment by the Joint FAO/WHO General Standard on Contaminants and drug, expressed on a body weight basis, Expert Committee on Food Additives; Toxins in Food and Feed. which can be ingested daily over a considers and elaborates methods of The Committee decided to initiate lifetime without appreciable health risk. analysis and sampling for the new work on: • Reconsidering Maximum Levels for The 19th Session of the Committee determination of contaminants and Lead, focusing on foods important to met in Burlington, Vermont, on August naturally occurring toxicants in food infants and children, and also on 30–September 3, 2010. The reference and feed; considers and elaborates canned fruits and vegetables. document is ALINORM REP11/RVDF. standards or codes of practice for related The Committee endorsed the The results of the 19th session of the subjects; and considers other matters following priority list of contaminants CCRVDF will be considered by the assigned to it by the Commission in and naturally occurring toxicants for Commission at the 34th Session in July relation to contaminants and naturally JECFA evaluation: 2011. To be considered for final occurring toxicants in food and feed. • 3-MCPD esters. adoption at Step 8: The Committee held its Fifth Session • • Glycidyl esters. Draft MRLs for Narasin (pig tissues) in The Hague, Netherlands, from March • Pyrrolizidine alkaloids. and Tilmicosin (chicken and turkey 21–25, 2011. The relevant document is • Non dioxin-like PCBs. tissues). REP11/CF. The following items are to be Responsible Agencies: HHS/FDA; The Committee will continue work on considered for adoption at Step 5/8 by USDA/FSIS. the following: the 34th Session of the Commission in U.S. Participation: Yes. • Draft MRLs for Narasin (cattle July 2011: tissues). • Proposed draft Code of Practice for Codex Committee on Food Additives • Proposed draft Sampling Plans for the Prevention and Reduction of Ethyl The Codex Committee on Food Residue Control in Aquatic Animal Carbamate in Stone Fruit Distillates. Additives (CCFA) establishes or Products and Derived Edible Products of • Proposed draft Maximum Levels for endorses acceptable maximum levels Aquatic Origin. Melamine in Food (Liquid Infant (MLs) for individual food additives; • Proposed draft Guidelines on Formula). prepares a priority list of food additives Performance Characteristics for Multi- The Committee established or for risk assessment by the Joint FAO/ Residue Methods. reconvened working groups to: WHO Expert Committee on Food • Priority list of veterinary drugs • Develop proposed draft Maximum Additives (JECFA); assigns functional requiring evaluation or re-evaluation by Levels for DON and its Acetylated classes to individual food additives; JECFA. Derivatives in Cereals and Cereal-based recommends specifications of identity • Proposed amendments to the Risk Products, including the possibility of and purity for food additives for Analysis Principles for CCRVDF for revising the existing Code of Practice for adoption by the Commission; considers comments and consideration at the next the Prevention and Reduction of methods of analysis for the session. Mycotoxin Contamination in Cereals. determination of additives in food; and • Proposed revision of Risk Analysis • Develop Guidance for Risk considers and elaborates standards or Principles Applied by the CCRVDF and Management Options on How to Deal codes for related subjects such as the the Risk Assessment Policy for the with the Results from New Risk labeling of food additives when sold as Setting of MRLs for Veterinary Drugs. Assessment Methodologies focusing on such. The 43rd Session of the • Discussion paper on Extrapolation (1) a description of different risk Committee met in Xiamen, China, of MRLs to Additional Species and assessment outcomes in language March 14–18, 2011. The relevant Tissues. understandable for risk managers, and document is REP11/FA. Immediately

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prior to the Plenary Session, there was that could not be placed in categories other similarity to pesticides in specific a 2-day physical Working Group on the 01–15) that would: (1) Contain a food items or groups of food. General Standard for Food Additives description of the products in this The 43rd Session of the Committee (GSFA) chaired by the United States. category, and (2) provide proposals for met in Beijing, China, on April 4–9, The following items discussed at the revision of the name and descriptors of 2011. The relevant document is REP11/ Plenary Session will be considered by this food category (United States). PR. The following items will be the 34th Session of the Commission in • Proposals for changes and additions considered by the Commission at its July 2011. To be considered for to the INS, with a focus on changes to 34th Session in July 2011. To be adoption at Step 8: technological purposes (Iran). considered for adoption at Step 8: • Draft food additive provisions of the • Mechanisms for re-evaluation of • Draft MRLs for Pesticides. GSFA. substances by JECFA, that would To be considered at Step 5/8: • Revised text of Section 4 (Carry- establish criteria to prioritize food • Proposed draft MRLs for Pesticides. over of Food Additives into Food) of the additives for re-evaluation, with a focus • Proposed draft revision of the Preamble of the GSFA. on food colors (Canada). Guidelines on the Estimation of To be considered for adoption at Step • Food additive provisions in the Uncertainty of Results for the 5/8: GSFA, including: (1) Draft and proposed Determination of Pesticide Residues • Proposed draft food additive draft provisions, (2) provisions for (Annex to CAC/GL 59–2006). provisions of the GSFA. • Codex Maximum Residue Limits for • which additional information was Proposed draft revision of the Food requested, and (3) provisions in Tables Pesticides Recommended for Category System of the GSFA (Food 1 and 2 of the GSFA for those food Revocation. Categories 05.1, 05.3 and 05.4) (N07– additives in Table 3 with the function • Analysis of Pesticide Residues: 2010). ‘‘acidity regulators’’ and ‘‘emulsifiers, Recommended Methods (Codex Stan • Proposed draft amendments to the stabilizers, thickeners’’ (United States). 229–1993) Recommended for Codex Guideline on Class Names and • Alignment of the food additive Revocation. International Numbering System for provisions in the Codex commodity • Approval of new work for the Food Additives (CAC/GL 36–1989). standards for meat products and Priority List for the Establishment of • Proposed draft specifications for the relevant provisions of the GSFA MRLs for Pesticides. identity and purity of food additives (Australia). The Committee will continue working arising from the 73rd JECFA, including The Committee agreed to continue on: 14 food additives and 167 flavorings. • Draft revision of the Classification To be considered for adoption at Step working on: • Prototype of a database on of Foods and Animal Feeds: Tree Nuts, 5: Herbs and Spices. • Proposed draft revision of the processing aids (China). • • Draft Principle and Guidance for Standard for Food Grade Salt (CODEX Information document on the GSFA (Codex Secretariat). the Selection of Representative STAN 150–1985) (N08–2010). • The Committee also agreed to forward Information document on food Commodities for the Extrapolation of the following to the CAC: additive provisions in commodity Maximum Residue Limits for Pesticides • Food additive provisions of the standards (Codex Secretariat). for Commodity Groups (including Table • Information document on Inventory 1 on fruit commodities). GSFA recommended for revocation. • • Draft and proposed draft food of Substances Used as Processing Aids Draft revision of the Classification additive provisions of the GSFA (New Zealand). of Foods and Animal Feeds: Herbs— recommended for discontinuation. The Committee also agreed to hold a Edible Flowers. • Amendment to the GSFA provision physical Working Group on the GSFA • Proposed draft MRLs for Pesticides for sulfites in food category 04.1.2.2 immediately preceding the 44th session at Step 5. (Dried fruits) to reflect the food additive of CCFA. • Proposed draft revision of the provisions in the Draft Standard for Responsible Agency: HHS/FDA. Classification of Foods and Animal Dessicated Coconut (revision of CODEX U.S. Participation: Yes. Feeds: Assorted Tropical and Sub- STAN 177–1991). Codex Committee on Pesticide Residues tropical Fruits—edible peel and • Amendment to ‘‘Explanatory Notes Assorted Tropical and Sub-Tropical on the Lay-out of the INS’’ (Section 1 of The Codex Committee on Pesticide Fruits—inedible peel. the Codex Guideline on Class Names Residues (CCPR) is responsible for • Proposed draft revision of the and International Numbering System for establishing maximum limits for Classification of Foods and Animal Food Additives (CAC/GL 36–1989)). pesticide residues in specific food items Feeds: Other vegetable commodity The Committee agreed to establish or in groups of food; establishing groups. electronic Working Groups and named maximum limits for pesticide residues • Establishment of Codex Priority lead countries on: in certain animal feeding stuffs moving Lists of Pesticides (Evaluation of New • Provisions for aluminum- in international trade where this is Pesticides and Pesticides under the containing food additives in the GSFA justified for reasons of protection of Periodic Re-Evaluation). (Brazil). human health; preparing priority lists of • Application of Proportionality in • Application of Note 161 (‘‘Subject to pesticides for evaluation by the Joint Selecting Data for MRL Estimation. national legislation of the importing FAO/WHO Meeting on Pesticide • Revision of the Risk Analysis country aimed, in particular, at Residues (JMPR); considering methods Principles applied by the Codex consistency with Section 3.2 of the of sampling and analysis for the Committee on Pesticide Residues. Preamble.’’) to food additive provisions determination of pesticide residues in • Consideration of the status of Codex in the GSFA, with formulation of food and feed; considering other matters MRLs for Lindane. recommendations to facilitate a uniform in relation to the safety of food and feed • Development of criteria for use by implementation of Section 3.2 of the containing pesticide residues and; CCPR and JMPR to determine minimum Preamble to the GSFA (South Africa). establishing maximum limits for number of field trials necessary to • A discussion paper on Food environmental and industrial support the establishment of MRLs for Category 16.0 (Composite foods—foods contaminants showing chemical or minor uses/specialty crops.

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Responsible Agencies: EPA; USDA/ principles and guidelines for food 11/FL. The following items will be AMS. import and export inspection and considered by the 34th Session of the U.S. Participation: Yes. certification systems, with a view to Commission in July 2011. To be harmonizing methods and procedures considered at Step 8: Codex Committee on Methods of that protect the health of consumers, • Analysis and Sampling Draft revision of the Guidelines on ensure fair trading practices, and Nutrition Labeling Concerning the List The Codex Committee on Methods of facilitate international trade in of Nutrients That are Always Declared Analysis and Sampling (CCMAS) foodstuffs; developing principles and on a Voluntary or Mandatory Basis. defines the criteria appropriate to Codex guidelines for the application of To be considered at step 5: methods of analysis and sampling; measures by the competent authorities • Proposed Draft Definition of serves as a coordinating body for Codex of exporting and importing countries to Nutirent Reference Values Proposal. with other international groups working provide assurance, where necessary, To be considered at step 5/8: on methods of analysis and sampling that foodstuffs comply with • Proposed draft Recommendations and quality assurance systems for requirements, especially statutory for the Labeling of Foods and Food laboratories; specifies, on the basis of health requirements; developing Ingredients Obtained through Certain final recommendations submitted to it guidelines for the utilization, as and Techniques of Genetic Modification/ by the bodies referred to above, when appropriate, of quality assurance genetic Engineering. reference methods of analysis and systems to ensure that foodstuffs The Committee is continuing work on: sampling appropriate to Codex conform with requirements and promote • Discussion paper on Additional standards which are generally the recognition of these systems in Conditions for Nutrient Content Claims applicable to a number of foods; facilitating trade in food products under and Comparative Claims in the considers, amends if necessary, and bilateral/multilateral arrangements by Guidelines for Use of Nutrition and endorses as appropriate methods of countries; developing guidelines and Health Claims. analysis and sampling proposed by criteria with respect to format, • Mandatory Nutrition Labeling. Codex commodity committees, except declarations, and language of such • Guidelines for the Production, for methods of analysis and sampling official certificates as countries may Processing, Labeling and Marketing of for residues of pesticides or veterinary require with a view towards Organically Produced Foods. drugs in food, the assessment of international harmonization; making • Annex 1: Inclusion of Ethylene for microbiological quality and safety in recommendations for information other Products. food, and the assessment of exchange in relation to food import/ • Organic Aquaculture. specifications for food additives; export control; consulting as necessary Responsible Agencies: HHS/FDA; elaborates sampling plans and with other international groups working USDA/FSIS. procedures, as may be required; on matters related to food inspection U.S. Participation: Yes. considers specific sampling and and certification systems; and analysis problems submitted to it by the considering other matters assigned to it Codex Committee on Food Hygiene Commission or any of its Committees; by the Commission in relation to food The Codex Committee on Food and defines procedures, protocols, inspection and certification systems. Hygiene (CCFH): guidelines or related texts for the The Committee has not met since the • Develops basic provisions on food assessment of food laboratory 33rd session of the Commission in 2010. hygiene applicable to all food or to proficiency, as well as quality assurance The Committee is working on: • specific food types; systems for laboratories. Proposed draft Principles and • Considers and amends or endorses The 32nd Session of the Committee Guidelines for National Food Control provisions on food hygiene contained in met in Budapest, Hungary, March 7–11, Systems. Codex commodity standards and codes • Discussion paper on further 2011. The relevant document is REP11/ of practice developed by other Codex guidance regarding attestation in MAS. The following items will be commodity committees; Generic Model Official Certificate considered for adoption by the 34th • Considers specific food hygiene (Annex to CAC/Gl 38–2001) Session of the Commission in July 2011. problems assigned to it by the To be considered for final adoption at Responsible Agencies: HHS/FDA; USDA/FSIS. Commission; Step 8: • Suggests and prioritizes areas where • Draft Revised Guidelines on U.S. Participation: Yes. there is a need for microbiological risk Measurement Uncertainty The Codex Committee on Food Labeling assessment at the international level and Committee will continue working on: • Endorsement of Methods of The Codex Committee on Food develops questions to be addressed by Labeling drafts provisions on labeling the risk assessors; and Analysis in Codex Standards. • • Principles for the Use of Sampling applicable to all foods; considers, Considers microbiological risk and Testing in International Food amends, and endorses draft specific management matters in relation to food Trade. provisions on labeling prepared by the hygiene and in relation to FAO/WHO • Developing a discussion paper on Codex Committees drafting standards, risk assessments. Provisions for Proprietary Methods. codes of practice, and guidelines; and The 42nd Session of the CCFH met in Responsible Agencies: HHS/FDA; studies specific labeling problems Kampala, Uganda, on November 29– USDA/GIPSA. assigned by the Codex Alimentarius December 3, 2010. The reference U.S. Participation: Yes. Commission. The Committee also document is ALINORM REP 11/FH. studies problems associated with the Two documents that advanced to Step Codex Committee on Food Import and advertisement of food with particular 5/8 at the 42nd session will be Export Inspection and Certification reference to claims and misleading considered for final adoption by the Systems descriptions. Codex Alimentarius Commission (CAC) The Codex Committee on Food Import The Committee held its 39th Session at the 34th session in July 2011. Those and Export Inspection and Certification in Quebec City, Canada, on May 9–13, documents being considered for final Systems is responsible for developing 2011. The reference document is REP adoption at Step 5/8 are:

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• Proposed draft Guideline for the • Proposed draft Standard for Golden • Discussion paper for consideration Control of Campylobacter and Passion Fruit. of the revision of the Standard for Salmonella spp in Chicken Meat. • Proposed layout for Codex Follow-up Formula. • Proposed draft Revision of the Standards for Fresh Fruits and Responsible Agencies: HHS/FDA; Recommended International Code of Vegetables (including matters relating to USDA/ARS. Hygienic Practice for Collecting, point of application and quality U.S. Participation: Yes. Processing and Marketing of Natural tolerances at import/export control Codex Committee on Fats and Oils Mineral Waters. points). The Committee continues to work on • Proposals for new work on Codex The Codex Committee on Fats and the following: Standards for Fresh Fruits and Oils (CCFO) is responsible for • Proposed draft Guidelines on the Vegetables. elaborating worldwide standards for fats and oils of animal, vegetable, and Application of General Principles of Responsible Agencies: USDA/AMS; marine origin, including margarine and Food Hygiene to the Control of Viruses HHS/FDA. in Food (at Step 3). olive oil. The Committee held its 22nd • Proposed Revision of the Principles U.S. Participation: Yes. Session in Penang, Malaysia, on for the Establishment and Application Codex Committee on Nutrition and February 21–25, 2011. The following of Microbiological Criteria for Foods (at Foods for Special Dietary Uses items will be considered for adoption by Step 2/3). the 34th Session of the Commission in The Committee agreed to begin new The Codex Committee on Nutrition July 2011. To be considered for final work on: and Foods for Special Dietary Uses adoption at Step 8: • Guidelines for Control of specific (CCNFSDU) is responsible for studying • Draft amendment to the Standard Zoonotic Parasites in Meat: Trichinella nutrition issues referred to it by the for Named Vegetable Oils: Inclusion of spiralis and Cysticercus bovis. Codex Alimentarius Commission. The Palm Kernel Olein and Palm Kernel • Annex on Melons to the Code of Committee also drafts general Stearin. Hygienic Practice for Fresh Fruits and provisions, as appropriate, on • Code of Practice for the Storage and Vegetables. nutritional aspects of all foods and Transport of Edible Fats and Oils in • Discussion paper on the review of develops standards, guidelines, or Bulk: Draft Criteria to Assess the the risk analysis principles and related texts for foods for special dietary Acceptability of Substances for procedures applied by the Codex uses in cooperation with other Inclusion in a List of Acceptable Committee on Food Hygiene. committees where necessary; considers, Previous Cargoes. Responsible Agencies: HHS/FDA; amends if necessary, and endorses • Code of Practice for the Storage and USDA/FSIS. provisions on nutritional aspects Transport of Edible Fats and Oils in U.S. Participation: Yes. proposed for inclusion in Codex Bulk: Draft List of Acceptable Previous standards, guidelines, and related texts. Codex Committee on Fresh Fruits and Cargoes. The Committee held its 32nd Session To be considered for adoption at Step Vegetables in Santiago, Chile, on November 1–5, 5/8: The Codex Committee on Fresh Fruits 2010. The reference document is REP • Code of Practice for the Storage and and Vegetables is responsible for 11/NSFDU. The following items will be Transport of Edible Fats and Oils in elaborating worldwide standards and considered by the Commission at its Bulk: Proposed Draft List of Acceptable codes of practice as may be appropriate 34th Session in July 2011. To be Previous Cargoes. for fresh fruits and vegetables; for considered for final adoption at Step 8: The Commission will consider consulting with the UNECE Working • Draft Annex to the Guidelines on whether to endorse new work on: Party on Agricultural Quality Standards Nutrition Labeling: General Principles • Development of a Standard for Fish in the elaboration of worldwide for Establishing Nutrient Reference Oils. standards and codes of practice with Values of Vitamins and Minerals for the • Proposed draft amendment to the particular regard to ensuring that there General Population. Standard for Named Vegetable Oils; is no duplication of standards or codes The Committee will continue work on: Rice Bran Oil. of practice and that they follow the • Proposed draft Additional or The Commission will consider same broad format; and for consulting, Revised Nutrient Reference Values for whether to discontinue work on the as necessary, with other international following: Labeling Purposes in the Codex • organizations which are active in the Guidelines on Nutrition Labeling. Proposed draft amendment to the Standard for Olive Oils and Olive area of standardization of fresh fruits • Proposed draft revision of the Pomace Oils: Linolenic Acid Level. and vegetables. Codex General Principles for the The Committee held its 16th Session Responsible Agencies: HHS/FDA; Addition of Essential Nutrients to in Mexico City, Mexico, on May 2–6, USDA/ARS. Foods. 2011. The reference document is REP11/ • U.S. Participation: Yes. FFV. The following will be considered Proposed draft revision of the Guidelines on Formulated Codex Committee on Processed Fruits by the Commission at its 34th session in and Vegetables July 2011. To be considered at step 8: Supplementary Foods for Older Infants • Draft Standard for Tree Tomatoes. and Young Children. The Codex Committee on Processed • To be considered at step 5/8: Proposed draft Nutrient Reference Fruits and Vegetables (CCPFV) is • Proposed draft Standard for Chili Values (NRVs) for Nutrients Associated responsible for elaborating worldwide Peppers. with Risk of Diet Related standards for all types of processed The Committee will continue working Noncommunicable Diseases for the fruits and vegetables including dried on: General Population. products, canned dried peas and beans, • Draft Standard for Avocado at Step • New work on a New Part B for and jams and jellies (but not dried 7. Underweight Children in the Standard prunes or fruit and vegetable juices), as • Proposed draft Standard for for Processed Cereal-Based Foods for well as revision of standards for quick Pomegranate at Step 5. Infants and Young Children. frozen fruits and vegetables.

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The 25th Session of the CCPFV met in U.S. Participation: Yes. intra-regional trade; draw the attention Denpasar, Bali, Indonesia, on October • Natural Mineral Waters. of the Commission to any aspects of the 25–29, 2010. The reference document is Responsible Agency: HHS/FDA. Commission’s work of particular ALINORM REP 11/PFV. The results of U.S. Participation: Yes. significance to the region; promote the 25th Session of the CCPFV will be • Sugars. coordination of all regional food considered by the Commission at its Responsible Agencies: HHS/FDA. standards work undertaken by 34th session in July 2011. The following U.S. Participation: Yes. international governmental and non- • item will be considered for final Vegetable Proteins. governmental organizations within each adoption: Responsible Agency: USDA/ARS. region; exercise a general coordinating • Proposed amendment to the Terms U.S. Participation: Yes. role for the region and such other of Reference of the Committee on Ad hoc Intergovernmental Task Force functions as may be entrusted to it by Processed Fruits and Vegetables to add on Antimicrobial Resistance the Commission; and promote the use of responsibility for elaboration of Codex standards and related texts by The ad hoc Intergovernmental Task standards for fruit and vegetable juices members. and nectars and related products. Force on Antimicrobial Resistance The following items will be (TFAMR) was created by the 29th Coordinating Committee for Africa considered for final adoption at Step 5/ Session of the Commission. The Committee (CCAfrica) held its 8: The Task Force was hosted by the 19th session in Accra, Ghana, from • Proposed draft Codex Standard for Republic of Korea and had a timeframe February 1–4, 2011. The relevant Desiccated Coconut. of four sessions, starting with its first document is REP11/AFRICA. The • Proposed draft Annex on Certain meeting in October 2007. Its objective Committee agreed to submit a number of Mushrooms. was to develop science-based guidance recommendations regarding measures • Proposed draft Codex Standard for to be used to assess the risks to human that the Commission and FAO/WHO Canned Bamboo Shoots. health associated with the presence in could take in connection with private The Committee continues to work on food and feed, including aquaculture, food safety standards. The Committee the following: and the transmission through food and also noted that a worldwide standard for • Proposed draft Codex Standard for feed, of antimicrobial resistant processed cheese was necessary, but if Table Olives. microorganisms and antimicrobial that was not possible, a regional • Proposed draft Codex Sampling resistance genes and to develop standard for Africa should be Plans including Metrological Provisions appropriate risk management advice developed. for Controlling Minimum Drained based on that assessment to reduce such Responsible Agency: USDA/FSIS. Weight of Canned Fruits and Vegetables risk. In this process, work undertaken in U.S. Participation: Yes (as observer). in Packing Media. this field at national, regional, and • Proposed draft Codex Standard for international levels was to be taken into Coordinating Committee for Asia Certain Quick Frozen Vegetables. account. The Committee (CCAsia) held its 16th • Proposed draft Codex Standard for The 4th and final Session of the Task session in Bali, Indonesia, from Certain Canned Fruits. Force met in Muju, Republic of Korea, November 22–26, 2010. The relevant • Food Additive Provisions for on October 18–22, 2010. The relevant document is REP11/ASIA. The Processed Fruits and Vegetables. document, Draft Guidelines for Risk following items will be considered for • Packing Media Provisions for Analysis of Foodborne Antimicrobial final adoption at Step 8: Pickled Vegetables. Resistance (REP11/AMR), will be • Draft Regional Standard for Edible • Methods of Analysis for considered for adoption by the Codex Sago Flour. Applesauce. Alimentarius Commission (CAC) at the To be considered for adoption at Step • Discussion paper on the Extension 34th session in July 2011. 5/8: of Territorial Application of the Codex Responsible Agencies: HHS/FDA; • Proposed draft Regional Standard Standard for Ginseng Products. USDA/FSIS. for Chili Sauce. • Discussion paper on the Need for a U.S. Participation: Yes. The Committee continues to work on: Codex Standard for Chemically • Proposed draft Standard for Non- Flavored Water-based Drinks. FAO/WHO Regional Coordinating Fermented Soybean Products. Responsible Agencies: USDA/AMS; Committees • Proposed draft Regional Standard HHS/FDA. for Tempe. The FAO/WHO Regional • U.S. Participation: Yes. Coordinating Committees define the Proposed draft Regional Standard for Durian. Certain Codex Commodity Committees problems and needs of the regions • concerning food standards and food Discussion paper on new work on Several Codex Alimentarius control; promote within the Committee a Regional Standard for Yuza. • Discussion paper on new work on Commodity Committees have adjourned contacts for the mutual exchange of a Regional Standard for Edible Crickets sine die. The following Committees fall information on proposed regulatory into this category: and Their Products. • initiatives and problems arising from • Update of (i) the implementation of Cereals, Pulses and Legumes. food control and stimulate the Responsible Agency: HHS/FDA. the Strategic Plan for Asia and (ii) issues U.S. Participation: Yes. strengthening of food control relevant to the region and draft strategic • Cocoa Products and Chocolate. infrastructures; recommend to the plan for CCASIA. Responsible Agency: HHS/FDA. Commission the development of • Proposal for new work on a Codex U.S. Participation: Yes. worldwide standards for products of Regional Standard for Laver Products. • Meat Hygiene. interest to the region, including Responsible Agency: USDA/FSIS. Responsible Agency: USDA/FSIS. products considered by the Committees U.S. Participation: Yes (as observer). U.S. Participation: Yes. to have an international market • Milk and Milk Products. potential in the future; develop regional Coordinating Committee for Europe Responsible Agencies: USDA/AMS; standards for food products moving The Committee (CCEurope) held its HHS/FDA. exclusively or almost exclusively in 27th session in Warsaw, Poland, from

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October 5–8, 2010. The relevant • National Food Control Systems and Center for Veterinary Medicine, U.S. document is REP 11/EURO. Consumer Participation in Food Food and Drug Administration, MPN 1, The Committee agreed to nominate Standard Setting. Room 236, 7520 Standish Place, Poland for appointment as the Regional • Use of Codex Standards and Rockville, Maryland 20855. Phone: Coordinator by the 34th session of the Consumer Participation in Food (240) 276–8300. Fax: (240) 276–8242. E- Commission. Standard Setting. mail: [email protected]. The Committee also agreed to propose • Use of Codex Standards at National Listing of U.S. Delegates and Alternates new work on the revision of the and Regional Level. Worldwide General Subject Codex Regional Standard for Fresh Fungus • Nutritional Issues within the Committees ‘‘Chanterelle’’ and on a regional standard Region. for Ayran. • Participation in Codex work and in Codex Committee on Contaminants in Responsible Agency: USDA/FSIS. FAO/WHO activities related to scientific Foods U.S. Participation: Yes (as observer). advice. (Host Government—the Netherlands) Responsible Agency: USDA/FSIS. Coordinating Committee for Latin U.S. Participation: Yes (as observer). U.S. Delegate America and the Caribbean Coordinating Committee for North Nega Beru, PhD, Director, Office of The Coordinating Committee for Latin Food Safety (HFS–300), Center for Food America and the Caribbean (CCLAC) America and the Southwest Pacific (CCNASWP) Safety and Applied Nutrition, U.S. Food held its 17th session in Acapulco, and Drug Administration, 5100 Paint Mexico, from November 8–12, 2010. The Committee (CCNASWP) held its Branch Parkway, College Park, MD The relevant document is REP 11/LAC. 11th Session in Nuku’alofa, Tonga, from 20740. Phone: (240) 402–1700. Fax: The following items will be considered September 28th through October 1st, (301) 436–2651. E-mail: for adoption at the 34th Session of the 2010. The relevant document is REP11/ [email protected]. Commission: NASWP. The Committee continues to • Proposed draft Codex Regional work on: Alternate Delegate Standard for Culantro Coyote. • Draft Revised Strategic Plan for the Kerry Dearfield, PhD, Scientific • Proposed draft Codex Regional CCNASWP 2014–2018. Advisor for Risk Assessment, Office of Standard for Lucuma. • Discussion paper on the Public Health Science, Food Safety and The Committee will continue working development of a commodity standard Inspection Service, U.S. Department of on: for Kava. Agriculture, 1400 Independence • Discussion paper on the • Discussion paper on the Avenue, SW., Room 380, Aerospace formulation of regional positions by development of a commodity standard Center, Washington, DC 20250. Phone: CCLAC. for Nonu (Noni). (202) 690–6451. Fax: (202) 690–6337. E- Responsible Agency: USDA/FSIS. Responsible Agency: USDA/FSIS. mail: [email protected]. U.S. Participation: Yes (as observer). U.S. Participation: Yes. Codex Committee on Food Additives Coordinating Committee for the Near Attachment 2 East (Host Government—China) U.S. Codex Alimentarius Officials The Committee (CCNEA) will hold its Codex Chairpersons From the United U.S. Delegate 6th session in Hammamet, Tunisia, from States Dennis M. Keefe, PhD, Office of May 23–27, 2011. The Committee will Codex Committee on Food Hygiene Premarket Approval, Center for Food be working on: Safety and Applied Nutrition, U.S. Food • 2.1 Strategic Plan 2008–2013. Emilio Esteban, DVM, MBA, MPVM, and Drug Administration (HFS–205), • 2.2 Private Standards. PhD, Scientific Advisor for Laboratory Harvey W. Wiley Federal Building, 5100 • 2.3 Processed Cheese. Services & Research, Office of Public Paint Branch Parkway, College Park, MD • 2.4 Revised Strategic Plan. Health Science, Food Safety and 20740–3835. Phone: (240) 402–1284. • Proposed draft Code of Practice for Inspection Service, U.S. Department of Fax: (301) 436–2972. E-mail: Street Vended Foods. Agriculture, 950 College Station Road, [email protected]. • Proposed draft Regional Standard Athens, GA 30605. Phone: (706) 546– for Harissa (hot pepper paste). 3429. Fax: (706) 546–3428. E-mail: Alternate Delegate • Proposed draft Regional Standard [email protected]. Susan E. Carberry, PhD, Supervisory for halwa Tehenia. Chemist, Division of Petition Review, Codex Committee on Processed Fruits • Project document for Regional Office of Food Additive Safety (HFS– and Vegetables Standards for Doogh. 265), Center for Food Safety and • Project document for a Regional Richard Boyd, Head, Defense Contract Applied Nutrition, U.S. Food and Drug Standard for Camel Milk. Inspection Section, Processed Products Administration, 5100 Paint Branch • Project documents for Regional Branch, Fruit and Vegetable Programs, Parkway, College Park, MD 20740. Standards for Date Paste and Date Agricultural Marketing Service, U.S. Phone: (240) 402–1269. Fax: (301) 436– Molasses. Department of Agriculture, 1400 2972. E-mail: • Classification of foods based on Independence Avenue, SW., Mail Stop [email protected]. risks. 0247, Room 0726–South Building, • FAO/WHO Activities Washington, DC 20250. Phone: (202) Codex Committee on Food Hygiene complementary to the work of the 720–5021. Fax: (202) 690–1527. E-mail: (Host Government—United States) Codex Alimentarius Commission, [email protected]. including FAO/WHO project and Trust U.S. Delegate Fund for Enhanced Participation in Codex Committee on Residues of Jenny Scott, Senior Advisor, Office of Codex. Veterinary Drugs in Foods Food Safety, Center for Food Safety and • Activities of the STDF Programme Steven D. Vaughn, DVM, Director, Applied Nutrition, U.S. Food and Drug in the Region. Office of New Animal Drug Evaluation, Administration, 5100 Paint Branch

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Parkway, HFS–300, Room 3B–014, Alternate Delegate 504–8157. Fax: (301) 504–9381. E-mail: College Park, MD 20740–3835. Phone: Jeffrey Canavan, Deputy Director, [email protected]. (240) 402–2166. Fax: (202) 436–2632. E- Labeling and Program Delivery Division, Codex Committee on Pesticide Residues mail: [email protected]. Food Safety and Inspection Service, (Host Government—China) Alternate Delegates U.S. Department of Agriculture, 5601 Sunnyside Ave., Stop 5273, Beltsville, U.S. Delegate Kerry Dearfield, PhD, Scientific MD 20705–5273. Phone: (301) 504– Lois Rossi, Director of Registration Advisor for Risk Assessment, Office of 0860. Fax: (301) 504–0872. Division, Office of Pesticide Programs, [email protected]. Public Health Science, Food Safety and U.S. Environmental Protection Agency, Inspection Service, U.S. Department of Codex Committee on General Principles Ariel Rios Building, 1200 Pennsylvania Agriculture, 1400 Independence Avenue, NW., Washington, DC 20460. (Host Government—France) Avenue, SW., Room 380, Aerospace Phone: (703) 305–5447. Fax: (703) 305– Center, Washington, DC 20250. Phone: U.S. Delegate 6920. E-mail: [email protected]. (202) 690–6451. Fax: (202) 690–6337. E- mail: [email protected]. Note: A member of the Steering Committee Alternate Delegate Dr. Joyce Saltsman, Interdisciplinary heads the delegation to meetings of the Dr. Pat Basu, Senior Advisor, Scientist, Office of Food Safety (HFS– General Principles Committee. Chemistry, Toxicology, & Related 317), Center for Food Safety and Sciences, Office of Public Health Applied Nutrition, U.S. Food and Drug Codex Committee on Methods of Science, Food Safety and Inspection Administration, 5100 Paint Branch Analysis and Sampling Service, U.S. Department of Agriculture, Parkway, College Park, MD 20740. (Host Government—Hungary) 1400 Independence Ave, SW., Phone: (240) 402–1641. Fax: (301) 436– Washington, DC 20250. Phone: (202) U.S. Delegate 2651. E-mail: 690–6558. Fax: (202) 690–2364. [email protected]. Gregory Diachenko, PhD, Director, [email protected]. Division of Product Manufacture and Codex Committee on Food Import and Codex Committee on Residues of Use, Office of Premarket Approval, Veterinary Drugs in Foods Export Inspection and Certification Center for Food Safety and Applied Systems Nutrition (CFSAN), U.S. Food and Drug (Host Government—United States) (Host Government—Australia) Administration (HFS–300), Harvey W. U.S. Delegate Wiley Federal Building, 5100 Paint U.S. Delegate Branch Parkway, College Park, MD Dr. Kevin Greenlees, Senior Advisor 20740–3835. Phone: (240) 402–2387. for Science & Policy, Office of New Mary Stanley, Director, International Fax: (301) 436–2364. E-mail: Animal Drug Evaluation, HFV–100, Policy Division, Office of Policy and [email protected]. Center for Veterinary Medicine, U.S. Program Development, Food Safety and Food and Drug Administration, 7520 Inspection Service, U.S. Department of Alternate Delegate Standish Place, Rockville, MD 20855. Agriculture, Room 2925, South David B. Funk, Associate Director for Phone: (240) 276–8214. Fax: (240) 276– Agriculture Building, 1400 Methods Development, Technical 9538. E-mail: Independence Avenue, SW., Services Division, Grain Inspection, [email protected]. Washington, DC 20250. Phone: (202) Packyards and Stockyards Alternate Delegate 720–0287. Fax: (202) 720–4929. E-mail: Administration, U.S. Department of [email protected]. Agriculture, 10383 N. Ambassador Dr., Dr. Charles Pixley, Director, Laboratory Quality Assurance Division, Alternate Delegate Kansas City, MO 64153. Phone: (816) 891–0473. Fax: (816) 891–0478. Office of Public Health Science, Food Safety and Inspection Service, U.S. H. Michael Wehr, Senior Advisor and [email protected]. Department of Agriculture, 950 College Codex Program Coordinator, Codex Committee on Nutrition and Station Road, Athens, GA 30605. Phone: International Affairs Staff, Center for Food for Special Dietary Uses (706) 546–3559. Fax: (706) 546–3452. E- Food Safety and Applied Nutrition, U.S. mail: [email protected]. Food and Drug Administration, 5100 (Host Government—Germany) Paint Branch Parkway (HFS–550), U.S. Delegate Worldwide Commodity Codex College Park, MD 20740. Phone: (240) Committees (Active) Barbara O. Schneeman, PhD, Director, 402–1724. Fax: (301) 436–2618. E-mail: Codex Committee on Fats and Oils [email protected]. Office of Nutrition, Labeling and Dietary Supplements, Center for Food Safety (Host Government—Malaysia) Codex Committee on Food Labeling and Applied Nutrition, U.S. Food and Drug Administration, 5100 Paint Branch U.S. Delegate (Host Government—Canada) Highway (HFS–800), College Park, MD Martin J. Stutsman, J.D., Office of U.S. Delegate 20740. Phone: (240) 402–2373. Fax: Food Safety (HFS–317), Center for Food (301) 436–2636. E-mail: Safety and Applied Nutrition, U.S. Food Barbara O. Schneeman, PhD, Director, [email protected]. and Drug Administration, 5100 Paint Office of Nutrition, Labeling, and Branch Parkway, College Park, MD Alternate Delegate Dietary Supplements, Center for Food 20740–3835. Phone: (240) 402–1642. Safety and Applied Nutrition, U.S. Food Allison Yates, PhD, Director, Fax: (301) 436–2651. E-mail: and Drug Administration, 5100 Paint Beltsville Human Nutrition Research [email protected]. Branch Parkway (HFS–800), College Center, Agricultural Research Service, Park, MD 20740. Phone: (240) 402–2373. U.S. Department of Agriculture, 10300 Alternate Delegate Fax: (301) 436–2636. E-mail: Baltimore Avenue, Bldg 307C, Room Robert A. Moreau, PhD, Research [email protected]. 117, Beltsville, MD 20705. Phone: (301) Chemist, Eastern Regional Research

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Center, Agricultural Research Service, (202) 690–4944. Fax: (202) 720–0016. E- Alternate Delegate U.S. Department of Agriculture, 600 mail: [email protected]. John F. Sheehan, Director, Division of East Mermaid Lane, Wyndmoor, PA Alternate Delegate Dairy and Egg Safety, Office of Plant and 19038. Phone: (215) 233–6428. Fax: Dairy Foods and Beverages, Center for (215) 233–6406. Paul South, PhD, Division of Plant Food Safety and Applied Nutrition, U.S. [email protected]. and Diary Foods, Office of Food Safety, Food and Drug Administration (HFS– Codex Committee on Fish and Fishery Center for Food Safety and Applied 306), Harvey W. Wiley Federal Building, Products Nutrition, U.S. Food and Drug 5100 Paint Branch Parkway, College Administration, 5100 Paint Branch Park, MD 20740. Phone: (240) 402–1488. (Host Government—Norway) Parkway, College Park, MD 20740. Fax: (301) 436–2632. E-mail: Delegates Phone: (240) 402–1640. Fax: (301) 436– [email protected]. 2561. E-mail: [email protected]. Timothy Hansen, Director, Seafood Codex Committee on Natural Mineral Inspection Program, National Marine Worldwide Commodity Codex Waters Committees (Adjourned) Fisheries Service, National Oceanic and (Host Government—Switzerland) Atmospheric Administration, 1315 East Codex Committee on Cocoa Products West Highway SSMC#3, Silver Spring, and Chocolate (Adjourned sine die) U.S. Delegate MD 20910. Phone: (301) 713–2355. Fax: (Host Government—Switzerland) Lauren Posnick Robin, Sc.D., Review (301) 713–1081. Chemist, Office of Plant and Dairy [email protected]. U.S. Delegate Foods, Center for Food Safety and Dr. William Jones, Director, Division Applied Nutrition, U.S. Food and Drug Michelle Smith, PhD, Food of Seafood Safety, Office of Food Safety Administration, Harvey W. Wiley Technologist, Office of Plant and Dairy (HFS–325), U.S. Food and Drug Federal Building, 5100 Paint Branch Foods and Beverages, Center for Food Administration, 5100 Paint Branch Parkway, College Park, MD 20740–3835. Safety and Applied Nutrition, U.S. Food Parkway, College Park, MD 20740. Phone: (240) 402–1639. Fax: (301) 436– and Drug Administration (HFS–306), Phone: (240) 402–2300. Fax: (301) 436– 2651. E-mail: Harvey W. Wiley Federal Building, 5100 2601. [email protected]. [email protected]. Paint Branch Parkway, College Park, MD Codex Committee on Fresh Fruits and 20740–3835. Phone: (240) 402–2024. Codex Committee on Sugar (Adjourned Vegetables Fax: (301) 436–2651. E-mail: Sine Die) [email protected]. (Host Government—Mexico) (Host Government—United Kingdom) Cereals, Pulses and Legumes U.S. Delegate U.S. Delegate (Adjourned Sine Die) Dorian LaFond, International Martin J. Stutsman, J.D., Office of Standards Coordinator, Fruit and (Host Government—United States) Food Safety (HFS–317), Center for Food Vegetables Division, Agricultural Delegate Safety and Applied Nutrition, U.S. Food Marketing Service, U.S. Department of and Drug Administration, 5100 Paint Agriculture, Stop 0235—Room 2086, Henry Kim, PhD, Supervisory Branch Parkway, College Park, MD South Agriculture Building, 1400 Chemist, Division of Plant Product 20740–3835. Phone: (240) 402–1642. Independence Avenue, SW., Safety, Office of Plant and Dairy Foods, Fax: (301) 436–2651. E-mail: Washington, DC 20250–0235. Phone: Center for Food Safety and Applied [email protected]. Nutrition, U.S. Food and Drug (202) 690–4944. Fax: (202) 720–0016. E- Codex Committee on Vegetable Proteins mail: [email protected]. Administration, 5100 Paint Branch Parkway, College Park, MD 20740. (Adjourned Sine Die) Alternate Delegate Phone: (240) 402–2023. Fax: (301) 436– (Host Government—Canada) 2651. [email protected]. Dongmin Mu, Product Evaluation and U.S. Delegate Labeling Team, Food Labeling and Codex Committee on Meat Hygiene Standards Staff, Office of Nutrition, (Adjourned Sine Die) Dr. Wilda H. Martinez, Area Director, Labeling and Dietary Supplements, U.S. ARS North Atlantic Area, Agricultural Food and Drug Administration, 5100 (Host Government—New Zealand) Research Service, U.S. Department of Paint Branch Parkway, College Park, MD U.S. Delegate Agriculture, 600 E. Mermaid Lane, 20740. Phone: (240) 402–1775. Fax: Wyndmoor, PA 19038. Phone: (215) (301) 436–2636. VACANT 233–6593. Fax: (215) 233–6719. E-mail: [email protected]. [email protected]. Codex Committee on Milk and Milk Codex Committee on Processed Fruits Products (Adjourned Sine Die) Ad Hoc Intergovernmental Task Forces and Vegetables (Host Government—New Zealand) Ad Hoc Intergovernmental Task Force on Animal Feeding (Host Government—United States) U.S. Delegate U.S. Delegate (Host government—Denmark) Duane Spomer, Chief, Safety, Security Dorian LaFond, International and Emergency Preparedness Branch, Delegate Standards Coordinator, Fruit and Agricultural Marketing Service, U.S. Daniel G. McChesney, PhD, Director, Vegetable Division, Agricultural Department of Agriculture, Room 1114, Office of Surveillance & Compliance, Marketing Service, U.S. Department of South Agriculture Building, 1400 Center for Veterinary Medicine, U.S. Agriculture, Stop 0235, Room 2086, Independence Avenue, SW., Food and Drug Administration, 7529 South Agriculture Building, 1400 Washington, DC 20250. Phone: (202) Standish Place, Rockville, MD 20855. Independence Avenue, SW., 720–1861. Fax: (202) 690–2306. E-mail: Phone: (240) 453–6830. Fax: (240) 453– Washington, DC 20250–0235. Phone: [email protected]. 6880. [email protected].

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Alternate SUMMARY: USDA Rural Development is Overview Dr. Patty Bennett, Branch Chief, Risk seeking applications for the Rural Federal Agency: Rural Business- Assessment Division, Office of Public Cooperative Development Grant (RCDG) Cooperative Service. Program pursuant to section 310B(e) of Health Science, Food Safety and Funding Opportunity Title: Rural the Consolidated Farm and Rural Inspection Service, U.S. Department of Cooperative Development Grant. Development Act (7 U.S.C. 1932) (Act). Agriculture, 901 Aerospace Center, Announcement Type: Initial As provided in the Department of Washington, DC 20250. Phone: (202) announcement. 690–6189. [email protected]. Defense and Full-Year Continuing Appropriations Act of 2011 (H.R. 1473), Catalog of Federal Domestic Assistance Ad Hoc Intergovernmental Task Force approximately $7.4 million in Number: 10.771. on Antimicrobial Resistance competitive grant funds is available. DATES: Application Deadline: (Host Government—Republic of Korea) The intended effect of this notice is to Completed applications for grants may solicit applications for Fiscal Year (FY) U.S. Delegate be submitted on paper or electronically 2011 and award grants on or before according to the following deadlines: David G. White, M.S., PhD, Director, September 15, 2011. The maximum Paper copies must be postmarked and Office of Research, U.S. Food and Drug award per grant is $225,000 and mailed, shipped, or sent overnight no Administration, Center for Veterinary matching funds are required. In later than July 22, 2011, to be eligible for Medicine, 8401 Muirkirk Road, Laurel, accordance with section 310B(e)(6)(B) of FY 2011 grant funding. Electronic MD 20708. Phone: (301) 210–4187. Fax: the Act, the Secretary has determined copies must be received by July 22, (301) 210–4685. E-mail: that a grant period of one year is in the 2011, to be eligible for FY 2011 grant [email protected]. best interest of the program at this time. funding. Alternate Delegate DATES: Completed applications for Late applications are not eligible for Neena Anandaraman, D.V.M., grants must be submitted on paper or FY 2011 grant funding. electronically according to the following Veterinary Medical Officer, Applied I. Funding Opportunity Description Epidemiology Division, Office of Public deadlines: RCDGs are authorized by section Health Science, Food Safety and Paper copies must be postmarked and 310B(e) of the Act. Regulations Inspection Service, U.S. Department of mailed, shipped, or sent overnight no implementing this authority are in 7 Agriculture, 1400 Independence Ave., later than July 22, 2011, to be eligible for CFR part 4284, subparts A and F. The SW., Room 343, Aerospace Center, FY 2011 grant funding. Late primary objective of the RCDG program Washington, DC 20250. Phone: applications are not eligible for FY 2011 is to improve the economic condition of (202)690–6429. Fax: (202) 720–8213. E- grant funding. rural areas through cooperative mail: Electronic copies must be received by development. Grant funds are provided [email protected]. July 22, 2011, to be eligible for FY 2011 for the establishment and operation of There are six regional coordinating grant funding. Late applications are not Centers that have the expertise, or who committees: eligible for FY 2011 grant funding. can contract out for the expertise, to Coordinating Committee for Africa, ADDRESSES: Application materials for a assist individuals or entities in the Coordinating Committee for Asia, RCDG may be obtained at http:// Coordinating Committee for Europe, startup, expansion or operational www.rurdev.usda.gov/BCP- improvement of rural businesses, Coordinating Committee for Latin _ America and the Caribbean, RCDG Grants.html or by contacting the especially cooperative or mutually- Coordinating Committee for the Near applicant’s USDA Rural Development owned businesses (Section 310B(e)(5)). East, State Office at http:// The program is administered through _ Coordinating Committee for North www.rurdev.usda.gov/recd map.html. USDA Rural Development State Offices. Submit completed paper applications America and the Southwest, Pacific. Definitions Contact: for a grant to Cooperative Programs, Karen Stuck, United States Manager Attn: RCDG Program, 1400 The definitions published at 7 CFR for Codex, U.S. Department of Independence Avenue SW., Mail Stop 4284.3 and 7 CFR 4284.504 are Agriculture, Office of Food Safety, 3250, Room 4016–South, Washington, incorporated by reference. The Room 4861, South Agriculture Building, DC 20250–3250. The phone number that definition of ‘‘rural’’ and ‘‘rural area,’’ at 1400 Independence Avenue, SW., should be used for courier delivery is section 343(a)(13) of (7 U.S.C. 1991(a)), Washington, DC 20250–3700. Phone: (202) 720–8460. are also incorporated by reference. In (202) 205–7760. Fax: (202) 720–3157. E- Submit electronic grant applications addition, since there has been some mail: [email protected]. at http://www.grants.gov, following the confusion on the Agency’s meaning of the terms ‘‘conflict of interest,’’ and [FR Doc. 2011–13985 Filed 6–2–11; 4:15 pm] instructions found on this Web site. ‘‘mutually-owned business,’’ the Agency BILLING CODE 3410–DM–P FOR FURTHER INFORMATION CONTACT: Visit is providing clarification. the program Web site at http:// Conflict of Interest—A situation in www.rurdev.usda.gov/BCP- DEPARTMENT OF AGRICULTURE _ which the ability of a person or entity RCDG Grants.html for application to act impartially would be questionable Rural Business-Cooperative Service assistance or contact your USDA Rural due to competing professional or Development State Office at http:// _ personal interests. An example of Announcement of Rural Cooperative www.rurdev.usda.gov/recd map.html. conflict of interest occurs when the Development Grant Application Applicants are encouraged to contact grantee’s employees, board of directors, Deadlines their State Offices well in advance of the or the immediate family of either, have deadline to discuss their projects and the appearance of a professional or AGENCY: Rural Business-Cooperative ask any questions about the application Service, USDA. personal financial interest in the process. recipients receiving the benefits or ACTION: Notice of funds availability. SUPPLEMENTARY INFORMATION: services of the grant.

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Mutually-Owned Business—An document and verify the number of iii. Propose ineligible costs that equal organization owned and governed by hours worked and the value associated more than 10 percent of the total project members who either are its consumers, with the in-kind contribution. Due to costs (Applications with ineligible costs producers, employees, or suppliers. the difficulty in distinguishing the of 10 percent or less of total project responsibilities normally associated costs that are selected for funding must II. Award Information with board/advisory council remove all ineligible costs from the Type of Award: Grant. membership versus those directly budget and replace them with eligible Fiscal Year Funds: FY 2011. associated with specific Center projects, activities or reduce the amount of the Approximate Total Funding: $7.4 the Agency will no longer accept board/ grant award accordingly). million. advisory council members’ time as an Approximate Number of Awards: 35. eligible in-kind matching contribution IV. Application and Submission Approximate Average Award: from the applicant. In-kind Information $225,000. contributions from board/advisory A. Address To Request Application Floor of Award Range: None. council members in the form of their Package Ceiling of Award Range: $225,000. travel, incidentals, etc. are acceptable The application package for applying Anticipated Award Date: September only if the Center has established on paper for this funding opportunity 15, 2011. written policies explaining how these can be obtained at http:// Budget Period Length: 12 months. costs are normally reimbursed, Project Period Length: 12 months. www.rurdev.usda.gov/BCP- including rates, and an explanation of _ this policy is included in the RCDG Grants.html. III. Eligibility Information For electronic applications, applicants application. In-kind contributions must visit http://www.grants.gov and A. Eligible Applicants provided by individuals, businesses, or follow the instructions. Grants may be made to nonprofit cooperatives which are being assisted by corporations and accredited institutions the Center cannot be provided for the B. Submission Dates and Times direct benefit of their own projects as of higher education. Grants may not be Applicants may submit their USDA Rural Development considers made to public bodies or to individuals. applications to their State Rural this to be a conflict of interest or the Development Office for a preliminary B. Cost Sharing or Matching appearance of a conflict of interest. review by 30 days prior to the final The cost share or matching fund C. Other Eligibility Requirements application deadline published in this requirement is 25 percent of the total notice. The preliminary review will project cost (5 percent in the case of Grant Period Eligibility: Applications assess applicant and project eligibility, 1994 Institutions). Calculation of cost should have a timeframe of no more as well as completeness of the share or matching fund level is as than 365 consecutive days with the time application in terms of presence of the follows: period beginning no earlier than the required elements. Should the Agency Grant amount requested = .75 × Total date the grant is awarded, and no later than December 31, 2011. However, identify missing or incomplete Project Cost. elements, the applicant will be notified Total project cost = Grant amount applicants should note that the anticipated award date is September 15 and given an opportunity to submit the requested/.75. missing elements before the final Total project cost—Grant amount and proposed start dates should not fall deadline published in the Federal requested = Matching requirement. prior to this date. Projects must be Register. Missing elements will not be For example: completed within the one-year timeframe. The Agency may approve accepted after the final application Grant amount requested $225,000 = .75 deadline. This preliminary review is an × requests to extend the grant period for Total project cost; $225,000/.75 = up to 12 months at the discretion of the informal assessment of the application Total project cost $300,000. Agency. However, should the grantee and not a final evaluation of the $300,000¥$225,000 = $75,000 matching compete successfully for an RCDG grant application. Findings of the preliminary requirement. during the subsequent grant cycle, the review are courtesy only and are not Applicants must verify in their first grant must be closed before funds binding on the Agency nor are they applications that all matching funds are can be obligated for the subsequent appealable. Applications must be available during the grant period. If an grant. submitted on paper or electronically. applicant is awarded a grant, additional Completeness Eligibility: Applications Final paper applications must be verification documentation regarding without sufficient information to postmarked and mailed, shipped, or the availability of matching funds may determine eligibility and scoring will be sent overnight no later than July 22, be required. All of the matching funds considered ineligible. Applications that 2011, to be eligible for FY 2011 grant must be spent on eligible expenses are non-responsive to this notice will be funding. Applications postmarked, during the grant period, and must be considered ineligible. mailed, or shipped after July 22, 2011 from eligible sources. Unless provided Activity Eligibility: Applications must will not be processed. Final electronic by other authorizing legislation, other propose the development or applications must be received by July Federal grant funds cannot be used as continuation of a cooperative 22, 2011, to be eligible for FY 2011 grant matching funds. However, matching development center concept or they will funding. If the application is submitted funds may include loan proceeds from not be considered for funding. In electronically, the applicant must follow Federal sources. Matching funds must addition, the following applications will the instructions given at http:// be spent in advance or as a pro-rata not be considered for funding. www.grants.gov. Applicants are advised portion of grant funds being expended. Applications that: to visit the site well in advance of the All of the matching funds must be i. Focus assistance on only one application deadline if they plan to provided by either the applicant or a cooperative or mutually-owned apply electronically to ensure they have third party in the form of cash or in- business. obtained the proper authentication and kind contributions. The Cooperative ii. Request more than the maximum have sufficient computer resources to Development Center must be able to grant amount. complete the application.

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C. Content and Form of Submission is required to make this survey available participation, expertise, and assistance An application guide may be viewed to all nonprofit applicants. Submission of representatives of business, industry, at http://www.rurdev.usda.gov/BCP- of this form is voluntary. educational institutions, the Federal RCDG_Grants.html. 5. Title Page. To include the title of government, and State and local It is recommended that applicants use the project as well as any other relevant governments. the template provided on the Web site. identifying information. iv. Performance Measures. The 6. Table of Contents. To facilitate The template can be filled out Agency has established annual review, include page numbers for each electronically and printed out for performance evaluation measures to component of the application. submission with the required forms for evaluate the RCDG program. Applicants 7. Executive Summary. A summary of must provide estimates on the following paper submission or it can be filled out the proposal, not to exceed two pages, electronically and submitted as an performance evaluation measures. must briefly describe the Center, • Number of groups who are not legal attachment through http:// including project goals and tasks to be entities assisted. www.grants.gov. accomplished, the amount requested, • Number of businesses that are not The submission must include all how the work will be performed (e.g., cooperatives assisted. pages of the application. It is Center staff, consultants, or contractors) • Number of cooperatives assisted. recommended that the application be in and the percentage of work that will be • Number of businesses incorporated black and white, not color. Those performed among the parties. that are not cooperatives. evaluating the application will only 8. Eligibility Discussion. The • Number of cooperatives receive black and white images. applicant must describe, not to exceed incorporated. The Agency will then screen all two pages, how it meets the applicant, • Total number of jobs created as a applications for eligibility to determine matching, grant period and activity result of assistance whether the application is sufficiently eligibility requirements. responsive to the requirements set forth Note: where not relevant—housing, for 9. Proposal Narrative. The proposal example—the applicant should suggest a in this notice to allow for an informed narrative is limited to a total of 40 more relevant performance measure. review. Information submitted as part of pages. • Total number of jobs saved as a the application will be protected to the i. Project Title. The title of the result of assistance. extent permitted by law. An application proposed project must be brief, not to guide and forms are available online at exceed 75 characters, yet describe the Note: where not appropriate—housing, for http://www.rurdev.usda.gov/BCP- essentials of the project. If a title page example—the applicant should suggest a _ RCDG Grants.html. was included under number 5 above, it more appropriate performance measure. Applicants must complete and submit is not necessary to include an additional • Number of jobs created for the the following elements as part of the title page under this section. Center as a result of RCDG funding. application package. ii. Information Sheet. A separate one- • Number of jobs saved for the Center 1. Form SF–424, ‘‘Application for page information sheet listing each of as a result of RCDG funding. Federal Assistance,’’ must be completed, the evaluation criteria referenced in this If selected for funding, the applicant signed, and must include a Dunn and funding announcement, followed by the will be required to report actual Bradstreet Data Universal Numbering page numbers of all relevant material numbers for these performance elements System (DUNS) number and maintain and documentation contained in the on a semi-annual basis and in the final registration in the Central Contractor proposal that address or support the performance report. Additional Registration (CCR) database in criteria. If the evaluation criteria are information on post-award requirements accordance with 2 CFR part 25. The listed on the Table of Contents and can be found in Section VI. Applicants DUNS number is a nine-digit specifically and individually addressed must also suggest additional identification number which uniquely in narrative form, then it is not performance elements in the event the identifies business entities. There is no necessary to include an information proposal receives grant funding. These charge. To obtain a DUNS number, sheet under this section. additional criteria should be specific, access http://www.dnb.com/us/ or call iii. Goals of the Project. The applicant measurable performance elements, but 866–705–5711. Similarly, applicants must include the following statements are not binding on USDA. may register for the CCR at http:// in this section of the narrative to v. Undertakings. The applicant must www.ccr.gov. Assistance with CCR demonstrate that the Center is following describe in the application how it will registration is available by calling 1– these statutory requirements: undertake to do each of the following: 866–606–8220. The CCR CAGE Code a. A statement that substantiates that (a). Take all practicable steps to and expiration date may be handwritten the Center will effectively serve rural develop continuing sources of financial on the SF–424. For more information, areas in the United States; support for the Center, particularly from see the RCDG Web site at http:// b. A statement that the primary sources in the private sectors; (should www.rurdev.usda.gov/BCP- objective of the Center will be to be presented under proposal evaluation RCDG_Grants.html or contact the USDA improve the economic condition of rural criterion number 9, utilizing the specific Rural Development State Office at areas through cooperative development; requirements of section V.A.9); http://www.rurdev.usda.gov/ c. A description of the contributions (b). Make arrangements for the recd_map.html. that the proposed activities are likely to Center’s activities to be monitored and 2. Form SF–424A, ‘‘Budget make to the improvement of the evaluated; (should be addressed under Information—Non-Construction economic conditions of the rural areas proposal evaluation criterion number 6 Programs,’’ must be completed and for which the Center will provide utilizing the specific requirements of signed. services. Expected economic impacts section V.A.6); and 3. Form SF–424B, ‘‘Assurances—Non- should be tied to tasks included in the (c). Provide an accounting for the Construction Programs,’’ must be work plan and budget; and money received by the grantee in completed and signed. d. A statement that the Center, in accordance with 7 CFR part 4284, 4. Survey on Ensuring Equal carrying out its activities, will seek, subpart F. This should be addressed Opportunity for Applicants. The Agency where appropriate, the advice, under proposal evaluation criterion

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number 1, utilizing the specific APPLICANT] certifies that matching donated (i.e., corresponding to the requirements of section V.A.1. funds will be available at the same time proposed grant period or to specific vi. Work Plan and Budget (should be grant funds are anticipated to be spent dates within the grant period), and (3) presented under proposal evaluation and that expenditures of matching funds the value of the goods and/or services. criterion number 6, utilizing the specific shall be pro-rated, such that * * * and Third-Party: The application must requirements in section V.A.6). that matching funds will be spent in include a signed letter from the third vii. Delivery of Technical Assistance advance of grant funding, such that for party verifying (1) The nature of the and Other Services in rural areas to every dollar of the total project cost, at goods and/or services to be donated and promote and assist the development of least 25 cents (5 cents for 1994 how they will be used, (2) when the cooperatively and mutually-owned Institutions) of matching funds will goods and/or services will be donated businesses (should be described under have been expended prior to submitting (i.e., corresponding to the proposed proposal evaluation criterion number 2, the request for reimbursement.’’ A grant period or to specific dates within utilizing the specific requirements separate signature is not required. In the the grant period when matching under section V.A.2). case of fund advances, the applicant contributions will be made available), viii. Qualifications of Personnel will certify that for every dollar of funds and (3) the value of the goods and/or (should be presented under proposal advanced, at least 25 cents (5 cents for services. It should be noted that non- evaluation criterion number 7, utilizing 1994 Institutions) of matching funds profit or other organizations the specific requirements under section will be expended. contributing the services of affiliated V.A.7). 12. Verification of Matching Funds. volunteers must follow the third-party ix. Local Support (should be Applicants must provide documentation verification requirement above, for each described under proposal evaluation of all proposed matching funds, both individual volunteer. criterion number 8, utilizing the cash and in-kind. Matching funds must Applicants should note the following: requirements in section V.A.8). be used for eligible purposes and • Only goods or services for which no x. Future Support (should be expenditures for this grant program. The expenditure is made can be considered described under proposal evaluation documentation must be included in in-kind. criterion number 9, utilizing the specific Appendix A of the application and will • In-kind contributions that are over- requirements under V.A.9). not count towards the 40-page valued will not be accepted. The xi. Proposal Evaluation Criteria. Each limitation. Template letters for each valuation process for in-kind funds does of the evaluation criteria referenced in type of matching funds are available at not need to be included in the this funding announcement must be http://www.rurdev.usda.gov/BCP– application, but the applicant must be specifically and individually addressed RCDG_Grants.html. able to demonstrate how the valuation in narrative form. Applications that do If matching funds are to be provided was derived at the time of notification not address all of the proposal in cash, the following requirements of tentative selection for the grant evaluation criteria will be considered must be met at the time of application. award, or the grant award may be ineligible. See Section V.A. for a Additional documentation may be withdrawn or the amount of the grant description of the Proposal Evaluation required if a grant is awarded. may be reduced. Matching funds Criteria. Applicant: The application must donated outside the proposed time 10. Certification of Judgment Owed to include a statement verifying (1) The period of the grant will not be accepted. the United States. Applicants must amount of the cash, and (2) the source • Examples of unacceptable matching certify that there are no current of the cash. If the applicant is paying for funds are in-kind contributions from outstanding Federal judgments against goods and/or services as part of the individuals, businesses, or cooperatives their property. No grant funds shall be matching funds contribution, the being assisted by the Center to benefit used to pay a judgment obtained by the expenditure is considered a cash match, their own project; donations of fixed United States. It is suggested that and should be verified as such. equipment and buildings; and costs applicants use the following language Third-party: The application must related to the preparation of the RCDG for the certification. ‘‘[INSERT NAME include a signed letter from the third application package. OF APPLICANT] certifies that the party verifying (1) How much cash will Expected program income may not be United States has not obtained an be donated, and (2) that it will be used to fulfill the matching funds unsatisfied judgment against its available corresponding to the proposed requirement at the time of application. property and will not use grant funds to grant period or donated on a specific However, if there are contracts to pay any judgments obtained by the date within the grant period. Cash provide services in place at the time of United States.’’ A separate signature is matching contributions from third- application, they may be treated as cash not required. parties are to be used for Center match. If program income is earned 11. Certification of Matching Funds. operations and cannot be used to during the time period of the grant, it is Applicants must certify that matching provide services which directly benefit subject to applicable requirements of 7 funds will be available at the same time the third-party contributor. Contributors CFR part 3015, subpart F and 7 CFR grant funds are anticipated to be spent of cash matching contributions may not 3019.24, and any applicable provisions and that expenditures of matching funds limit or direct how or where the Center in the Grant Agreement. are pro-rated, such that for every dollar may use the contributions. of the total project cost, not less than the If matching funds are to be provided D. Submission Dates and Times required amount of matching funds will by an in-kind donation, the following Application Deadline Date: July 22, have been expended prior to submitting requirements must be met. 2011. the request for reimbursement. Please Applicant: The application must Explanation of Deadlines: Paper note that this certification is a separate include a signed letter from the applications must be postmarked by the requirement from the Verification of applicant or its authorized deadline date (see Section IV.G for the Matching Funds requirement. To satisfy representative verifying (1) The nature address). Electronic applications must the Certification requirement, applicants of the goods and/or services to be be received by http://www.grants.gov by should include this statement for this donated and how they will be used, (2) the deadline date. If the application section: ‘‘[INSERT NAME OF when the goods and/or services will be does not meet the deadline above, it will

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not be considered for funding. The iv. Loans and grants for the purpose criteria. Applicants must also include applicant will be notified if the of cooperative development in information as directed in Section application does not meet the accordance with this notice and IV.C.9.v.(a), (b), and (c). Evaluators will submission requirements. The applicant applicable regulations. base scores only on the information will also be notified by mail or by e-mail v. Technical assistance, research provided or cross-referenced by page if the application is received on time. services and advisory services for the number in each individual evaluation purpose of cooperative development. criterion. The maximum amount of E. Intergovernmental Review of vi. Programs providing for the points available is 100. Note: Newly Applications coordination of services and sharing of established or proposed Centers that do Executive Order (EO) 12372, information among the Centers (7 U.S.C not yet have a track record on which to Intergovernmental review of Federal 1932(e)(4)(C)(vi)). evaluate the following criteria should programs, applies to this program. This 2. No funds made available under this refer to the expertise and track records EO requires that Federal agencies solicitation shall be used for any of the of staff or consultants expected to provide opportunities for consultation following activities: perform tasks related to the respective on proposed assistance with State and i. To duplicate current services or criteria. Proposed or newly established local governments. Many states have replace or substitute support previously Centers must be organized well-enough established a Single Point of Contact provided. If the current service is at time of application to address its (SPOC) to facilitate this consultation. inadequate, however, grant funds may capabilities for meeting these criteria. For a list of states that maintain an be used to expand the level of effort or 1. Administrative capabilities in SPOC, please see the White House Web services beyond that which is currently support of Center activities. (maximum site: http://www.whitehouse.gov/omb/ being provided; score of 10 points) The Agency will grants_spoc. If an applicant’s state has ii. To pay costs of preparing the evaluate the application to determine an SPOC, the applicant may submit a application package for funding under whether the applicant demonstrates a copy of the application directly for this program; proven track record in carrying out review. Any comments obtained iii. To pay costs of the project activities in support of development through the SPOC must be provided to incurred prior to the date of grant assistance to cooperatively and USDA Rural Development for approval; mutually owned businesses. At a consideration as part of the application. iv. To fund political or lobbying minimum, applicants must discuss the If the applicant’s state has not activities; following capabilities: established an SPOC, or the applicant v. To pay any judgment or debt owed i. Financial systems and audit does not want to submit a copy of the to the United States; controls; application, USDA Rural Development vi. To plan, repair, rehabilitate, ii. Personnel and program will submit the application to the SPOC acquire, or construct a building or administration performance measures; or other appropriate agency or agencies. facility, including a processing facility; iii. Clear written rules of governance; Applicants are also encouraged to vii. To purchase, rent, or install fixed and contact the USDA Rural Development equipment, including laboratory iv. Experience administering Federal State Office for assistance and questions equipment or processing machinery; grant funding, including but not limited on this process. Contact information for viii. To pay for the repair of privately to past RCDG’s. USDA Rural Development State Offices owned vehicles; Applicants that discuss the Center’s can be viewed at http:// ix. To pay for the operating costs of administrative capabilities and track www.rurdev.usda.gov/recd_map.html. any entity receiving assistance from the record, versus those of umbrella or Center. supporting institutions, such as F. Funding Restrictions x. To fund research and development; universities or parent organizations, will Funding restrictions apply to both xi. To pay costs of the project where score higher. grant funds and matching funds. Grant a conflict of interest exists; or 2. Technical assistance and other funds may be used to pay up to 75 xii. To fund any activities prohibited services. (maximum score of 15 points) percent (95 percent where the grantee is by 7 CFR parts 3015 or 3019. The Agency will evaluate the applicant’s demonstrated expertise in a 1994 Institution) of the total project G. Other Submission Requirements cost. providing technical assistance and accomplishing effective outcomes in 1. Grant funds and matching funds A paper application for a grant must rural areas to promote and assist the may be used for, but are not limited to, be submitted to Cooperative Programs, development of cooperatively and providing the following to individuals, Attn: RCDG Program, 1400 mutually-owned businesses. The small businesses, cooperative and Independence Avenue, SW., Mail Stop applicant must discuss: mutually-owned businesses and other 3250, Room 4016–South, Washington, DC 20250–3250. The phone number that i. Their potential for delivering similar entities in rural areas served by effective technical assistance; the Center (7 U.S.C 1932(e)(4)(c) and 7 should be used for courier delivery is (202) 720–8460. Electronically ii. The types of assistance provided; U.S.C 1932(e)(5): iii. The expected effects of that i. Applied research, feasibility, submitted applications must apply using http://www.grants.gov. assistance; environmental and other studies that iv. The sustainability of organizations Applications may not be submitted by may be useful for the purpose of receiving the assistance; and electronic mail, facsimile, or by hand- cooperative development. v. The transferability of its delivery. Each application submission ii. Collection, interpretation and cooperative development strategies and must contain all required documents. dissemination of principles, facts, focus to other areas of the U.S. technical knowledge, or other V. Application Review Information Applicants that evidence effective information for the purpose of delivery systems for cooperative cooperative development. A. Proposal Evaluation Criteria development will score higher. iii. Training and instruction for the All eligible and complete applications Applicants that discuss the purpose of cooperative development. will be evaluated based on the following demonstrated expertise specific to the

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Center (as opposed to umbrella or tasks and overall objectives of Center and building in-house technical supporting institutions such as operations. assistance capacity will score higher. universities or parent organizations) The budget must present a breakdown B. Review and Selection Process will score higher. of the estimated costs associated with 3. Economic development. (maximum cooperative development activities as The Agency will screen all of the score of 15 points) The Agency will well as the operation of the Center and proposals to determine whether the evaluate the applicant’s demonstrated allocate these costs to each of the tasks application is eligible and sufficiently ability to facilitate: to be undertaken. Matching funds as responsive to the requirements set forth i. Establishment of cooperatives or well as grant funds must be accounted in this notice to allow for an informed mutually-owned businesses; for in the budget. review. ii. New cooperative approaches, and 7. Qualifications of those Performing The Agency will evaluate applications iii. Retention of businesses, the Tasks. (maximum score of 10 points) using a panel of qualified reviewers who generation of employment opportunities The Agency will evaluate the will score the applications in or other factors, as applicable, that will application to determine if the accordance with the point allocation otherwise improve the economic personnel expected to perform key tasks specified in this notice. Applications conditions of rural areas. have a track record of: will be submitted to the Administrator Applicants that provide statistics for i. Positive solutions for complex in rank order, together with funding historical and potential development cooperative development and/or level recommendations. and identify their role in economic marketing problems; or ii. A successful record of conducting C. Anticipated Announcement and development outcomes will score Award Dates higher. accurate feasibility studies, business 4. Networking and regional focus. plans, marketing analysis, or other Award Date: The announcement of (maximum score of 10 points) The activities relevant to applicant’s success award selections is expected to occur on Agency will evaluate the applicant’s as determined by the tasks identified in or about September 15, 2011. demonstrated commitment to: the applicants work plan; and iii. Whether the personnel expected to VI. Award Administration Information i. Networking with other cooperative perform the tasks are full/part-time development centers, and other A. Award Notices employees of the applicant or are organizations involved in rural contract personnel. Applicants that Successful applicants will receive a economic development efforts, as well evidence commitment/availability of notification of tentative selection for as, qualified personnel expected to perform funding from USDA Rural Development. ii. Developing multi-organization and the tasks will score higher. Applicants must comply with all multi-state approaches to addressing the 8. Local support. (maximum score of applicable statutes, regulations, and economic development and cooperative 10 points) The Agency will evaluate notice requirements before the grant needs of rural areas. applications for previous and/or award will be approved. Unsuccessful New or proposed Centers are expected expected local support for the applicant applicants will receive notification by to be developed enough to address this and plans for coordinating with other mail, including appeal rights, as criteria. developmental organizations in the appropriate. Consolidated comments for 5. Commitment. (maximum score of proposed service area or with state and reviewed applications will be made 10 points) The Agency will evaluate the local government institutions. available. applicant’s commitment to providing Applicants that evidence strong support technical assistance and other services B. Administrative and National Policy from potential beneficiaries and formal Requirements to under-served and economically evidence of intent to coordinate with distressed areas in rural areas of the other developmental organizations will 7 CFR parts 3015, 3019, and 4284 are United States. Applicants that define score higher. Support should be applicable to this program. To view and describe the underserved and discussed directly within the response these regulations, please see the economically distressed areas within to this criterion. The applicant may also following internet address: http:// their service area, provide statistics, and submit a maximum of 10 letters of www.access.gpo.gov/nara/cfr/cfr-table- identify projects within or affecting support or intent to coordinate with the search.html. these areas, as appropriate, will score application. These letters should be The following additional higher. included in Appendix B of the requirements apply to grantees selected 6. Work Plan/Budget. (maximum application and will not count against for this program: score of 10 points) The work plan will • Grant Agreement. the 40-page limit for the narrative. • be reviewed for detailed actions and an 9. Future support. (maximum score of Letter of Conditions. • accompanying timetable for 10 points) The Agency will evaluate the Form RD 1940–1, ‘‘Request for implementing the proposal. Clear, applicant’s vision for funding its Obligation of Funds.’’ • logical, realistic and efficient plans will operations in future years. Applicants Form RD 1942–46, ‘‘Letter of Intent result in a higher score. Budgets will be should document: to Meet Conditions.’’ reviewed for completeness and the i. New and existing funding sources • Form AD–1047, ‘‘Certification quality of non-Federal funding that support its goals; Regarding Debarment, Suspension, and commitments. Applicants must discuss: ii. Alternative funding sources that Other Responsibility Matters-Primary i. Specific tasks (whether it be by type reduce reliance on Federal, State, and Covered Transactions.’’ of service or specific project) to be local grants; and • Form AD–1048, ‘‘Certification completed using grant and matching iii. The use of in-house personnel for Regarding Debarment, Suspension, funds; providing services versus contracting Ineligibility and Voluntary Exclusion- ii. How customers will be identified; out for that expertise. Lower Tier Covered Transactions.’’ iii. Key personnel; and Applications that evidence vision and • Form AD–1049, ‘‘Certification iv. The evaluation methods to be used likelihood of long-term sustainability Regarding Drug-Free Workplace to determine the success of specific with diversification of funding sources Requirements (Grants).’’

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• Form RD 400–4, ‘‘Assurance Reports are due 30 days after the ii. What advice would the grantee give Agreement.’’ reporting period ends. to other organizations planning a similar • RD Instruction 1940–Q, Exhibit A– 2. Semi-annual performance reports program? These should include 1, ‘‘Certification for Contracts, Grants that compare accomplishments to the strengths and limitations of the and Loans,’’ including Standard Form objectives stated in the proposal. program. If the grantee had the (SF) LLL, ‘‘Disclosure of Lobbying Identify all tasks completed to date and opportunity, what would they have Activities.’’ provide documentation supporting the done differently? Compliance with the National reported results. If the original schedule Environmental Policy Act. Rural provided in the work plan is not being iii. If an innovative approach was Development has determined that an met, the report should discuss the used successfully, the grantee should Environmental Impact Statement is not problems or delays that may affect describe their program in detail so that required because the issuance of completion of the project. Objectives for other organizations might consider regulations and instructions, as well as the next reporting period should be replication in their areas. amendments to them, describing listed. Compliance with any special The final performance report is due administrative and financial procedures conditions on the use of award funds within 90 days of the completion of the for processing, approving, and should be discussed. The report should project. implementing the Agency’s financial also include a summary at the end of the programs is categorically excluded in report with the following elements to VII. Agency Contacts the Agency’s NEPA regulation found at assist in documenting the annual For general questions about this 7 CFR 1940.310(e) of Subpart G, performance goals of the RCDG program announcement and for program Environmental Program. Thus, in for Congress. accordance with the National • Number of groups who are not legal technical assistance, applicants should Environmental Policy Act (NEPA) of entities assisted. contact their USDA Rural Development 1969 (42 U.S.C 4321–4347), Rural • Number of businesses that are not State Office at http:// Development has determined that this cooperatives assisted. www.rurdev.usda.gov/recd_map.html. If Notice of Funding Availability (NOFA) • Number of cooperatives assisted. an applicant is unable to contact their does not constitute a major federal • Number of businesses incorporated State Office, please contact a nearby action significantly affecting the quality that are not cooperatives. State Office or the USDA Rural of the human environment. • Number of cooperatives Development National Office at 1400 Furthermore, individual awards under incorporated. Independence Avenue, SW., Mail Stop • this NOFA are hereby classified as Total number of jobs created as a 3250, Room. 4016–South, Washington, Categorical Exclusions according to result of assistance DC 20250–3250, telephone: (202) 720– 1940.310(e), the award of financial Note: where not relevant—housing, for 8460, e-mail: [email protected]. assistance for planning purposes, example—the applicant should suggest a management and feasibility studies, or more relevant performance measure. VIII. Nondiscrimination Statement environmental impact analyses, which • Total number of jobs saved as a do not require any additional The U.S. Department of Agriculture result of assistance documentation. (USDA) prohibits discrimination in all Additional information on these Note: where not relevant—housing, for its programs and activities on the basis requirements can be found at http:// example—the applicant should suggest a of race, color, national origin, age, www.rurdev.usda.gov/BCP– more relevant performance measure. disability, and where applicable, sex, RCDG_Grants.html. • Number of jobs created for the marital status, familial status, parental Reporting Requirements: Grantees Center as a result of RCDG funding. status, religion, sexual orientation, must provide USDA Rural Development • Number of jobs saved for the Center genetic information, political beliefs, with an original or electronic copy that as a result of RCDG funding. reprisal, or because all or part of an includes all required signatures of the • Additional performance measures individual’s income is derived from any following reports. The reports should be identified by the grantee in Section 4(iv) public assistance program. (Not all submitted to the Agency contact listed of the application and accepted as prohibited bases apply to all programs.) on the Grant Agreement and Letter of binding in the Grant Agreement. Persons with disabilities who require Conditions. Failure to submit Reports are due as provided in alternative means for communication of satisfactory reports on time may result paragraph 1 of this section. Supporting program information (Braille, large in suspension or termination of the documentation must also be submitted print, audiotape, etc.) should contact grant. for completed tasks. The supporting USDA’s TARGET Center at (202) 720– Compliance with the Federal Funding documentation for completed tasks 2600 (voice and TDD). Accountability and Transparency Act of includes, but is not limited to: 2006. All recipients of federal financial Feasibility studies, marketing plans, To file a complaint of discrimination assistance are required to report business plans, publication quality write to USDA, Director, Office of Civil information about first-tier sub-awards success stories, applied research reports, Rights, 1400 Independence Avenue, and executive compensation in copies of surveys conducted, articles of SW., Washington, DC 20250–9410 or accordance with 2 CFR part 170. incorporation and bylaws and an call (866) 632–9992 (voice) or (202) Similarly, all recipients of federal accounting of how outreach, training, 401–0216 (TDD). USDA is an equal financial assistance must comply with and other funds were expended. opportunity provider and employer. the DUNS and CCR requirements found 3. Final project performance reports Dated: May 31, 2011. at 2 CFR part 25. shall include all of the requirements of 1. Form SF–425, a ‘‘Federal Financial the semi-annual performance reports Judith A. Canales, Report,’’ listing expenditures according and responses to the following: Administrator, Rural Business Cooperative to agreed upon budget categories, on a i. What have been the most Service. semi-annual basis. Reporting periods challenging or unexpected aspects of [FR Doc. 2011–13927 Filed 6–6–11; 8:45 am] end each March 31 and September 30. this program? BILLING CODE 3410–XY–P

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DEPARTMENT OF COMMERCE (as defined by the North American tailored to specific industries or groups Industry Classification System of industries. Puerto Rico forms are Census Bureau (NAICS)): Mining, Utilities, available in English as well as Spanish. Construction, Manufacturing; Wholesale Only one form, covering all economic Proposed Information Collection; and Retail Trades, Transportation and activity within the scope of the census, Comment Request; 2012 Economic Warehousing, Information; Finance and is used for each of the remaining island Census of Island Areas Insurance; Real Estate and Rental and areas. The forms are too numerous to AGENCY: U.S. Census Bureau, Leasing; Professional, Scientific, and list individually in this notice. Geoffrey Commerce. Technical Services; Management of Hill or Lillyana Najafzadeh can provide Companies and Enterprises; interested parties with complete ACTION: Notice. Administrative and Support, Waste information on the forms to be included SUMMARY: The Department of Management and Remediation Services; in this information collection. Commerce, as part of its continuing Educational Services; Health Care and Type of Review: Regular submission. effort to reduce paperwork and Social Assistance; Arts, Entertainment, Affected Public: Local Governments, respondent burden, invites the general and Recreation; Accommodation and businesses, and other for profit or public and other Federal agencies to Food Services; and Other Services nonprofit institutions or organizations. take this opportunity to comment on (except Public Administration). This Estimated Number of Respondents: proposed and/or continuing information scope is roughly equivalent to that of 59,100. Puerto Rico: 50,000. collections, as required by the the stateside economic census. The Guam: 4,000. Paperwork Reduction Act of 1995, information collected will produce basic statistics by kind of business on the Commonwealth of the Northern Public Law 104–13 (44 U.S.C. Mariana Islands: 1,500. 3506(c)(2)(A)). number of establishments, sales/ shipments/receipts/revenue, payroll, U.S. Virgin Islands: 3,000. DATES: To ensure consideration, written and employment. The census will also American Samoa: 600. Estimated Time per Response: comments must be submitted on or yield a variety of industry-specific before August 8, 2011. Puerto Rico: 1 hour. statistics, including sales/receipts by Guam: 45 minutes. ADDRESSES: Direct all written comments commodity/merchandise/receipt lines, Commonwealth of Northern Marianas: to Diana Hynek, Departmental sales/shipments by class of customer, 45 minutes. Paperwork Clearance Officer, and number of hotel rooms. U.S. Virgin Islands: 45 minutes. Department of Commerce, Room 6616, To improve calculations of gross American Samoa: 45 minutes. 14th and Constitution Avenue, NW., domestic product for the island areas, Estimated Total Annual Burden Washington, DC 20230 (or via the 2012 Economic Census of Island Areas Hours: 56,825. Internet at [email protected]). questionnaires include new questions Estimated Total Annual Cost: FOR FURTHER INFORMATION CONTACT: on capital expenditures, depreciation, $952,000. Requests for additional information or and selected expenses along with a Respondent’s Obligation: Mandatory. copies of the information collection refinement to the fringe benefits Legal Authority: Title 13, U.S.C., instrument(s) and instructions should question from the 2007 Economic Sections 131 and 224. Census. The collection of data from non- be directed to Geoffrey Hill (301) 763– IV. Request for Comments 6554 (e-mail: employers in American Samoa has been [email protected]) or Lillyana eliminated from the 2012 Economic Comments are invited on: (a) Whether Najafzadeh (301) 763–6544 (email: Census. the proposed collection of information [email protected]). The primary strategy for reducing is necessary for the proper performance burden in Census Bureau economic data of the functions of the agency, including SUPPLEMENTARY INFORMATION: collection including the Economic whether the information shall have I. Abstract Census is to increase electronic practical utility; (b) the accuracy of the reporting through the broader use of agency’s estimate of the burden The economic census, conducted electronic collection methods. (including hours and cost) of the under authority of Title 13, United proposed collection of information; (c) II. Method of Collection States Code (U.S.C.), is the primary ways to enhance the quality, utility, and source of facts about the structure and The 2012 Economic Census of Island clarity of the information to be functioning of the United States Areas will be conducted using mailout/ collected; and (d) ways to minimize the economy, including Puerto Rico, Guam, mailback procedures with an Internet burden of the collection of information the Commonwealth of the Northern reporting option. Establishments will be on respondents, including through the Mariana Islands, the U.S. Virgin Islands, selected from the Census Bureau’s use of automated collection techniques and American Samoa. The economic Business Register. An establishment or other forms of information census, is the primary source of facts will be included in the 2012 Island technology. about each of the island areas’ Areas Economic Census if: (a) Is Comments submitted in response to economies, and features the only engaged in any of the sectors within the this notice will be summarized and/or recognized source of data at a scope of the census listed above; (b) it included in the request for OMB geographic level equivalent to U.S. is an active operating establishment approval of this information collection; counties. Economic Census statistics for with payroll; and (c) it is located in they also will become a matter of public the island areas serve to benchmark Puerto Rico, Guam, the Commonwealth record. estimates of local net income and gross of the Northern Mariana Islands, the Dated: June 2, 2011. domestic product, and provide essential U.S. Virgin Islands, or American Samoa. information for government (Federal Glenna Mickelson, and local), business, and the general III. Data Management Analyst, Office of the Chief public. OMB Control Number: 0607–0937. Information Officer. The 2012 Economic Census of Island Form Number: The forms used to [FR Doc. 2011–13969 Filed 6–6–11; 8:45 am] Areas will cover the following sectors collect information in Puerto Rico are BILLING CODE 3510–07–P

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DEPARTMENT OF COMMERCE companies are still behind over $151 billion in coal infrastructure technologically in mining equipment by 2020. Part of this investment will International Trade Administration production. cover improvements for coal mine China is also the world’s largest safety. Coal Mining Equipment, Technologies emitter of greenhouse gases (GHGs), This creates significant opportunities and Services Trade Mission to China responsible for over 20% of annual CO2 for foreign companies to export coal- and Mongolia emissions from burning fossil fuels. mine safety equipment to China. Best Eighty percent of these emissions come AGENCY: International Trade prospects also include gas control Administration, Department of from coal. Domestic scarcity of high- systems and fire and gas monitoring and quality, cleaner-burning coal poses an Commerce. control equipment. The industry will additional challenge. see continued consolidation and a push ACTION: Notice. While coal usage efficiency has toward bigger, safer and more modern improved in China, it remains low mines. This is part of the overall policy Mission Description compared with developed countries. goal of increasing efficiency, safety and The United States Department of Power generation accounts for 48% of reducing waste. Commerce, International Trade China’s coal consumption and a large Administration, U.S. and Foreign proportion of flue gas remains untreated Clean Coal Commercial Service is organizing an prior to emission. Clean coal solutions can be divided Executive-led Trade Mission to China China welcomes foreign participation into three categories based upon the and Mongolia for U.S. companies in the clean-coal sector, including stage of energy production: pre- operating in the coal and mining sector improving the efficiency and clean use combustion, conversion and and manufacturing or distributing of coal. However, significant challenges combustion, and post-combustion. U.S. mining and mining-safety equipment. remain, particularly industry suppliers enjoy good prospects in all The trade mission, scheduled for fragmentation, which limits both the three categories. October 23–28, 2011, will begin October quality of the coal that is mined and the Pre-combustion: advanced and energy 23 in Mongolia’s capital of Ulaanbaatar, ability of coal companies to invest in efficient coal-mining equipment, coal followed October 25–28 by the China newer, cleaner technologies. Stronger blending, coal screening and scrubbing. and more uniform application of portion of the mission, which will visit Conversion and combustion: coal standards and incentives is also needed. two cities—Xi’an and Beijing. The liquefaction, gas-turbine technology, mission will include individual Mining Integrated Gasification Combined Cycle participant meetings tailored to each (IGCC), Ultra Supercritical Power company’s goals as well as appropriate U.S. companies enjoy their greatest competitive advantage in supplying Generation (USPG), Underground Coal government meetings. The mission will Gasification Combined Cycle (UCGCC). conclude at the China Coal and Mining heavy coal mining machines and systems. For underground mining Post-combustion: Carbon Capture and Expo taking place October 28–31, 2011 Sequestration (CCS), Flue Gas in Beijing. operations, U.S. firms compete well in the following categories: long-wall Denitration (De-NOx), Flue Gas Commercial Setting shearers, stage-loaders, continuous Desulphurization (De-SOx), Particulate Matter (PM) removal. China miners, batch haulage vehicles, road headers, hydraulic roof support systems Mongolia China is the United States’ second- and conveyor systems. For open-pit largest trading partner and the world’s mining, U.S. firms’ best opportunities Mongolia is a vast country with rich second-largest economy. Last year, U.S. include electric mining shovels, walking natural resources, including coal, manufactured exports to China were draglines, blast hole drills, and heavy copper, molybdenum, tin, tungsten, and close to $92 billion. Since 2000, U.S. mining trucks. gold, making mining the most important exports to China have more than sector for Mongolia’s economic quintupled. The Chinese government Coal Mine Safety development. Its world-class mineral has announced an annual growth target Coal mine safety remains a critical deposits have attracted considerable of 7 percent over the next five years, issue in China. In 2007, China saw 3,786 investment in recent years—over $600 which is regarded as a conservative deaths in coal mine accidents. In order million in direct foreign investment in estimate. to address the issue of safety, the 2010. The landmark Oyu Tolgoi Copper- China is the largest coal producer in Chinese government closed 2,969 small Gold Mining Project Investment the world, with about 45% of the coal mines (below 30,000 tons of Agreement signed in 2009 between the world’s total annual production. As production capacity) considered unsafe. Mongolian government, Ivanhoe Mines energy demand increases for its rapid The Chinese government requires all and Rio Tinto has so far brought over $2 economic development, China’s coal coal mine sites to install a complete billion into Mongolia. production is growing yearly. For the safety system, which includes a Mining is crucial to Mongolia’s past three years, the country’s coal monitoring system, life shelters, development and the mining sector has production was 2.7 billion tons, 2.9 communications system, personnel been a major contributor to the billion tons, and 3.2 billion tons positioning system, and ventilation and country’s GDP. Once major mining respectively. It is expected to reach 4 water system. According to the State projects go into production, Mongolia billion tons in 2011. Coal currently Administration of Coal Mine Safety should see a significant increase in GDP accounts for between 65–70% of China’s Supervision, China is aggressively growth, estimated at over 13% for 2011– primary energy supply, and demand for purchasing safety equipment for large 12. This development undoubtedly will coal is forecast to grow 3.2% annually state-owned coal mines. China will be accompanied by a surge in mining- through 2030. spend billions of dollars over the next related imports of plant and machinery. About 90% of the coal mining five years to improve safety in its Furthermore, the expansion of the equipment used in China is produced 10,000-plus coal mines. Many analysts mining sector will have a far-reaching domestically. However, Chinese predict that China will need to invest effect on other sectors.

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Mongolia has enormous coal reserves profits on Mongolian copper and gold, participants will meet with provincial estimated at some 100 billion metric which was a great impediment to officials and potential private-sector tons. In addition, Mongolia’s immediate foreign investment into the country. partners. The mission will end in proximity to the world’s largest Beijing, where participants will meet Mission Goals consumer of coal—China—makes the with central-government officials of the country’s coal exploration prospects The goals of the mission are to help State Administration of Coal Mine very attractive, as Mongolia’s role in the participating companies initiate or Safety and National Energy world coal market grows in importance. expand their exports to China and Administration, and with private-sector In 2010 coal overtook copper as Mongolia through introductions to entrepreneurs at the China Coal & Mongolia’s most important export, industry representatives and potential Mining Expo trade show. accounting for 30% of exports. The partners, networking opportunities, The participants will attend policy, country’s coal output is projected to current market information and policy market and commercial briefings by the grow at an annual average rate of 62.3%, discussions with national, provincial U.S. Commercial Service as well as reaching 16.2 million tons per annum and municipal authorities. networking events which offer further by 2015. The Mongolian Government This trade mission will permit U.S. opportunities to speak with local recently invited tenders for two companies to showcase effective, state- business and government contracts associated with Tavan Tolgoi, of-the-art equipment and technologies representatives. Participation in the one of the world’s largest coal deposits. and to understand underlying issues in mission will include the following: Companies from Russia, Australia, their market sector. • Pre-travel briefings/webinar on South Korea, Japan, the U.S., India and subjects ranging from business practices Mission Scenario China are reported to be among the in China to security; consortia bidders. Licenses for the mine U.S. firms will need to work with key • Pre-scheduled meetings with will be held by the state-controlled players, including government potential partners, distributors, end Erdenes Tavan Tolgoi. The government regulators, academicians, industry users, or local industry contacts in is preparing for an initial public offering associations, financial institutions, Ulaanbaatar, Xi’an and Beijing; (IPO) for this firm. The IPO is likely to major clean-coal operators (coal, power, • Meetings with government officials raise several billion U.S. dollars that and oil and gas companies) to make sure in Ulaanbaatar, Xi’an and Beijing; will help to fund the development of the to get a firm foothold in the market. The • Airport transfers in Ulaanbaatar, mine and associated infrastructure. mission will begin with the stop in Xi’an and Beijing; Mongolia has improved its business Ulaanbaatar, then proceed to Xi’an, • Meetings with state government and environment over the past decade. Most capital of Shaanxi Province, one of municipal officials in Mongolia and important, the government recently China’s lead coal-producing regions, China; and, rescinded the 68% tax on windfall and conclude in Beijing. At each stop • Networking receptions.

PROPOSED TIMETABLE

Saturday, October 22, 2011 ...... Ulaanbaatar • Participants arrive in Ulaanbaatar via Beijing or Seoul/check-in and rest overnight. Sunday, October 23, 2011 ...... Ulaanbaatar • Welcome briefing at hotel. • Morning and afternoon free. • Evening reception. Monday, October 24, 2011 ...... Ulaanbaatar—Beijing • Group meetings with government officials and Mongolian companies. • Evening departure for Beijing. • Overnight in Beijing (airport hotel). Tuesday, October 25, 2011 ...... Beijing—Xi’an • Morning travel to Xi’an. • Afternoon meetings with government officials and Chinese companies. • Evening reception. Wednesday, October 26, 2011 ...... Xi’an—Beijing • Meetings with government officials and Chinese companies. • Afternoon travel to Beijing. Thursday, October 27, 2011 ...... Beijing • Meetings with government officials and Chinese companies. • Optional set up for expo participants. • Evening reception. Friday, October 28, 2011 ...... Beijing • Opening ceremony of China Coal & Mining Expo. • Trade show tour. • Meetings with government officials and Chinese companies. • Official end of trade mission.

Participation Requirements and best satisfy the selection criteria as companies to participate in the mission outlined below. The mission is designed from the applicant pool. U.S. companies All applicants will be evaluated on to select a minimum of 15 U.S. already doing business in the target their ability to meet certain conditions

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markets as well as U.S. companies market objectives, and goals for Contacts seeking to enter these markets for the participation. If the U.S. Department of U.S. Commercial Service—HQ first time should apply. Commerce receives an incomplete application, the Department may reject Mr. Louis Quay, International Trade Fees and Expenses the application, request additional Specialist, U.S. Commercial Service, After a company has been selected to information, or take the lack of HQ, Tel: 202–482–3973, E-mail: participate in the mission, a payment to information into account when [email protected]. the Department of Commerce in the evaluating the applications. U.S. Commercial Service China form of a participation fee is required. • Each applicant must also certify For the entire mission (China and Mr. Andrew Billard, U.S. Commercial that the products and services it seeks Mongolia), the fee will be $6,245 for Service, Beijing, Tel: 86–10–8531–3589, to export through the mission are either large firms and $5,475 for small and E-mail: [email protected]. produced in the United States, or, if not, medium-size enterprises (SMEs,1 i.e., marketed under the name of a U.S. firm Elnora Moye, companies with no more than 500 and have at least 51 percent U.S. U.S. Department of Commerce, Commercial employees). content of the value of the finished Service Trade Mission Program, Tel: 202– For China only, the fee will be $4,995 482–4204, E-mail: [email protected]. product or service. for large firms and $4,500 for SMEs. The [FR Doc. 2011–13921 Filed 6–6–11; 8:45 am] fee for each additional participant per Selection Criteria for Participation BILLING CODE 3510–FP–P company will be $725. • For Mongolia only, the fee will be Suitability of the company’s $1,250 for large firms and $975 for products or services to the Chinese and/ DEPARTMENT OF COMMERCE SMEs. The fee for each additional or Mongolian markets and targeted participant per company will be $200. sector. International Trade Administration Expenses for travel, lodging, most • Consistency of the applicant’s goals meals, and incidentals will be the and objectives with the stated scope and Transportation Infrastructure/ responsibility of each mission design of the mission. Multimodal Products and Services Trade Mission to Doha, Qatar, and Abu participant. • Applicant’s potential for business Dhabi and Dubai, United Arab Emirates Conditions for Participation in China and/or Mongolia, including likelihood of exports resulting from the AGENCY: International Trade • An applicant must submit a mission. Administration, Department of completed and signed mission Commerce. application and supplemental Diversity of company size, type, ACTION: Notice. application materials, including location, and demographics, may also be adequate information on the company’s considered during the review process. Mission Description products and/or services, primary Referrals from political organizations market objectives, and goals for and any documents containing The U.S. Department of Commerce, participation. If the U.S. Department of references to partisan political activities International Trade Administration, Commerce receives an incomplete (including political contributions) will U.S. Commercial Service is organizing a application, the Department may reject be removed from an applicant’s senior executive-led trade mission for the application, request additional submission and not considered during multimodal transportation and information, or take the lack of the selection process. infrastructure development products information into account when and services to Doha, Qatar, and Abu evaluating the applications. Selection Timeline Dhabi and Dubai, United Arab Emirates • Each applicant must also certify Mission recruitment will be (U.A.E) on October 29–November 3, that the products and services it seeks conducted in an open and public 2011. The mission is designed to to export through the mission are either manner, including publication in the contribute to President Obama’s produced in the United States, or, if not, Federal Register (http:// National Export Initiative, which aims marketed under the name of a U.S. firm www.gpoaccess.gov/fr), posting on ITA’s to double U.S. exports by 2015 while and have at least 51 percent U.S. trade mission calendar—http:// supporting two million American jobs, content of the value of the finished www.trade.gov/trade-missions—and by increasing exports of products and product or service. other Internet Web Sites, press releases services that contribute to infrastructure development projects in Qatar and Conditions for Participation to general and trade media, direct mail, broadcast fax, notices by industry trade U.A.E. • The mission will help U.S. companies An applicant must submit a associations and other multiplier already doing business in Qatar or the completed and signed mission groups, and publicity at industry U.A.E. increase their current level of application and supplemental meetings, symposia, conferences, and exports and exposure, and will help application materials, including trade shows. adequate information on the company’s experienced U.S. exporters, which have products and/or services, primary Recruitment for the mission will not yet done business in Qatar or the begin immediately, and conclude U.A.E. enter these markets in support of 1 An SME is defined as a firm with 500 or fewer August 12, 2011, unless extended by the job creation in the United States. employees or that otherwise qualifies as a small Department of Commerce. Applications Participating firms will gain market business under SBA regulations. See http:// received after August 12, 2011, will be information, connect with key business www.sba.gov/contractingopportunities/owners/ considered only if space and scheduling basics/whatismallbusiness/index.html. Parent and government decision makers, companies, affiliates, and subsidiaries will be constraints permit. solidify business strategies, and/or considered when determining business size. The The U.S. Department of Commerce advance specific projects. In each of dual pricing reflects the Commercial Service’s user fee schedule that became effective May 1, 2008. See will inform applicants of selection these important sectors, participating http://www.export.gov/newsletter/march2008/ decisions as soon as possible after U.S. companies will meet with initiatives.html. August 12, 2011. prescreened potential partners, agents,

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distributors, representatives, and with a strong need to expand the firms. The U.A.E is developing key licensees. The agenda will also include system. Currently, road infrastructure is transportation infrastructure projects meetings with high-level national and the only mode of transportation, which including: Port Khalifa and industrial local government officials, networking is one of the major causes for heavy zone at Taweelah; the new $8 billion opportunities, country briefings, and congestion throughout the country. Union Railway project; the $6.7 billion seminars. There are excellent opportunities for expansion of Abu Dhabi International The industry sectors for this mission U.S. engineers, program management Airport; the construction of the new will include, but are not limited to: firms, and manufacturers to contribute Maktoum Airport, which will multimodal freight transportation to the creation of new transport eventually have five runways; and systems, products and technologies, infrastructure projects (i.e., railways, public transportation systems, such as including port development, airport roads, ports, bridges, and highways), the expansion of the Dubai metro and development, freight rail systems and along with improved traffic safety the construction of the Abu Dhabi metro technologies, supply chain systems and systems. and light rail. The goods, services and strategies; mass transportation systems; The Prime Minister, Sheikh Hamad know-how necessary for the advanced vehicle technologies and bin Jassim, has stated that a significant construction and profitable operation of intelligent transportation systems and share of Qatar’s budget will be for these new systems, particularly those related services and software; and other infrastructure development, and it will related to multimodal freight and relevant products and services. be completely self-financed. As much as intelligent supply chain management, The delegation will be composed of 30 percent of the budget is reportedly provides significant business 15 qualified U.S. firms representing the earmarked for infrastructure upgrades, opportunities in areas where U.S. industry sectors noted above. such as the New Doha International companies excel. U.S. products enjoy Representatives of the U.S. Department Airport, New Doha Seaport, the Doha favorable tariffs that generally do not of Transportation and the Export-Import Expressway Project, roads, and related exceed five percent.1 Bank of the United States (Ex-Im) will program management services. The Other Products and Services be invited to participate (as appropriate) country continues to maintain high levels of capital spending on major to provide information and counseling The foregoing analysis of export projects, which will reach $12 billion in on their programs as they relate to the opportunities in Qatar and the U.A.E. is 2010–2011 compared with $10.4 billion markets in Qatar and the U.A.E. not intended to be exhaustive, but in 2009–2010, representing a 15 percent illustrative of the many opportunities in Commercial Setting year-on-year increase. these markets available to U.S. Qatar U.A.E. businesses. Other products and services The United States continues to be the The U.A.E. is the largest U.S. export that contribute to the energy and largest exporter to Qatar, accounting for market in the Middle East/North Africa infrastructure development of Qatar and 14 percent of the total import market. region, the second largest economy in the U.A.E. also may have great potential. U.S. exports have surged by 495 the region, and presents qualified Applications from companies selling percent, from $454 million in 2003 to American companies with opportunities products and services within the scope $2.7 billion in 2009. Qatar is the fifth to expand their products and services to of this mission, but not specifically largest U.S. export destination in the a fast growing market. The U.A.E. is the identified in this Mission Statement, Middle East, making it an important logistics and business services hub for will be considered and evaluated by the market for U.S. small- and medium- the wider region. The 2009 GDP for the U.S. Department of Commerce. sized businesses. U.A.E. was $231.3 billion and the 2009 Companies whose products do not fit Qatar is one of the richest countries per capita income was $42,000. Despite the scope of the mission may contact per capita in the world, with GDP per the recent global financial crisis, the their local U.S. Export Assistance Center capita valued at $90,000. In 2010, total United States and the U.A.E. have (USEAC) to learn about other trade GDP was valued at $128 billion. The continued their long-term trade and missions and services that may provide IMF predicts that Qatar will grow by 20 investment relationship. Exports more targeted export opportunities. percent in 2011. The World Bank between both countries have increased Companies may call 1–800–872–8723, announced that Qatar is the most almost every year since 1971, when the or e-mail: [email protected] to obtain such economically competitive in the Middle U.A.E. was established. information. This information also may East. Taken together, this has led foreign The United States exported over $12 be found on the Department’s Web site: firms to increase their investment in billion worth of products to the U.A.E. http://www.export.gov. in 2009, representing a 237 percent Qatar’s infrastructure, making it one of Mission Goals the most prosperous markets in the increase since 2002. The United States Middle East. is the third largest exporter to the U.A.E. This Business Development Mission Qatar’s success in winning the 2022 and enjoys a very large trade surplus will demonstrate the United States’ World Cup Nation Host opens up a and a strong trading and investment commitment to a sustained economic constellation of opportunities for U.S. relationship. The U.A.E. is among the engagement with Qatar and the U.A.E. business. The country plans to spend up Middle East region’s leaders in terms of The mission will combine policy to $100 billion in infrastructure projects openness to international trade and dialogue and business development for between now and the World Cup in investment and political stability. It has U.S. firms. Additionally, the mission 2022, including roads, bridges, successfully developed itself into the will advance the Administration’s goal highways, railways, ports, and related largest logistics hub in the wider region, to broaden and deepen the U.S. exporter consultancy services. Qatar’s with the second-largest man-made port base and support the President’s transportation infrastructure also in the world at Jebel Ali, and the fourth National Export Initiative by providing benefits significantly with respect to busiest airport in the world. It is making individual participants with business Qatar’s current domestic growth major investments in infrastructure and environment. Its road transportation economic diversification, resulting in 1 World Trade Organization: Latest Available structure has been operating at capacity, significant export opportunities for U.S. MFN Applied Tariffs At HS 6 (2007).

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opportunities to achieve export success Meetings with Senior Qatari medium-sized enterprise (SME),2 which in these markets. Government Officials will cover the principal (one) In support of these goals, the Business Event/Briefing with Local representative. The fee for each mission’s purpose is to support Industry Representatives additional firm representative (large participants as they construct a firm Networking Reception firm or SME) is $800. Local foundation for future business in Qatar transportation, including transport and the U.A.E., and specifically aims to: Monday, October 31 between mission cities, is included in • Provide participants with market Doha, Qatar the participation fee. information about the local One-on-One Business Meetings for the Expenses for travel, lodging, some infrastructure that will contribute to Delegation meals, and incidentals will be the increasing U.S. exports to the Qatari and Evening Travel to Abu Dhabi, UAE responsibility of each mission U.A.E. markets. participant. Air transportation from the Tuesday, November 1 • Assist in identifying potential end- United States (or point of origin) to users and partners (including potential Abu Dhabi, UAE Qatar and return to the United States is agents, distributors, and licensee Market Briefing by U.S. Embassy the responsibility of the participant. partners) and business strategies for U.S. Officials Business visas may be required. companies to gain access to the Qatari Meetings with Senior UAE and Abu Government fees and processing and U.A.E. markets. Dhabi Government Officials expenses to obtain such visas are also • Provide an opportunity to Business Event/Briefing with Local not included in the mission costs. participate in policy and regulatory Industry Representatives However, the U.S. Department of framework discussions with Qatari and One-on-One Business Meetings for the Commerce will provide instructions to U.A.E. government officials and private Delegation each participant on the procedures sector representatives to advance U.S. Networking reception required to obtain necessary business market access interests in these markets. visas. • Confirm U.S. government support Wednesday, November 2 Conditions for Participation for U.S. business activities in Qatar and Abu Dhabi, UAE the U.A.E. and to provide access to One-on-one business matchmaking An applicant must timely submit a senior government decision makers appointments completed and signed mission from Qatar and U.A.E. Travel to Dubai application and supplemental Mission Scenario Dubai, UAE application materials, including Networking reception adequate information on the company’s During the mission to Qatar and the products and/or services, primary U.A.E., the participants will: Thursday, November 3 market objectives, and goals for • Meet with high-level Qatari and Dubai, UAE participation. If the U.S. Department of Emirati government officials. Commerce receives an incomplete • Meetings with Senior Dubai Meet with prescreened potential Government Officials application, the Department may reject partners, agents, distributors, Business Event/Briefing with Local the application, request additional representatives and licensees. Industry Representatives information, or take the lack of • Meet with representatives of the One-on-One Business Meetings for the information into account when Chambers of Commerce, industry and Delegation evaluating the applications. trade associations. • Closing Dinner Selection Criteria for Participation: Attend briefings conducted by Selection will be based on the following Embassy officials on the economic and Participation Requirements criteria in decreasing order of commercial climates. All parties interested in participating importance: Receptions and other business events in the Business Development Mission to • Consistency of a company’s will be organized to provide mission Qatar and the U.A.E. must complete and products or services with the scope and participants with additional timely submit an application package desired outcome of the mission’s goals; opportunities to speak with local for consideration by the U.S. • Suitability of a company’s products business and government Department of Commerce. All or services to the Qatari and U.A.E. representatives, as well as U.S. business applicants will be evaluated on their markets and the likelihood of a executives living and working in the ability to meet certain conditions and participating company’s increased region. best satisfy the selection criteria as exports to or business interests in these Proposed Timetable outlined below. The mission is designed markets as a result of this mission; • The mission program will begin at 5 to select a a maximum of 15 companies Demonstrated export experience in p.m., Saturday, October 29, 2011 and to participate in the mission from the Qatar, the U.A.E., or other foreign run through the evening of Thursday, applicant pool. U.S. companies already markets; November 3, 2011. Participants are doing business in the target markets, as Additional factors, such as diversity encouraged to arrive on or before well as U.S. companies seeking to enter of company size, type, location, and October 29, 2011. these markets for the first time, are encouraged to apply. 2 An SME is defined as a firm with 500 or fewer Saturday, October 29 (weekend) employees or that otherwise qualifies as a small Fees and Expenses business under SBA regulations (see http:// Doha, Qatar www.sba.gov/services/contracting opportunities/ No-Host Welcome Dinner After a company has been selected to sizestandardstopics/index.html). Parent companies, participate on the mission, a payment to affiliates, and subsidiaries will be considered when Sunday, October 30 the Department of Commerce in the determining business size. The dual pricing reflects form of a participation fee is required. the Commercial Service’s user fee schedule that Doha, Qatar became effective May 1, 2008 (see http:// Market Briefing by U.S. Embassy The participation fee will be $4259 for www.export.gov/newsletter/march2008/ Officials large firms and $3707 for a small or initiatives.html for additional information).

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demographics, may also be considered DEPARTMENT OF COMMERCE may not be the subject of formal action during the review process. during this meeting. Actions of the Referrals from political organizations National Oceanic and Atmospheric Working Group will be restricted to and any documents, including the Administration those issues specifically identified in application, containing references to RIN 0648–XA474 the agenda and any issues arising after partisan political activities (including publication of this notice that require political contributions) will be removed Gulf of Mexico Fishery Management emergency action under Section 305(c) from an applicant’s submission and not Council; Public Meeting of the Magnuson-Stevens Act, provided considered during the selection process. the public has been notified of the AGENCY: National Marine Fisheries Selection Timeline Council’s intent to take action to Service (NMFS), National Oceanic and address the emergency. Mission recruitment will be Atmospheric Administration (NOAA), conducted in an open and public Commerce. Special Accommodations manner, including publication in the ACTION: Council to convene a public This meeting is physically accessible Federal Register, posting on the meeting. to people with disabilities. Requests for Commerce Department trade mission sign language interpretation or other calendar—http://www.trade.gov/trade- SUMMARY: The Gulf of Mexico Fishery auxiliary aids should be directed to missions/—and other Internet Web sites, Management Council will convene a Kathy Pereira at the Council (see press releases to general and trade meeting of the Ecosystem Scientific and ADDRESSES) at least 5 working days prior media, direct mail, broadcast fax, Statistical Committee. to the meeting. notices by industry trade associations DATES: The meeting will convene at 8:30 Dated: June 2, 2011. and other multiplier groups, and a.m. Eastern time on Tuesday, June 28, publicity at industry meetings, 2011 and conclude by 2 p.m. on Tracey L. Thompson, symposia, conferences, and trade shows. Thursday, June 30, 2011. Acting Director, Office of Sustainable Fisheries, National Marine Fisheries Service. The Commerce Department’s Office of ADDRESSES: The meeting will be held at Business Liaison and the International the Gulf of Mexico Fishery Management [FR Doc. 2011–13996 Filed 6–6–11; 8:45 am] Trade Administration will explore and Council Office located at 2203 N. Lois BILLING CODE 3510–22–P welcome outreach assistance from other Avenue, Suite 1100, Tampa, FL 33607. interested organizations, including other Council address: Gulf of Mexico DEPARTMENT OF COMMERCE U.S. government agencies. Applications Fishery Management Council, 2203 N. can be completed on-line at the Qatar Lois Avenue, Suite 1100, Tampa, FL National Oceanic and Atmospheric and U.A.E. Business Development 33607. Administration Mission Web site at http:// FOR FURTHER INFORMATION CONTACT: Dr. www.trade.gov/QatarUAEMission2011 Karen Burns, Ecosystem Management or can be obtained by contacting Jessica RIN 0648–XA475 Specialist; Gulf of Mexico Fishery Arnold (202–482–1856/ Management Council; telephone: (813) Fisheries of the South Atlantic; [email protected]). The 348–1630. Southeast Data, Assessment, and application deadline is Monday June 20, Review (SEDAR); Public Meeting 2011, unless extended by the SUPPLEMENTARY INFORMATION: The Ecosystem Scientific and Statistical Department of Commerce. Applications AGENCY: National Marine Fisheries Committee will meet to discuss the received after Monday, June 20, 2011, Service (NMFS), National Oceanic and proposed short and long term work plan will be considered only if space and Atmospheric Administration (NOAA), and conceptual framework for the scheduling constraints permit. Commerce. Ecosystem Scientific and Statistical Contacts Committee. The Ecosystem Scientific ACTION: Notice of SEDAR 26 data/ assessment webinar for Caribbean silk U.S. Commercial Service Domestic and Statistical Committee will also snapper, queen snapper, and redtail Contact discuss ecological, fishery, and social indicators, changes to the SEDAR parrotfish. Ms. Jessica Arnold, Phone: (202) 482– process, an update on the shallow water SUMMARY: The SEDAR 26 assessments of 2026/Fax: (202) 482–1900, E-mail: grouper model and B.P. Oil Spill and the South Caribbean silk snapper, queen [email protected]. elect an Ecosystem Scientific and snapper, and redtail parrotfish will Statistical Committee chair and vice U.S. Commercial Service Qatar Contact consist of a series of workshops and chair to serve for the next two years. Mr. Dao Le, U.S. Commercial Service, webinars. This notice is for a webinar Copies of the agenda and other related Doha, Qatar, Tel: 011- 974–488–4101/ associated with the Data and materials can be obtained by calling Fax: 011–974–488–4163, E-mail: Assessment portions of the SEDAR (813) 348–1630. Materials will also be [email protected]. process. See SUPPLEMENTARY available to download from the Gulf INFORMATION. U.S. Commercial Service U.A.E. Council’s ftp site. Click on the ftp server Contact under Quick Links, scroll to the DATES: The SEDAR 26 ‘post-data, pre- Ms. Laurie Farris, U.S. Commercial Ecosystem folder. In the Ecosystem assessment’ webinar will be held July Service, Abu Dhabi, UAE, Phone: 011– folder click on the directory named 1st, 2011 from 10 a.m. to approximately 971–2–414–2665/Fax: 011–971–2–414– Ecosystem SSC meeting-2011–06. 1 p.m. Eastern time. The established 2228, E-mail: [email protected]. Although other non-emergency issues times may be adjusted as necessary to not on the agenda may come before the accommodate the timely completion of Elnora Moye, Ecosystem Scientific and Statistical discussion relevant to the assessment U.S. Department of Commerce, Commercial Committee for discussion, in accordance process. Such adjustments may result in Service Trade Mission Program. with the Magnuson-Stevens Fishery the meeting being extended from, or [FR Doc. 2011–13923 Filed 6–6–11; 8:45 am] Conservation and Management Act completed prior to the time established BILLING CODE 3510–FP–P (Magnuson-Stevens Act), those issues by this notice.

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ADDRESSES: The meetings will be held Special Accommodations applicants should submit a current via webinar. The webinar is open to This meeting is physically accessible resume as indicated in the ADDRESSES members of the public. Those interested to people with disabilities. Requests for section. A cover letter highlighting in participating should contact Julie A. sign language interpretation or other specific areas of expertise relevant to the Neer at SEDAR (See FOR FURTHER auxiliary aids should be directed to the purpose of the Panel is helpful, but not INFORMATION CONTACT) to request an Council office (see ADDRESSES) at least required. NOAA is an equal opportunity invitation providing webinar access 10 business days prior to the meeting. employer. information. DATES: Dated: June 2, 2011. Resume application materials should be sent to the address, e-mail, or FOR FURTHER INFORMATION CONTACT: Julie Tracey L. Thompson, A. Neer, SEDAR Coordinator, 4055 fax specified and must be received by Acting Director, Office of Sustainable July 29, 2011. Faber Place, Suite 201, North Fisheries, National Marine Fisheries Service. Charleston, SC 29405; phone: (843) 571– ADDRESSES: Submit resume for Panel [FR Doc. 2011–13997 Filed 6–6–11; 8:45 am] 4366; e-mail: [email protected]. membership to Kathy Watson via mail, BILLING CODE 3510–22–P SUPPLEMENTARY INFORMATION: The Gulf fax, or e-mail. Mail: Kathy Watson, of Mexico, South Atlantic, and NOAA National Ocean Service, Office of Caribbean Fishery Management DEPARTMENT OF COMMERCE Coast Survey, NOAA (N/CS), 1315 East Councils, in conjunction with NOAA West Highway, SSMC3 Rm 6126, Silver Fisheries and the Atlantic and Gulf National Oceanic and Atmospheric Spring, MD, 20910; Fax: 301–713–4019; States Marine Fisheries Commissions Administration E-mail: [email protected]; have implemented the Southeast Data, or [email protected]. Assessment and Review (SEDAR) Hydrographic Services Review Panel FOR FURTHER INFORMATION CONTACT: process, a multi-step method for AGENCY: National Ocean Service, Kathy Watson, NOAA National Ocean determining the status of fish stocks in National Oceanic and Atmospheric Service, Office of Coast Survey, NOAA the Southeast Region. SEDAR is a three- Administration (NOAA), Department of (N/CS), 1315 East West Highway, step process including: (1) Data Commerce. SSMC3 Rm 6126, Silver Spring, Workshop, (2) Assessment Process ACTION: Notice of membership Maryland, 20910; Telephone: 301–713– utilizing webinars and workshops (3) solicitation for Hydrographic Services 2770 x158, Fax: 301–713–4019; E-mail: Review Workshop. The product of the Review Panel. [email protected]; or Data Workshop is a data report which [email protected]. compiles and evaluates potential SUMMARY: This notice responds to the SUPPLEMENTARY INFORMATION: Under 33 datasets and recommends which Hydrographic Service Improvements U.S.C. 883a, et seq., NOAA’s National datasets are appropriate for assessment Act Amendments of 2002, Public Law Ocean Service (NOS) is responsible for analyses. The product of the Assessment 107–372, which requires the providing nautical charts and related Process is a stock assessment report Administrator of the National Oceanic information for safe navigation. NOS which describes the fisheries, evaluates and Atmospheric Administration collects and compiles hydrographic, the status of the stock, estimates (NOAA), to solicit nominations for tidal and current, geodetic, and a variety biological benchmarks, projects future membership on the Hydrographic of other data in order to fulfill this population conditions, and recommends Services Review Panel (HSRP). The responsibility. The HSRP provides research and monitoring needs. The HSRP, a Federal advisory committee, advice on current and emerging advises the Administrator on matters assessment is independently peer oceanographic and marine science related to the responsibilities and reviewed at the Review Workshop. The technologies relating to operations, authorities set forth in section 303 of the product of the Review Workshop is a research and development; and Hydrographic Services Improvement Summary documenting Panel opinions dissemination of data pertaining to: regarding the strengths and weaknesses Act of 1998 (as amended) and such (a) Hydrographic surveying; of the stock assessment and input data. other appropriate matters as the (b) Shoreline surveying; Participants for SEDAR Workshops are Administrator refers to the Panel for (c) Nautical charting; appointed by the Gulf of Mexico, South review and advice. The Act states, ‘‘the (d) Water level measurements; Atlantic, and Caribbean Fishery voting members of the Panel shall be (e) Current measurements; Management Councils and NOAA individuals who, by reason of (f) Geodetic measurements; Fisheries Southeast Regional Office, knowledge, experience, or training, are (g) Geospatial measurements; HMS Management Division, and especially qualified in one or more of (h) Geomagnetic measurements; and Southeast Fisheries Science Center. the disciplines and fields relating to (i) Other oceanographic/marine Participants include data collectors and hydrographic data and hydrographic related sciences. database managers; stock assessment services, marine transportation, port The Panel has fifteen voting members scientists, biologists, and researchers; administration, vessel pilotage, coastal appointed by the NOAA Administrator constituency representatives including and fishery management, and other in accordance with 33 U.S.C. 892c. fishermen, environmentalists, and disciplines as determined appropriate Members are selected on a standardized NGO’s; International experts; and staff by the Administrator.’’ The NOAA basis, in accordance with applicable of Councils, Commissions, and state and Administrator is seeking to broaden the Department of Commerce guidance. The federal agencies. areas of expertise represented on the Co-Directors of the Center for Coastal SEDAR 26 ‘pre-Data, post- Panel and encourages individuals with and Ocean Mapping/Joint Hydrographic Assessment’ webinar series: Using expertise in navigation data, products Center and two other NOAA employees datasets recommended from the Data and services; coastal management; serve as nonvoting members of the Workshop, participants from both the fisheries management; coastal and Panel. The Director, NOAA Office of data workshop and the assessment marine spatial planning; geodesy; water Coast Survey, serves as the Designated workshop will come together for two levels; and other science-related fields Federal Official (DFO). webinars to provide early modeling to apply for Panel membership. To This solicitation is to obtain candidate advice. apply for membership on the Panel, applications for up to 5 full voting

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member vacancies on the Panel as of Members serve at the discretion of the (b) Confidential Financial Disclosure January 1, 2012. Additional Administrator and are subject to Report—As an SGE, you are required to appointments may be made to fill government ethics standards. Any file a Confidential Financial Disclosure vacancies left by any members who individual appointed to a partial or full Report to avoid involvement in a real or choose to resign during 2012. Be term may be reappointed for one apparent conflict of interest. You may advised that some voting members additional full term. A voting member find the Confidential Financial whose terms expire January 1, 2012 may may serve until his or her successor has Disclosure Report at the following Web be reappointed for another full term if taken office. The Panel selects one site. http://www.usoge.gov/forms/ eligible. voting member to serve as the Chair and form_450.aspx. If you submitted a resume application another to serve as the Vice Chair. The Dated: June 1, 2011. for the April 21, 2010 Federal Register Vice Chair acts as Chair in the absence Captain John E. Lowell, Jr., Notice for HSRP membership or incapacity of the Chair but will not solicitation, and are still interested in automatically become the Chair if the NOAA, Director, Office of Coast Survey, being considered for membership on the Chair resigns. Meetings occur at least National Ocean Service, National Oceanic and Atmospheric Administration. Panel, you need to confirm your interest twice a year, and at the call of the Chair by contacting NOAA’s HSRP Program or upon the request of a majority of the [FR Doc. 2011–14025 Filed 6–6–11; 8:45 am] Coordinator, Kathy Watson, at voting members or of the Administrator. BILLING CODE 3510–JE–P [email protected]; or Voting members receive compensation [email protected]; telephone: at a rate established by the (301) 713–2770 x158. If you respond Administrator, not to exceed the DEPARTMENT OF DEFENSE that you are still interested, you can maximum daily rate payable under either request that your 2010 resume section 5376 of title 5, United States Office of the Secretary application be resubmitted, or you may Code, when engaged in performing resubmit a more current resume duties for the Panel. Members are [Transmittal Nos. 11–02] application for the 2011 selection reimbursed for actual and reasonable process. expenses incurred in performing such 36(b)(1) Arms Sales Notification Voting members are individuals who, duties. by reason of knowledge, experience, or AGENCY: Defense Security Cooperation training, are especially qualified in one Individuals Selected for Panel Agency, Department of Defense. Membershp or more disciplines relating to ACTION: Notice. hydrographic surveying, tides, currents, Upon selection and agreement to geodetic and geospatial measurements, serve on the HSRP Panel, you become SUMMARY: The Department of Defense is marine transportation, port a Special Government Employee (SGE) publishing the unclassified text of a administration, vessel pilotage, coastal of the United States Government. 18 section 36(b)(1) arms sales notification. or fishery management, and other U.S.C. 202(a) an SGE(s) is an officer or This is published to fulfill the oceanographic or marine science areas employee of an agency who is retained, requirements of section 155 of Public as deemed appropriate by the designated, appointed, or employed to Law 104–164 dated July 21, 1996. Administrator. Full-time officers or perform temporary duties, with or FOR FURTHER INFORMATION CONTACT: Ms. employees of the United States may not without compensation, not to exceed B. English, DSCA/DBO/CFM, (703) 601– be appointed as a voting member. Any 130 days during any period of 365 3740. voting member of the Panel who is an consecutive days, either on a fulltime or The following is a copy of a letter to applicant for, or beneficiary of (as intermittent basis. Please be aware that the Speaker of the House of determined by the Administrator) any after the selection process is complete, Representatives, Transmittals 11–02 assistance under 33 U.S.C. 892c shall applicants selected to serve on the Panel with attached transmittal, and policy disclose to the Panel that relationship, must complete the following actions justification. and may not vote on any other matter before they can be appointed as a Panel pertaining to that assistance. member: Dated: June 1, 2011. Voting members of the Panel serve a (a) Security Clearance (on-line Aaron Siegel, four-year term, except that vacancy Background Security Check process and Alternate OSD Federal Register Liaison appointments are for the remainder of fingerprinting conducted through Officer, Department of Defense. the unexpired term of the vacancy. NOAA Workforce Management); and BILLING CODE 5001–06–P

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[FR Doc. 2011–13925 Filed 6–6–11; 8:45 am] other records for the 2010–2011 award Access to Retain Talent Grant, Teacher BILLING CODE 5001–06–C year. Education Assistance for College and Higher Education Grant, and Iraq and Overview Information Afghanistan Service Grant programs. (CFDA Nos. 84.007, 84.033, 84.038, 84.063, DEPARTMENT OF EDUCATION SUMMARY: The Secretary announces 84.069, 84.268, 84.375, 84.376, 84.379, and deadline dates for the receipt of 84.408) Applications, Reports, and Other documents and other information from Records for the 2010–2011 Award Student Assistance General institutions and applicants for the Year; Student Assistance General Provisions, Federal Supplemental Federal student aid programs authorized Provisions, Federal Supplemental Educational Opportunity Grant, Federal under Title IV of the Higher Education Educational Opportunity Grant, Work-Study, Federal Perkins Loan, Act of 1965, as amended, for the 2010– Federal Work-Study, etc. Federal Pell Grant, Leveraging 2011 award year. The Federal student Educational Assistance Partnership, aid programs include the Federal AGENCY: Department of Education. William D. Ford Federal Direct Loan, Supplemental Educational Opportunity ACTION: Notice of deadline dates for Academic Competitiveness Grant, Grant, Federal Work-Study, Federal receipt of applications, reports, and National Science and Mathematics Perkins Loan, Federal Pell Grant,

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Leveraging Educational Assistance meeting the conditions for a late if an institution uses its own funds in Partnership, William D. Ford Federal disbursement under the Federal Pell advance of receiving program funds Direct Loan (Direct Loan), Academic Grant, ACG, or National SMART Grant from the Department. An institution’s Competitiveness Grant (ACG), National programs must be received according to failure to submit disbursement records Science and Mathematics Access to the deadline dates provided in Table A. within the required 30-day timeframe Retain Talent Grant (National SMART In accordance with the regulations in may result in an audit or program Grant), Teacher Education Assistance 34 CFR 668.164(g)(4)(i), an institution review finding. In addition, the for College and Higher Education may not make a late disbursement later Secretary may initiate an adverse action, (TEACH) Grant, and Iraq and than 180 days after the date of the such as a fine or other penalty for such Afghanistan Service Grant programs. institution’s determination that the failure. These programs, administered by the student withdrew, as provided in 34 Table C provides further guidance for U.S. Department of Education CFR 668.22, or for a student who did this first award year of the new Iraq and (Department), provide financial not withdraw, 180 days after the date Afghanistan Service Grant Program. assistance to students attending eligible the student otherwise became ineligible. Previously, we provided the operational postsecondary educational institutions Table A provides that an institution guidance that an institution must follow to help them pay their educational must receive a valid ISIR or valid SAR in the Electronic Announcements costs. no later than 180 days after its posted on the Information for Financial Deadline and Submission Dates: See determination of a student’s withdrawal Aid Professionals Web site, including Tables A, B, and C at the end of this or, for a student who did not withdraw, the postings of November 6, 2009, May notice. 180 days after the date the student 13, 2010, June 24, 2010, July 30, 2010, Table A—Deadline Dates for otherwise became ineligible, but not October 1, 2010, and November 19, Application Processing and Receipt of later than September 28, 2011. 2010. Information about the Iraq and Institutional Student Information Table B—Federal Pell Grant, ACG, and Afghanistan Service Grant Program is Records (ISIRs) or Student Aid Reports National SMART Grant Programs also provided in Volume II, Section 1 of (SARs) by Institutions Submission Dates for Disbursement the 2010–2011 COD Technical Table A provides information and Information by Institutions and Table Reference. deadline dates for application C—Iraq and Afghanistan Service Grant Federal Pell Grant, ACG, and the processing, including receipt of the Free Program Submission Dates for National SMART Grant Programs and Disbursement Information by Application for Federal Student Aid the 2011 Crossover Payment Period (FAFSA) and corrections to and Institutions signatures for the FAFSA, receipt of Tables B and C provide the earliest The Department of Defense and Full- ISIRs and SARs, and receipt of submission and deadline dates for Year Continuing Appropriations Act, verification documents. institutions to submit Federal Pell 2011 (P.L. 112–10) rescinded the The deadline date for the receipt of a Grant, ACG, National SMART Grant, provision that allowed a student to FAFSA by the Department’s Central and Iraq and Afghanistan Service Grant receive more than one scheduled award Processing System is June 30, 2011, disbursement records to the in an award year. Under 34 CFR 690.64, regardless of the method that the Department’s Common Origination and an institution would be required to applicant uses to submit the FAFSA. Disbursement (COD) System and assign a student’s 2011 crossover The deadline date for the receipt of a deadline dates for requests for payment period that occurs in the 2010– signature page for the FAFSA (if administrative relief if the institution 2011 and 2011–2012 award years to the required), corrections, changes of cannot meet the established deadline for award year in which the student would addresses or schools, or requests for a specified reasons. receive a greater Federal Pell Grant duplicate SAR is September 21, 2011. In general, an institution must submit payment for the payment period. Verification documents must be Federal Pell Grant, ACG, National However, since there will be no received by the institution no later than SMART Grant, or Iraq and Afghanistan opportunity for a student to receive a the earlier of 120 days after the student’s Service Grant disbursement records no second Scheduled Award during the last date of enrollment or September 28, later than 30 days after making a Federal 2011–2012 award year, Public Law 112– 2011. As a reminder, verification is not Pell Grant, ACG, National SMART 10 included a provision that waives this required for unsubsidized Direct Grant, or Iraq and Afghanistan Service regulatory requirement for any 2011 Stafford Loans and PLUS Loans, TEACH Grant disbursement or becoming aware crossover payment period. Thus, for a Grants, and Iraq and Afghanistan of the need to adjust a student’s 2011 crossover payment period, an Service Grants. previously reported Federal Pell Grant, institution may choose the award year For all Federal student aid programs ACG, National SMART Grant, or Iraq to which it assigns a student’s crossover except Parent PLUS, an ISIR or SAR and Afghanistan Service Grant payment period for purposes of the with an official expected family disbursement. In accordance with the Federal Pell Grant Program. contribution must be received by the regulations in 34 CFR 668.164, we It is important to note that the 2010– institution no later than the earlier of consider that Federal Pell Grant, ACG, 2011 award year is the final year for the the student’s last date of enrollment for National SMART Grant, and Iraq and ACG and National SMART Grant the 2010–2011 award year or September Afghanistan Service Grant funds are programs. Therefore, an ACG or 28, 2011. For purposes of only the disbursed on the date that the National SMART Grant award for a 2011 Federal Pell Grant, ACG, or National institution: (a) Credits those funds to a crossover payment period must be SMART Grant programs, a valid ISIR or student’s account in the institution’s assigned to the 2010–2011 award year a valid SAR for a student not meeting general ledger or any subledger of the for an otherwise eligible student to the conditions for a late disbursement general ledger, or (b) pays those funds receive payment, and the institution must be received no later than the to a student directly. We consider that must also assign the student’s 2011 earlier of the student’s last date of Federal Pell Grant, ACG, National crossover payment period for Federal enrollment or September 28, 2011. A SMART Grant, and Iraq and Afghanistan Pell Grant purposes to the 2010–2011 valid ISIR or valid SAR for a student Service Grant funds are disbursed even award year.

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Other Sources for Detailed Information (3) Academic Competitiveness Grant available via the Federal Digital System We publish a detailed discussion of and National Science and Mathematics at: http://www.gpo.gov/fdsys. At this the Federal student aid application Access to Retain Talent Grant Programs, site you can view this document, as well process in the following publications: 34 CFR part 691. as all other documents of this • 2010–2011 Funding Education FOR FURTHER INFORMATION CONTACT: Department published in the Federal Beyond High School. Harold McCullough, U.S. Department of Register, in text or Adobe Portable • 2010–2011 Counselors and Mentors Education, Federal Student Aid, 830 Document Format (PDF). To use PDF Handbook. First Street, NE., Union Center Plaza, you must have Adobe Acrobat Reader, • 2010–2011 ISIR Guide. room 113E1, Washington, DC 20202– which is available free at the site. • 2010–2011 Federal Student Aid 5345. Telephone: (202) 377–4030. You may also access documents of the Handbook. If you use a telecommunications Additional information on the Department published in the Federal device for the deaf (TDD), call the institutional reporting requirements for Register by using the article search Federal Relay Service (FRS), toll free, at the Federal Pell Grant, ACG, and feature at: http:// 1–800–877–8339. National SMART Grant programs is www.federalregister.gov. contained in the 2010–2011 COD Individuals with disabilities can obtain this document in an accessible Specifically, through the advanced Technical Reference. search feature at this site, you can limit You may access these publications by format (e.g., braille, large print, your search to documents published by selecting the ‘‘Publications’’ link at the audiotape, or computer diskette) on the Department. Information for Financial Aid request to the program contact person Professionals Web site at: http:// listed under FOR FURTHER INFORMATION Program Authority: 20 U.S.C. 1070a, www.ifap.ed.gov. CONTACT. 1070a–1, 1070b–1070b–4, 1070c–1070c–4, Applicable Regulations: The Electronic Access to This Document: 1070g, 1070h, 1087a–1087j, and 1087aa– following regulations apply: (1) Student The official version of this document is 1087ii; 42 U.S.C. 2751–2756b. Assistance General Provisions, 34 CFR the document published in the Federal Dated: June 2, 2011. part 668, Register. Free Internet access to the (2) Federal Pell Grant Program, 34 official edition of the Federal Register William J. Taggart, CFR part 690, and and the Code of Federal Regulations is Chief Operating Officer, Federal Student Aid.

TABLE A—DEADLINE DATES FOR APPLICATION PROCESSING AND RECEIPT OF INSTITUTIONAL STUDENT INFORMATION RECORDS (ISIRS) OR STUDENT AID REPORTS (SARS) BY INSTITUTIONS FOR THE 2010–2011 AWARD YEAR

What is the deadline date Who submits? What is submitted? Where is it submitted? for receipt?

Student ...... Free Application for Federal Student Electronically to the Department’s June 30, 2011.1 Aid (FAFSA)—‘‘FAFSA on the Central Processing System (CPS). Web’’ (original or renewal). Signature Page (if required) ...... To the address printed on the signa- September 21, 2011. ture page. Student through an Insti- An electronic FAFSA (original or re- Electronically to the Department’s June 30, 2011.1 tution. newal). CPS. Student ...... A paper original FAFSA...... To the address printed on the June 30, 2011. FAFSA or envelope provided with the form. Student ...... Electronic corrections to the FAFSA Electronically to the Department’s September 21, 2011.1 using ‘‘Corrections on the Web’’. CPS. Signature Page (if required) ...... To the address printed on the signa- September 21, 2011. ture page. Student through an Insti- Electronic corrections to the FAFSA Electronically to the Department’s September 21, 2011.1 tution. CPS. Student ...... Paper corrections to the FAFSA To the address printed on the SAR .. September 21, 2011. using a SAR, including change of mailing and e-mail addresses or institutions. Student ...... Change of mailing and e-mail ad- To the Federal Student Aid Informa- September 21, 2011. dresses, change of institutions, or tion Center by calling 1–800–433– requests for a duplicate SAR. 3243. Student ...... SAR with an official expected family To the institution ...... The earlier of: contribution (EFC) calculated by —the student’s last date of enroll- the Department’s CPS (except for ment; or Parent PLUS). —September 28, 2011.2 Student through CPS ...... ISIR with an official EFC calculated To the institution from the Depart- The earlier of: by the Department’s CPS (except ment’s CPS. —the student’s last date of enroll- for Parent PLUS). ment; or —September 28, 2011.2 Student ...... Valid SAR (Pell, ACG, and National To the institution...... Except for a student meeting the SMART Grant Only). conditions for a late disbursement under 34 CFR 668.164(g), the earlier of: the student’s last date of enrollment; or September 28, 2011.2

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TABLE A—DEADLINE DATES FOR APPLICATION PROCESSING AND RECEIPT OF INSTITUTIONAL STUDENT INFORMATION RECORDS (ISIRS) OR STUDENT AID REPORTS (SARS) BY INSTITUTIONS FOR THE 2010–2011 AWARD YEAR—Continued

What is the deadline date Who submits? What is submitted? Where is it submitted? for receipt?

Student through CPS ...... Valid ISIR (Pell, ACG, and National To the institution from the Depart- For a student receiving a late dis- SMART Grant Only). ment’s CPS. bursement under 34 CFR 668.164(g)(4)(i), the earlier of: —180 days after the date of the institution’s determination that the student withdrew or otherwise became ineligible; or —September 28, 2011.2 Student ...... Verification documents ...... To the institution ...... The earlier of: 3 —120 days after the student’s last date of enrollment; or —September 28, 2011.2 1 The deadline for electronic transactions is 11:59 p.m. (Central Time) on the deadline date. Transmissions must be completed and accepted before 12:00 midnight to meet the deadline. If transmissions are started before 12:00 midnight but are not completed until after 12:00 midnight, those transmissions do not meet the deadline. In addition, any transmission submitted on or just prior to the deadline date that is rejected may not be reprocessed because the deadline will have passed by the time the user gets the information notifying him/her of the rejection. 2 The date the ISIR/SAR transaction was processed by CPS is considered to be the date the institution received the ISIR or SAR regardless of whether the institution has downloaded the ISIR from its SAIG mailbox or when the student submits the SAR to the institution. 3 Although the Secretary has set this deadline date for the submission of verification documents, if corrections are required, deadline dates for submission of paper or electronic corrections and, for a Federal Pell Grant, ACG, and National SMART Grant, the submission of a valid SAR or valid ISIR to the institution must still be met. An institution may establish an earlier deadline for the submission of verification documents for purposes of the campus-based programs, the FFEL Program, and the Federal Direct Loan Program. Students completing verification and submitting a valid SAR or valid ISIR while no longer enrolled will be paid based on the higher of the two EFCs.

TABLE B—FEDERAL PELL GRANT, ACG, AND NATIONAL SMART GRANT PROGRAMS SUBMISSION DATES FOR DISBURSEMENT INFORMATION BY INSTITUTIONS FOR THE 2010–2011 AWARD YEAR

What are the earliest disbursement, Who submits? What is submitted? Where is it submitted? submission, and deadline dates for receipt?

Institutions ...... At least one acceptable disbursement To the Common Origination and Dis- Earliest Disbursement Date: January record must be submitted for each bursement (COD) System using ei- 13, 2010. Federal Pell Grant recipient, ACG re- ther: Earliest Submission Dates: cipient, and National SMART Grant —the COD Web site at: An institution may submit anticipated recipient at the institution. www.cod.ed.gov; or. disbursement information as early as —the Student Aid Internet Gateway March 27, 2010. (SAIG). An institution may submit actual disbursement information as early as May 26, 2010, but no earlier than: (a) 7 calendar days prior to the disbursement date under the advance payment method; (b) 7 calendar days prior to the disbursement date under the Cash Mon- itoring #1 payment method; or (c) The date of disbursement under the Reimbursement or Cash Monitoring #2 payment methods.

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TABLE B—FEDERAL PELL GRANT, ACG, AND NATIONAL SMART GRANT PROGRAMS SUBMISSION DATES FOR DISBURSEMENT INFORMATION BY INSTITUTIONS FOR THE 2010–2011 AWARD YEAR—Continued

What are the earliest disbursement, Who submits? What is submitted? Where is it submitted? submission, and deadline dates for receipt?

Deadline Submission Dates: Except as provided below, an institution is required to submit disbursement information no later than the earlier of: (a) 30 calendar days after the institution makes a disbursement or becomes aware of the need to make an adjustment to previously reported disbursement data; or (b) September 30, 2011.1 An institution may submit disbursement information after September 30, 2011, only: (a) for a downward adjustment of a previously reported award or disbursement; (b) based upon a program review or initial audit finding per 34 CFR 690.83 or 691.83; (c) for reporting a late disbursement under 34 CFR 668.164(g); or (d) for reporting disbursements previously blocked as a result of another institution failing to post a downward adjustment. Institutions ...... Request for administrative relief based Via COD Web site at: www.cod.ed.gov The earlier of: on a natural disaster or other unusual —a date designated by the Secretary circumstances, or an administrative after consultation with the institution; error made by the Department. or —February 1, 2012. Institutions ...... Request for administrative relief if a stu- Via COD Web site at: www.cod.ed.gov The earlier of: dent reenters the institution within —30 days after the student reenrolls; or 180 days after initially withdrawing —May 3, 2012. and the institution is reporting a disbursement for the student within 30 days of the student’s reenrollment but after September 30, 2011 2. 1 The deadline for electronic transactions is 11:59 p.m. (Eastern Time) on September 30, 2011. Transmissions must be completed and accepted before 12:00 midnight to meet the deadline. If transmissions are started before 12:00 midnight but are not completed until after 12:00 midnight, those transmissions will not meet the deadline. In addition, any transmission submitted on or just prior to the deadline date that is rejected may not be reprocessed because the deadline will have passed by the time the user gets the information notifying him/her of the rejection. 2 Applies only to students enrolled in clock-hour and nonterm credit-hour educational programs. NOTE: The COD System must accept origination data for a student from an institution before it accepts disbursement information from the institution for that student. Institutions may submit origination and disbursement data for a student in the same transmission. However, if the origination data is rejected, the disbursement data is rejected.

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TABLE C—IRAQ AND AFGHANISTAN SERVICE GRANT PROGRAM SUBMISSION DATES FOR DISBURSEMENT INFORMATION BY INSTITUTIONS FOR THE 2010–2011 AWARD YEAR

What are the earliest disbursement, Who submits? What is submitted? Where is it submitted? submission, and deadline dates for receipt?

Institutions ...... At least one acceptable disbursement To the Common Origination and Dis- Earliest Disbursement Date: July 1, record must be submitted for each bursement (COD) System by: 2010. Iraq and Afghanistan Service Grant —prior to October 9, 2010, calling the An institution may submit disbursement recipient at the institution. COD School Relations Center at information no earlier than: (800) 474–7268; or. (a) 7 calendar days prior to the dis- —on or after October 9, 2010, using the bursement date under the advance COD Web site at: www.cod.ed.gov. payment method; (b) 7 calendar days prior to the disbursement date under the Cash Mon- itoring #1 payment method; or (c) The date of disbursement under the Reimbursement or Cash Monitoring #2 payment methods. Deadline Submission Dates: Except as provided below, an institution is required to submit disbursement information no later than the earlier of: (a) 30 calendar days after the institution makes a disbursement or becomes aware of the need to make an adjustment to previously reported disbursement data; or (b) September 30, 2011.1 An institution may submit disbursement information after September 30, 2011, only: (a) for a downward adjustment of a previously reported award or disbursement; (b) based upon a program review or initial audit finding per 34 CFR 690.83 or 691.83; (c) for reporting a late disbursement under 34 CFR 668.164(g); or (d) for reporting disbursements previously blocked as a result of another institution failing to post a downward adjustment. Institutions ...... Request for administrative relief based Via COD Web site at: www.cod.ed.gov The earlier of: on a natural disaster or other unusual —a date designated by the Secretary circumstances, or an administrative after consultation with the institution; error made by the Department. or —February 1, 2012. Institutions ...... Request for administrative relief if a stu- Via COD Web site at: www.cod.ed.gov The earlier of: dent reenters the institution within —30 days after the student reenrolls; or 180 days after initially withdrawing —May 3, 2012. and the institution is reporting a disbursement for the student within 30 days of the student’s reenrollment but after September 30, 2011.2 1The deadline for electronic transactions is 11:59 p.m. (Eastern Time) on September 30, 2011. Transmissions must be completed and accepted before 12:00 midnight to meet the deadline. If transmissions are started before 12:00 midnight but are not completed until after 12:00 midnight, those transmissions will not meet the deadline. In addition, any transmission submitted on or just prior to the deadline date that is rejected may not be reprocessed because the deadline will have passed by the time the user gets the information notifying him/her of the rejection. 2 Applies only to students enrolled in clock-hour and nonterm credit-hour educational programs. NOTE: The COD System must accept origination data for a student from an institution before it accepts disbursement information from the institution for that student. Institutions may submit origination and disbursement data for a student in the same transmission. However, if the origination data is rejected, the disbursement data is rejected.

[FR Doc. 2011–14016 Filed 6–6–11; 8:45 am] BILLING CODE 4000–01–P

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DEPARTMENT OF EDUCATION p.m., Washington, DC time, Monday extension of the current grantee’s through Friday of each week except project will align the end of the current [CFDA No. 84.326H] Federal holidays. NECTAC project period with the Proposed Extensions and Waivers: Assistance to Individuals With expiration of the project period for the National Early Childhood Technical Disabilities in Reviewing the Technical Assistance Center on Social- Assistance Center Rulemaking Record Emotional Intervention for Young Children (CFDA No. 84.326B) and allow AGENCY: Office of Special Education On request, we will supply an for the Department to develop a strategic Programs, Office of Special Education appropriate aid, such as a reader or and better coordinated approach to early and Rehabilitative Services, Department print magnifier, to an individual with a childhood special education technical of Education. disability who needs assistance to assistance without there being a lapse in ACTION: Notice of proposed extension of review the comments or other the provision of technical assistance project period and waiver for the documents in the public rulemaking services currently provided by the National Early Childhood Technical record for this proposed extension of NECTAC. For these reasons, the Assistance Center. project period and waiver. If you want Secretary proposes to waive the to schedule an appointment for this type requirements in 34 CFR 75.250, which of aid, please contact the person listed SUMMARY: The Secretary proposes to prohibit project periods exceeding five under FOR FURTHER INFORMATION waive the requirements in the Education years, and the requirements in 34 CFR CONTACT. Department General Administrative 75.261(a) and (c), which limit the Regulations (EDGAR), in 34 CFR 75.250 Background extension of a project period if the and 75.261(a) and (c), respectively, that On April 28, 2006, the Department extension involves the obligation of generally prohibit project periods additional Federal funds, and issue a exceeding five years and extensions of published a notice in the Federal Register (71 FR 25163) inviting continuation award in the amount of project periods involving the obligation $3,000,000 to the University of North of additional Federal funds. This applications for new awards for fiscal year (FY) 2006 for a National Early Carolina at Chapel Hill (H326H060005) extension of project period and waiver for an additional twelve-month period. would enable the currently funded Childhood Technical Assistance Center project to receive funding from October (NECTAC). The purpose of the Waiving these regulations and issuing 1, 2011 through September 30, 2012. NECTAC, which was funded under the this continuation award would ensure Technical Assistance and Dissemination DATES: that technical assistance is available to We must receive your comments to Improve Services and Results for on or before July 7, 2011. strengthen State and local early Children with Disabilities (TA&D) childhood systems and improve ADDRESSES: Address all comments about program, authorized under section 663 outcomes for infants, toddlers, and this proposed extension of project of the Individuals with Disabilities children with disabilities and families period and waiver to Julia Martin Eile, Education Act (IDEA), is to ensure that of infants, toddlers, and children U.S. Department of Education, 400 eligible infants, toddlers, and children receiving services under Part C of the Maryland Avenue, SW., room 4056, with disabilities (ages birth through five IDEA. Potomac Center Plaza (PCP), years) receive, as appropriate, services With this proposed extension of Washington, DC 20202–2600. under Parts B and C of the IDEA that project period and waiver, the NECTAC If you prefer to send your comments ultimately improve their developmental would conduct the following activities by e-mail, use the following address: and early learning outcomes. Another during FY 2012: [email protected]. You must purpose of the NECTAC is to ensure that include the phrase ‘‘proposed extension the families of eligible infants, toddlers, (a) Develop products and services to of project period and waiver’’ in the and children receiving services under respond to State needs prioritized on subject line of your message. Part C of the IDEA receive services the basis of results of current needs- FOR FURTHER INFORMATION CONTACT: Julia necessary to enhance families’ capacity analyses and syntheses. Martin Eile at the address listed in the to meet the developmental needs of (b) Provide coordinated ADDRESSES section of this notice. their infant, toddler, or child. individualized and multi-State technical Telephone: (202) 245–7431. If you use a Based on the 2006 notice inviting assistance services to address high- telecommunications device for the deaf applications, the Department made one priority needs. (TDD), call the Federal Relay Service award for a period of 60 months to the (FRS), toll-free, at 1–800–877–8339. University of North Carolina at Chapel (c) Support State-specific technical Individuals with disabilities can Hill to carry out the activities of the assistance efforts specified by the obtain this document in an accessible NECTAC. Department’s Office of Special format (e.g., braille, large print, Currently, the NECTAC focuses on Education Programs. audiotape, or computer diskette) on providing technical assistance to (d) Coordinate with other relevant request to the contact person listed in strengthen State and local early national and State-level technical this section. childhood systems and improve assistance efforts. outcomes for infants, toddlers, and Invitation To Comment (e) Disseminate documents to a wide children with disabilities and families audience, including State and local We invite you to submit comments of infants, toddlers, and children directors of special education. regarding this proposed extension of receiving services under Part C of the project period and waiver. IDEA. (f) Maintain the NECTAC’s Web site. During and after the comment period, The NECTAC’s current project period Regulatory Flexibility Act Certification you may inspect all public comments is scheduled to end on September 30, about this proposed extension of project 2011. At the current time, we do not The Secretary certifies that this period and waiver in room 4056, PCP, believe it would be in the public interest proposed extension of project period 550 12th Street, SW., Washington, DC, to hold a new competition under this and waiver would not have a significant between the hours of 8:30 a.m. and 4:00 program for a new NECTAC. An economic impact on a substantial

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number of small entities. The entities ACTION: Notice of proposed extension of Assistance to Individuals With that would be affected are the current project period and waiver for the Disabilities in Reviewing the grantee serving as the NECTAC and any National Center to Enhance the Rulemaking Record other potential applicant. Professional Development of School On request, we will supply an Personnel Who Share Responsibility for Paperwork Reduction Act of 1995 appropriate aid, such as a reader or Improving Results for Children with print magnifier, to an individual with a This proposed extension of project Disabilities. disability who needs assistance to period and waiver does not contain any review the comments or other information collection requirements. SUMMARY: The Secretary proposes to documents in the public rulemaking Intergovernmental Review waive the requirements in the Education record for this proposed extension of Department General Administrative This program is subject to the project period and waiver. If you want Regulations (EDGAR), in 34 CFR 75.250 to schedule an appointment for this type requirements of Executive Order 12372 and 75.261(a) and (c), respectively, that and the regulations in 34 CFR part 79. of aid, please contact the person listed generally prohibit project periods under FOR FURTHER INFORMATION One of the objectives of the Executive exceeding five years and extensions of order is to foster an intergovernmental CONTACT. project periods involving the obligation partnership and a strengthened of additional Federal funds. This Background federalism. The Executive order relies extension of project period and waiver On June 19, 2006, the Department on processes developed by State and would enable the currently funded published a notice in the Federal local governments for coordination and project to receive funding from October Register (71 FR 35260) inviting review of proposed Federal financial 1, 2011 through September 30, 2012. applications for new awards for fiscal assistance. This document provides year (FY) 2006 for a National DATES: early notification of our specific plans We must receive your comments Professional Development Enhancement and actions for this program. on or before July 7, 2011. Center (Center), funded under the Electronic Access to This Document: ADDRESSES: Address all comments about Personnel Development to Improve The official version of this document is Services and Results for Children with the document published in the Federal this proposed extension of project period and waiver to Shedeh Disabilities program, authorized under Register. Free Internet access to the section 662 of the Individuals with official edition of the Federal Register Hajghassemali, U.S. Department of Education, 400 Maryland Avenue, SW., Disabilities Education Act (IDEA). and the Code of Federal Regulations is The purpose of the Center is to available via the Federal Digital System room 4091, Potomac Center Plaza, Washington, DC 20202–2600. provide pre-service training and at: http://www.gpo.gov/fdsys. At this professional development programs If you prefer to send your comments site you can view this document, as well with high-quality instructional modules, by e-mail, use the following address: as all other documents of this materials, and resources in order to [email protected]. You Department published in the Federal improve the overall quality of special must include the phrase ‘‘proposed Register, in text or Adobe Portable education personnel training and extension of project period and waiver’’ Document Format (PDF). To use PDF professional development. The goal is to in the subject line of your message. you must have Adobe Acrobat Reader, help ensure that local educational which is available free at the site. FOR FURTHER INFORMATION CONTACT: agencies (LEAs) and schools have the You may also access documents of the Shedeh Hajghassemali at the address capacity to implement school Department published in the Federal listed in the ADDRESSES section of this improvement programs to close Register by using the article search notice. Telephone: (202) 245–7506. If achievement gaps between students feature at: http:// you use a telecommunications device with disabilities and their peers, and to www.federalregister.gov. Specifically, for the deaf (TDD), call the Federal promote access to, and greater through the advanced search feature at Relay Service (FRS), toll-free, at 1–800– participation and progress in, the this site, you can limit your search to 877–8339. general education curriculum in the documents published by the least restrictive environment for Department. Individuals with disabilities can obtain this document in an accessible students with disabilities. Dated: June 2, 2011. format (e.g., braille, large print, Based on the 2006 notice inviting Alexa Posny, audiotape, or computer diskette) on applications, the Department made one Assistant Secretary for Special Education and request to the contact person listed in award for a period of 60 months to Rehabilitative Services. this section. Vanderbilt University to serve as the [FR Doc. 2011–14022 Filed 6–6–11; 8:45 am] Center. The Center’s current project BILLING CODE 4000–01–P Invitation To Comment period is scheduled to end on September 30, 2011. We do not believe We invite you to submit comments that it would be in the public interest to DEPARTMENT OF EDUCATION regarding this proposed extension of hold a new competition in 2011 to fund project period and waiver. this personnel development project as [CFDA No. 84.325F] During and after the comment period, the Department is currently working on Proposed Extensions and Waivers: you may inspect all public comments changes to the entire Personnel National Center To Enhance the about this proposed extension of project Development to Improve Services and Professional Development of School period and waiver in room 4091, Results for Children with Disabilities Personnel Who Share Responsibility Potomac Center Plaza, 550 12th Street, program. The program’s new design will SW., Washington, DC, between the ensure that all the projects being AGENCY: Office of Special Education hours of 8:30 a.m. and 4:00 p.m., supported are more strategically aligned Programs, Office of Special Education Washington, DC time, Monday through with each other and that all projects and Rehabilitative Services, Department Friday of each week except Federal more effectively meet the needs of LEAs of Education. holidays. and schools for effective teachers and

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other school personnel and leaders. The Rehabilitation Act (See http:// DEPARTMENT OF EDUCATION Department is currently shaping these www.section508.gov for additional [CFDA No. 84.326T] changes and expects to fund a more information). strategic competition in FY 2012. Regulatory Flexibility Act Certification National Technical Assistance and However, we also have concluded that Dissemination Center for Children Who it would be contrary to the public The Secretary certifies that this Are Deaf-Blind; Proposed Extension of interest to have a lapse in the provision proposed extension of project period Project Period and Waiver of the resources currently provided by and waiver would not have a significant the Center. For these reasons, the AGENCY: Office of Special Education Secretary proposes to waive the economic impact on a substantial Programs, Office of Special Education requirements in 34 CFR 75.250, which number of small entities. The entities and Rehabilitative Services, Department prohibit project periods exceeding five that would be affected are the current of Education. years, and the requirements in 34 CFR grantee serving as the Professional ACTION: Notice of proposed extension of 75.261(a) and (c), which limit the Development Enhancement Center and project period and waiver for the extension of a project period if the any other potential applicant. National Technical Assistance and extension involves the obligation of Paperwork Reduction Act of 1995 Dissemination Center for Children Who additional Federal funds, and issue a Are Deaf-Blind. continuation award in the amount of This proposed extension of project $1,350,000 to Vanderbilt University SUMMARY: The Secretary proposes to period and waiver does not contain any waive the requirements in the Education (H325F060003) for an additional twelve- information collection requirements. month period. Department General Administrative Waiving these regulations and issuing Intergovernmental Review Regulations (EDGAR), in 34 CFR 75.250 this continuation award would ensure and 75.261(a) and (c), respectively, that that pre-service and professional This program is subject to the generally prohibit project periods development programs will continue to requirements of Executive Order 12372 exceeding five years and extensions of receive instructional modules, and the regulations in 34 CFR part 79. project periods involving the obligation materials, and resources to improve the One of the objectives of the Executive of additional Federal funds. This overall quality of training for order is to foster an intergovernmental extension of project period and waiver individuals who provide services to partnership and a strengthened would enable the currently funded students with disabilities. federalism. The Executive order relies National Technical Assistance and With this proposed extension of on processes developed by State and Dissemination Center for Children Who project period and waiver, the Center local governments for coordination and Are Deaf-Blind to receive funding from would conduct the following activities review of proposed Federal financial October 1, 2011 through September 30, during FY 2012: assistance. This document provides 2013. (a) Build on the previous work of the early notification of our specific plans DATES: We must receive your comments project by developing additional and actions for this program. on or before July 7, 2011. materials, and disseminating products ADDRESSES: Address all comments about to an increased number of institutions of Electronic Access to This Document: this proposed extension of project higher education, State educational The official version of this document is period and waiver to Ingrid Oxaal, U.S. agencies, LEAs, and any other entities the document published in the Federal Department of Education, 400 Maryland that provide training and professional Register. Free Internet access to the Avenue, SW., room 4154, Potomac development to individuals who official edition of the Federal Register Center Plaza, Washington, DC 20202– provide services to students with and the Code of Federal Regulations is 2600. disabilities. available via the Federal Digital System If you prefer to send your comments (b) Develop products and services that at: http://www.gpo.gov/fdsys. At this by e-mail, use the following address: are based on the input obtained from the site you can view this document, as well [email protected]. You must include comprehensive needs-assessments, as all other documents of this the phrase ‘‘proposed extension of textbook analyses, focus groups, and Department published in the Federal project period and waiver’’ in the subject consumer-input processes previously Register, in text or Adobe Portable line of your message. conducted by the Center that tapped the Document Format (PDF). To use PDF FOR FURTHER INFORMATION CONTACT: experiences and expertise of an array of you must have Adobe Acrobat Reader, Ingrid Oxaal at the address listed in the partners, consumers, and advisors, which is available free at the site. ADDRESSES section of this notice. including staff from the Department’s Telephone: (202) 245–7471. If you use a You may also access documents of the Office of Special Education Programs. In telecommunications device for the deaf Department published in the Federal addition, the Center must continue to (TDD), call the Federal Relay Service Register by using the article search seek recommendations from consumers (FRS), toll-free, at 1–800–877–8339. and the Department to guide the feature at: http:// Individuals with disabilities can development of enhancements (e.g., www.federalregister.gov. Specifically, obtain this document in an accessible interactive modules, case studies, through the advanced search feature at format (e.g., braille, large print, activities, information briefs) and this site, you can limit your search to audiotape, or computer diskette) on services (e.g., technical assistance to documents published by the request to the contact person listed in faculty, training of trainers, training Department. this section. sessions, and dissemination activities) Dated: June 2, 2011. provided by the Center. Invitation to Comment (c) Continue to disseminate project Alexa Posny, We invite you to submit comments materials to instructors and their Assistant Secretary for Special Education and regarding this proposed extension of students through a cost-free, dedicated Rehabilitative Services. project period and waiver. Web site that meets accessibility [FR Doc. 2011–14023 Filed 6–6–11; 8:45 am] During and after the comment period, standards under section 508 of the BILLING CODE 4000–01–P you may inspect all public comments

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about this proposed extension of project blind. The second goal is to increase the dissemination of information to period and waiver in room 4154, capacity of State deaf-blind projects as multiple recipients, including families, Potomac Center Plaza, 550 12th Street, well as State and local agencies to use individuals who are deaf-blind, State SW., Washington, DC, between the evidence-based practices to improve projects for deaf-blind services, SEAs, hours of 8:30 a.m. and 4:00 p.m., outcomes for individuals who are deaf- LEAs, lead agencies under Part C of the Washington, DC time, Monday through blind. The third goal is to collaborate IDEA, and other State agencies, will not Friday of each week except Federal with Parent Training and Information be interrupted during this period of holidays. Centers (PTIs) to build the capacity of time. families of individuals who are deaf- Assistance to Individuals With With this proposed extension of blind to build relationships with family, Disabilities in Reviewing the project period and waiver, the NCDB peers, service providers, employers, and Rulemaking Record will be required to conduct the others and develop their knowledge following activities: On request, we will supply an about and skills in self-advocacy and (a) Continue identifying State project appropriate aid, such as a reader or self-empowerment. needs in order to provide universal, print magnifier, to an individual with a The NCDB accomplishes this mission disability who needs assistance to through a combination of activities in targeted, and intensive technical review the comments or other the following areas: (1) Technical assistance and training, as appropriate. documents in the public rulemaking assistance to SEAs, LEAs, families, and (b) Assist State deaf-blind projects (1) record for this proposed extension of organizations that are responsible for to increase collaboration among State project period and waiver. If you want the provision of early intervention, deaf-blind projects, the PTIs, and other to schedule an appointment for this type special education, and related and OSEP Technical and Assistance projects of aid, please contact the person listed transitional services for individuals who (2) to improve early intervention, under FOR FURTHER INFORMATION are deaf-blind, (2) collection and instructional and behavioral practices CONTACT. dissemination of information related to by providing universal, targeted, and intensive technical assistance and Background improving outcomes for individuals who are deaf-blind, and (3) training to training, as appropriate. On December 22, 2005, the address gaps in the knowledge of (c) Provide information to SEAs to aid Department published a notice in the service providers, including gaps in the in policy development related to Federal Register (70 FR 76039) inviting knowledge of evidence-based practices, services to individuals who are deaf- applications for new awards for fiscal to improve outcomes for individuals blind, as appropriate. year (FY) 2006 for a National Technical who are deaf-blind. (d) Assist families and individuals Assistance and Dissemination Center for The NCDB’s current project period is who are deaf-blind to increase their Children Who Are Deaf-Blind (Center). scheduled to end on September 30, capacity to build relationships with The purpose of the Center, which was 2011. At this time, we do not believe family, peers, service providers, funded under the Technical Assistance that it would be in the public interest to employers, and others; and develop and Dissemination to Improve Services run a competition under this program their knowledge about and skills in self- and Results for Children with for a new Center. This extension will advocacy and self-empowerment. Disabilities (TA&D) program, authorized align the end of the NCDB’s project (e) Assist personnel preparation under section 663 of the Individuals period with the end of the grants funded training programs to work with Disabilities Education Act (IDEA), under the Projects for Children and collaboratively with each other to is to provide specialized technical Young Adults who are Deaf-Blind increase the number of teachers and assistance, training, dissemination, and program (CFDA Number 84.326C). This paraprofessionals who are prepared to informational services to States, alignment will enable the Department to provide effective services and families, and agencies and organizations develop a technical assistance strategy that are responsible for the provision of for individuals who are deaf-blind that implement evidence-based practices to early intervention, special education, maximizes the effectiveness and improve outcomes for individuals who and related and transitional services for efficiency of the services provided. We are deaf-blind. children through age 21 who are deaf- also have concluded that it would be (f) Collaborate with the U.S. blind. For purposes of this notice, the contrary to the public interest to have a Department of Education’s Office of term ‘‘individuals who are deaf-blind’’ lapse in the provision of technical Special Education and Rehabilitative refers to infants, toddlers, children, assistance services currently provided Services, other Federal technical youth and young adults through age 21 by the NCDB pending the development assistance projects, and State agencies to who are deaf-blind. of a coordinated strategy for technical improve practices and services in early Based on the 2005 notice inviting assistance for individuals who are deaf- intervention, special education, related applications, the Department made one blind. For these reasons, the Secretary services, and transitional services by award for a period of 60 months to proposes to waive the requirements in facilitating inclusion of individuals who Western Oregon University to establish 34 CFR 75.250, which prohibit project are deaf-blind in SEA and LEA the Center, which is currently known as periods exceeding five years, and the initiatives, as appropriate. the National Consortium on Deaf- requirements in 34 CFR 75.261(a) and Regulatory Flexibility Act Certification Blindness (NCDB). The major goals of (c), which limit the extension of a the NCDB are three-fold. The first goal project period if the extension involves The Secretary certifies that this is to increase the capacity of State the obligation of additional Federal proposed extension of project period educational agencies (SEAs), local funds, and issue a continuation award and waiver would not have a significant educational agencies (LEAs), early in the amount of $4,200,000 to Western economic impact on a substantial intervention programs, and other Oregon University (H326T060002) for number of small entities. The only agencies to improve policies and an additional twenty-four-month period. entities that would be affected are the practices that will result in appropriate Waiving these regulations and issuing current grantee serving as the National assessment, planning, placement, and this continuation award would ensure Consortium on Deaf-Blindness and any services for individuals who are deaf- that technical assistance, training, and other potential applicant.

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Paperwork Reduction Act of 1995 Disability and Rehabilitation Research research and practice; and (6) This proposed extension of project Projects and Centers Program— disseminate findings. This notice proposes a priority that period and waiver does not contain any Disability and Rehabilitation Research NIDRR intends to use for a DRRP information collection requirements. Project (DRRP)—Center on Knowledge Translation for Disability and competition in FY 2011 and possibly Intergovernmental Review Rehabilitation Research (KTDRR later years. However, nothing precludes This program is subject to the Center). NIDRR from publishing additional requirements of Executive Order 12372 SUMMARY: The Assistant Secretary for priorities, if needed. Furthermore, and the regulations in 34 CFR part 79. Special Education and Rehabilitative NIDRR is under no obligation to make One of the objectives of the Executive Services proposes a priority for the an award for this priority. The decision to make an award will be based on the order is to foster an intergovernmental Disability and Rehabilitation Research quality of applications received and partnership and a strengthened Projects and Centers Program administered by the National Institute available funding. federalism. The Executive order relies Invitation to Comment: We invite you on processes developed by State and on Disability and Rehabilitation Research (NIDRR). Specifically, this to submit comments regarding this local governments for coordination and notice. To ensure that your comments review of proposed Federal financial notice proposes a priority for a center on knowledge translation for disability and have maximum effect in developing the assistance. This document provides notice of final priority, we urge you to early notification of our specific plans rehabilitation research (KTDRR Center). The Assistant Secretary may use this identify clearly the specific topic that and actions for this program. each comment addresses. Electronic Access to This Document: priority for a competition in fiscal year (FY) 2011 and later years. We take this We invite you to assist us in The official version of this document is complying with the specific action to focus research attention on the document published in the Federal requirements of Executive Order 12866 areas of national need. Register. Free Internet access to the and its overall requirement of reducing official edition of the Federal Register DATES: We must receive your comments regulatory burden that might result from and the Code of Federal Regulations is on or before July 7, 2011. this proposed priority. Please let us available via the Federal Digital System ADDRESSES: Address all comments about know of any further ways we could at: http://www.gpo.gov/fdsys. At this this notice to Marlene Spencer, U.S. reduce potential costs or increase site you can view this document, as well Department of Education, 400 Maryland potential benefits while preserving the as all other documents of this Avenue, SW., room 5133, Potomac effective and efficient administration of Department published in the Federal Center Plaza (PCP), Washington, DC the program. Register, in text or Adobe Portable 20202–2700. During and after the comment period, Document Format (PDF). To use PDF If you prefer to send your comments you may inspect all public comments you must have Adobe Acrobat Reader, by e-mail, use the following address: about this proposed priority in room which is available free at the site. You [email protected]. You must 5133, 550 12th Street, SW., Potomac may also access documents of the include ‘‘Proposed Priority for KTDRR Center Plaza, Washington, DC, between Department published in the Federal Center’’ in the subject line of your the hours of 8:30 a.m. and 4:00 p.m., Register by using the article search electronic message. Washington, DC time, Monday through feature at: http:// Friday of each week except Federal FOR FURTHER INFORMATION CONTACT: www.federalregister.gov. Specifically, holidays. through the advanced search feature at Marlene Spencer. Telephone: (202) 245– Assistance to Individuals with this site, you can limit your search to 7532 or by e-mail: Disabilities in Reviewing the documents published by the [email protected]. Rulemaking Record: On request we will Department. If you use a telecommunications provide an appropriate accommodation device for the deaf (TDD), call the or auxiliary aid to an individual with a Dated: June 2, 2011. Federal Relay Service (FRS), toll free, at Alexa Posny, disability who needs assistance to 1–800–877–8339. review the comments or other Assistant Secretary, for Special Education SUPPLEMENTARY INFORMATION: This and Rehabilitative Services. documents in the public rulemaking notice of proposed priority is in concert record for this notice. If you want to [FR Doc. 2011–14019 Filed 6–6–11; 8:45 am] with NIDRR’s currently approved Long- schedule an appointment for this type of BILLING CODE 4000–01–P Range Plan (Plan). The Plan, which was accommodation or auxiliary aid, please published in the Federal Register on contact the person listed under FOR February 15, 2006 (71 FR 8165), can be DEPARTMENT OF EDUCATION FURTHER INFORMATION CONTACT. accessed on the Internet at the following Purpose of Program: The purpose of Proposed Priority for the Disability and site: http://www.ed.gov/about/offices/ the Disability and Rehabilitation Rehabilitation Research Projects and list/osers/nidrr/policy.html. Research Projects and Centers Program Centers Program Through the implementation of the is to plan and conduct research, Plan, NIDRR seeks to: (1) Improve the demonstration projects, training, and AGENCY: Office of Special Education and quality and utility of disability and related activities, including Rehabilitative Services, Department of rehabilitation research; (2) foster an international activities, to develop Education. exchange of expertise, information, and methods, procedures, and rehabilitation ACTION: Notice of proposed priority. training to facilitate the advancement of technology, that maximize the full knowledge and understanding of the inclusion and integration into society, Overview Information unique needs of traditionally employment, independent living, family underserved populations; (3) determine support, and economic and social self- [CFDA: 84.133A–13] best strategies and programs to improve sufficiency of individuals with Notice of Proposed Priority; National rehabilitation outcomes for underserved disabilities, especially individuals with Institute on Disability and populations; (4) identify research gaps; the most severe disabilities, and to Rehabilitation Research (NIDRR)— (5) identify mechanisms of integrating improve the effectiveness of services

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authorized under the Rehabilitation Act creation of new knowledge to the for systematic reviews of social science of 1973, as amended (Rehabilitation synthesis, dissemination, and and public policy research topics for Act). implementation of such knowledge which little experimental evidence Program Authority: 29 U.S.C. 762(g) and (Canadian Institutes of Health Research, exists, and emerging strategies and 764(a). 2010), and is built upon continuing approaches for meaningful inclusion of interactions and partnerships within intended audiences in the research Applicable Program Regulations: 34 and between different groups of process. In addition, the KTDRR Center CFR part 350. knowledge creators and users. will serve the important role of Systematic review, an important step providing ongoing capacity building Proposed Priority within the KT process, employs an and technical assistance to support This notice contains one proposed objective and transparent method to NIDRR’s grantees in their KT efforts. priority. identify, evaluate, and synthesize the research on a particular topic. A References Center on Knowledge Translation for systematic review involves a Disability and Rehabilitation Research Canadian Institutes of Health Research comprehensive and systematic search of (2010). More About Knowledge Translation (KTDRR Center) the research literature on a topic for at CIHR. http://www.cihr-irsc.gc.ca/e/ Background relevant studies, which are then 39033.html. evaluated using pre-determined, NIDRR (2006). Notice of Final Long Range NIDRR’s mission is to generate new objective criteria for relevance and Plan. (71 FR 8165), see: http://www.ed.gov/ knowledge and promote its effective use methodological rigor. In a systematic about/offices/list/osers/nidrr/policy.html. to improve the abilities of people with review, the evidence from relevant disabilities to perform activities of their Proposed Priority studies that meet the pre-determined choice in the community, and to expand The Assistant Secretary for Special criteria is then analyzed and society’s capacity to provide full Education and Rehabilitative Services synthesized, with the standard of proposes a priority for a center on opportunities and accommodations for evidence applicable to particular knowledge translation for disability and its citizens with disabilities (NIDRR findings clearly identified. In order to rehabilitation research (KTDRR Center). Long Range Plan, 2006). Ensuring that ensure that the information is current, The purpose of the KTDRR Center is to research results can be used to inform systematic reviews should be updated decisions made by individuals with and improved at regular intervals. We promote the use of high-quality disabilities and their family members, encourage potential applicants to disability and rehabilitation research disability advocates, service providers, examine procedures used by such that is relevant to the needs of intended researchers, educators, administrators, organizations as the Campbell audiences by serving as the main policymakers, and others is a critical Collaboration (http:// knowledge translation (KT) resource for goal in this mission. www.campbellcollaboration.org/), the other NIDRR grantees, including NIDRR Research is often not used by Cochrane Collaboration (http:// grantees that serve as KT centers decisionmakers either because they are www.cochrane.org/), the Department of (NIDRR KT Centers). The KTDRR not aware of the research findings, or Education What Works Clearinghouse Center’s work will also be available to because they lack access to research (http://www.w-w-c.org/), and the researchers who are not NIDRR grantees, findings in usable forms. In addition, to Evidence for Policy and Practice as well as to the public. reap the full benefits of the research Information and Coordinating Center For purposes of this priority, KT being disseminated, potential users (http://eppi.ioe.ac.uk/cms/) for more refers to a multidimensional, active must have information that enables information on systematic reviews. process of ensuring that new knowledge them to judge the quality of the research NIDRR previously funded the and products gained via research and and the strength of the evidence National Center for the Dissemination of development reach intended audiences; (particularly where there are competing Disability Research (NCDDR) to support are understood by these audiences; and research claims) as well as the relevance and implement its KT efforts. The are used to improve participation of of the findings or products to their NCDDR made progress in many areas, individuals with disabilities in society. particular needs. The information being including identification of standards, KT encompasses all steps from the disseminated must be of high quality guidelines, and methods that are creation of new knowledge to the and be based on scientifically rigorous appropriate for systematic reviews of synthesis, dissemination, and research. disability and rehabilitation research; implementation of such knowledge, and In order to increase the impact of development of partnerships with is built upon continuing interactions NIDRR-funded research, a strategic, existing collaborations and registries to and partnerships within and between comprehensive, and ongoing effort is facilitate systematic reviews of different groups of knowledge creators needed to facilitate the effective use of disability and rehabilitation research and users. research findings. NIDRR has adopted topics; development of informational Under this priority, the KTDRR Center the conceptual framework of knowledge materials on KT; and provision of must contribute to the following translation (KT) to help guide its efforts technical assistance on KT methods to outcomes: to promote the effective use of research NIDRR grantees. With this priority, (a) Increased use of valid and relevant findings. Knowledge translation in the NIDRR proposes to fund a center on disability and rehabilitation research NIDRR context refers to a knowledge translation for disability and findings to inform decision-making by multidimensional, active process of rehabilitation research (KTDRR Center). individuals with disabilities and their ensuring that new knowledge and The KTDRR Center will continue and family members, disability advocates, products gained via research and expand upon the previous work of the service providers, researchers, development reach intended audiences; NCDDR by leading NIDRR’s KT efforts. educators, administrators, policy- are understood by these audiences; and These KT efforts will allow NIDRR makers, and others. The KTDRR Center are used to improve participation of grantees to stay current with new must contribute to this outcome by— individuals with disabilities in society. advances in KT practices. These (1) Identifying standards, guidelines, KT encompasses all steps from the practices include, for example, methods and methods that are appropriate for

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conducting systematic reviews and grantees, including other NIDRR KT determined as necessary for developing research syntheses on Centers; administering this program effectively disability and rehabilitation research. (5) Organizing and sponsoring events and efficiently. NIDRR grantees must be able to use (e.g., conferences, workshops, webinars, In assessing the potential costs and these standards, guidelines, and and other appropriate training events) to benefits—both quantitative and methods to systematically assess and build KT capacity among NIDRR qualitative—of this proposed regulatory describe the rigor of the research, and grantees; and action, we have determined that the the quality and relevance of the (6) Providing technical assistance on benefits of the proposed priority justify evidence being considered. The KT to other NIDRR KT Centers and the costs. standards used to assess and describe other NIDRR grantees, upon request of the rigor of the research and the quality those centers and grantees. Discussion of Costs and Benefits of the evidence must be consistent with Types of Priorities The benefits of the Disability and the definitions of strong and moderate Rehabilitation Research Projects and evidence in the notice of final When inviting applications for a Centers Programs have been well supplemental priorities and definitions competition using one or more established over the years in that similar for discretionary grant programs priorities, we designate the type of each projects have been completed published in the Federal Register on priority as absolute, competitive successfully. This proposed priority will December 15, 2010 (75 FR 78486); preference, or invitational through a generate new knowledge through (2) Providing NIDRR grantees with notice in the Federal Register. The research and development. Another technical assistance on conducting effect of each type of priority follows: benefit of this proposed priority is that systematic reviews and developing Absolute priority: Under an absolute the establishment of new DRRPs will research syntheses in the grantee’s area priority, we consider only applications improve the lives of individuals with of expertise, using standards, that meet the priority (34 CFR disabilities. The new DRRP will guidelines, and methods that the 75.105(c)(3)). generate, disseminate, and promote the KTDRR Center identifies pursuant to Competitive preference priority: use of new information that will paragraph (a)(1) of this priority. In so Under a competitive preference priority, improve the options for individuals doing, the KTDRR Center must choose we give competitive preference to an with disabilities to perform regular appropriate standards, guidelines, or application by (1) awarding additional activities in the community. methods, taking into account the types points, depending on the extent to Intergovernmental Review: This of research and stages of knowledge which the application meets the priority program is not subject to Executive development in the substantive area(s) (34 CFR 75.105(c)(2)(i)); or (2) selecting Order 12372 and the regulations in 34 being reviewed; and an application that meets the priority CFR part 79. (3) Providing NIDRR grantees with over an application of comparable merit technical assistance on how to use KT that does not meet the priority (34 CFR Accessible Format: Individuals with practices that are appropriate for their 75.105(c)(2)(ii)). disabilities can obtain this document in intended audiences, to promote the use Invitational priority: Under an an accessible format (e.g., braille, large of systematic reviews and research invitational priority, we are particularly print, audiotape, or computer diskette) syntheses in the grantee’s area of interested in applications that meet the by contacting the Grants and Contracts expertise. priority. However, we do not give an Services Team, U.S. Department of (b) Increased knowledge of KT application that meets the priority a Education, 400 Maryland Avenue, SW., principles and use of current KT preference over other applications (34 room 5075, PCP, Washington, DC practices among NIDRR grantees, CFR 75.105(c)(1)). 20202–2550. Telephone: (202) 245– 7363. If you use a TDD, call the FRS, toll including NIDRR KT Centers. The Final Priority KTDRR Center must contribute to this free, at 1–800–877–8339. outcome by— We will announce the final priority in Electronic Access to This Document: (1) Providing NIDRR grantees with a notice in the Federal Register. We will The official version of this document is technical assistance on how to determine the final priority after the document published in the Federal disseminate their research findings considering responses to this notice and Register. Free Internet access to the using formats and dissemination other information available to the official edition of the Federal Register channels that are appropriate for the Department. This notice does not and the Code of Federal Regulations is intended audiences; preclude us from proposing additional available via the Federal Digital System (2) Synthesizing and disseminating priorities, requirements, definitions, or at: http://www.gpo.gov/fdsys. At this information from the KT literature that selection criteria, subject to meeting site you can view this document, as well can be used to improve KT practices applicable rulemaking requirements. as all other documents of this used by NIDRR grantees, including Note: This notice does not solicit Department published in the Federal other NIDRR KT Centers; applications. In any year in which we choose Register, in text or Adobe Portable (3) Identifying and showcasing to use this priority, we invite applications Document Format (PDF). To use PDF promising KT practices employed by through a notice in the Federal Register. you must have Adobe Acrobat Reader, NIDRR KT Centers, other NIDRR Executive Order 12866: This notice which is available free at the site. grantees, and other entities to increase has been reviewed in accordance with You may also access documents of the the use of disability and rehabilitation Executive Order 12866. Under the terms Department published in the Federal research findings by individuals with of the order, we have assessed the Register by using the article search disabilities and their family members, potential costs and benefits of this feature at: http:// disability advocates, service providers, proposed regulatory action. www.federalregister.gov. Specifically, researchers, educators, administrators, The potential costs associated with through the advanced search feature at policy-makers, and others; this proposed regulatory action are this site, you can limit your search to (4) Facilitating the exchange of KT those resulting from statutory documents published by the information among other NIDRR requirements and those we have Department.

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Dated: June 2, 2011. FEDERAL COMMUNICATIONS scheduled to commence at 10:30 a.m. in Alexa Posny, COMMISSION Room TW–C305, at 445 12th Street, Assistant Secretary for Special Education and SW., Washington, DC. Rehabilitative Services. Sunshine Act Meeting; Open The meeting will include a Commission Meeting; Thursday, June [FR Doc. 2011–14024 Filed 6–6–11; 8:45 am] presentation by the working group on 9, 2011 the impact of technology on the BILLING CODE 4000–01–P information needs of communities. The DATES: June 2, 2011. Chief of the Public Safety and The Federal Communications Homeland Security Bureau and the Commission will hold an Open Meeting Assistant Administrator of FEMA will on the subjects listed below on also give a presentation regarding the Thursday, June 9, 2011, which is Emergency Alert System.

Item No. Bureau Subject

1 ...... Wireline Competition ...... Title: Electronic Tariff Filing System (ETFS) (WC Docket No. 10–141). Summary: The Commission will consider a Report and Order that enables all carriers that file tariffs with the Commission to do so electronically, thereby streamlining their filing processes while also making tariff information more readily accessible to other carriers and the public. 2 ...... International Bureau ...... Title: The Establishment of Policies and Service Rules for the Broadcasting-Satellite Service at the 17.3–17.7 GHz Frequency Band and at the 17.7–17.8 GHz Frequency Band Internationally, and at the 24.75–25.25 GHz Frequency Band for Fixed Satellite Services Providing Feeder Links to the Broadcasting-Satellite Service and for the Satellite Services Operating Bi-directionally in the 17.3– 17.8 GHz Frequency Band (IB Docket No. 06–123). Summary: The Commission will consider a Second Report and Order adopting technical rules to mitigate space path interference between the 17/24 GHz Broadcasting-Satellite Service (BSS) space stations and current and future Direct Broadcasting Service (DBS) space stations that operate in the same frequency band.

Reforms to certain of the Audrey Spivack or David Fiske, Office DEPARTMENT OF TRANSPORTATION Commission’s procedural rules took of Media Relations, (202) 418–0500; effect June 1, 2011. See http:// TTY 1–888–835–5322. Audio/Video Maritime Administration transition.fcc.gov/Daily_Releases/ coverage of the meeting will be Reports, Forms and Recordkeeping Daily_Business/2011/db0415/FCC–11– broadcast live with open captioning Requirements Agency Information 11A1.pdf. Pursuant to these rules, the over the Internet from the FCC Live Web Collection Activity Under OMB Review Sunshine period will now begin at page at http://www.fcc.gov/live. midnight on the day that the Open AGENCY: Maritime Administration, DOT. Meeting agenda (Sunshine notice) is For a fee this meeting can be viewed ACTION: Notice and request for released. Thus, the Sunshine period for live over George Mason University’s comments. the June 9, 2011 Meeting begins at Capitol Connection. The Capitol Connection also will carry the meeting midnight tonight. Note that under the SUMMARY: In compliance with the revised rules, ex parte presentations live via the Internet. To purchase these Paperwork Reduction Act of 1995, this made on the day the Sunshine notice is services call (703) 993–3100 or go to notice announces that the Information released relating to a covered http://www.capitolconnection.gmu.edu Collection abstracted below will be proceeding must be filed by the next Copies of materials adopted at this submitted to the Office of Management business day. For further information on meeting can be purchased from the and Budget (OMB) for review and revised rules relating to the Sunshine FCC’s duplicating contractor, Best Copy approval. The nature of the information period and ex parte presentations, and Printing, Inc. (202) 488–5300; Fax collection is described as well as its consult our Web site. See http:// (202) 488–5563; TTY (202) 488–5562. expected burden. The Federal Register www.fcc.gov/exparte. Notice with a 60-day comment period The meeting site is fully accessible to These copies are available in paper format and alternative media, including soliciting comments on the following people using wheelchairs or other collection of information was published mobility aids. Sign language large print/type; digital disk; and audio and video tape. Best Copy and Printing, on March 4, 2011. No comments were interpreters, open captioning, and received. assistive listening devices will be Inc. may be reached by e-mail at provided on site. Other reasonable [email protected]. DATES: Comments must be submitted on or before July 7, 2011. accommodations for people with Federal Communications Commission. disabilities are available upon request. FOR FURTHER INFORMATION CONTACT: Rita Marlene H. Dortch, In your request, include a description of Jackson, Maritime Administration, 1200 the accommodation you will need and Secretary, Office of the Secretary, Office of New Jersey Avenue, SE., Washington, a way we can contact you if we need Managing Director. DC 20590. Telephone: 202–366–0284; or more information. Last minute requests [FR Doc. 2011–14074 Filed 6–3–11; 4:15 pm] E-mail: [email protected]. Copies of will be accepted, but may be impossible BILLING CODE 6712–01–P this collection also can be obtained from to fill. Send an e-mail to: [email protected] that office. or call the Consumer & Governmental SUPPLEMENTARY INFORMATION: Affairs Bureau at 202–418–0530 (voice), 202–418–0432 (tty). Maritime Administration (MARAD) Additional information concerning Title of Collection: Request for Waiver this meeting may be obtained from of Service Obligation, Request for

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Deferment of Service Obligation and DEPARTMENT OF TRANSPORTATION top of this document. Written comments Application for Review. may be submitted to the Docket Clerk, Type of Request: Extension of Maritime Administration U.S. DOT Dockets, Room W12–140, currently approved information [Docket No. MARAD 2011 0072] 1200 New Jersey Avenue, SE., collection. Washington, DC 20590. Comments also OMB Control Number: 2133–0510. Information Collection Available for may be submitted by electronic means Expiration Date of Approval: Three Public Comments and via the Internet at http:// years from date of approval by the Recommendations www.regulations.gov/search/index.jsp. Office of Management and Budget. Specifically address whether this Affected Public: U.S. Merchant ACTION: Notice and request for information collection is necessary for Marine Academy students and comments. proper performance of the functions of graduates, and subsidized students and the agency and will have practical SUMMARY: In accordance with the graduates. utility, accuracy of the burden Form Numbers: MA–935, MA–936 Paperwork Reduction Act of 1995, this estimates, ways to minimize this and MA–937. notice announces the Maritime burden, and ways to enhance the Abstract: This information collection Administration’s (MARAD’s) intention quality, utility, and clarity of the is essential for determining if a student to request extension of approval for information to be collected. All or graduate of the United States three years of a currently approved comments received will be available for Merchant Marine Academy (USMMA) information collection. examination at the above address or subsidized student or graduate of a DATES: Comments should be submitted State maritime academy has a waiveable between 10 a.m. and 5 p.m. EDT (or on or before August 8, 2011. EST), Monday through Friday, except situation preventing them from fulfilling FOR FURTHER INFORMATION CONTACT: the requirements of a service obligation Federal Holidays. An electronic version Joann Spittle, Maritime Administration, of this document is available on the contract signed at the time of their 1200 New Jersey Avenue, SE., enrollment in a Federal maritime World Wide Web at http:// Washington, DC 20590. Telephone: training program. It also permits the www.regulations.gov/search/index.jsp. 202–366–5979; or e-mail Maritime Administration (MARAD) to Privacy Act: Anyone is able to search [email protected]. Copies of this determine if a graduate, who wishes to the electronic form of all comments collection also can be obtained from that defer the service obligation to attend received into any of our dockets by the office. graduate school, is eligible to receive a name of the individual submitting the SUPPLEMENTARY INFORMATION: deferment. Their service obligation is Maritime comment (or signing the comment, if required by law. Administration (MARAD) submitted on behalf of an association, Expiration Date of Approval: Three Title of Collection: Application for business, labor union, etc.). You may years from date of approval by the Waiver of the Coastwise Trade Laws for review DOT’s complete Privacy Act Office of Management and Budget. Small Passenger Vessels. Statement in the Federal Register Annual Estimated Burden Hours: 3.5 Type of Request: Extension of published on April 11, 2000 (Volume hours. currently approved information 65, Number 70; Pages 19477–78) or you collection. ADDRESSES: Send comments to the may visit http://www.regulations.gov/ OMB Control Number: 2133–0529. search/index.jsp. Office of Information and Regulatory Form Numbers: MA–1023, Request for Affairs, Office of Management and Administrative Waiver of the Jones Act Authority: 49 CFR 1.66. Budget, 725 17th Street, NW., 46 U.S.C. 12121, 46 CFR 388. Dated: May 31, 2011. Washington, DC 20503, Attention: Expiration Date of Approval: Three By Order of the Maritime Administrator. MARAD Desk Officer. years from date of approval by the Christine Gurland, Comments are invited on: Whether Office of Management and Budget. Secretary, Maritime Administration. the proposed collection of information Summary of Collection of [FR Doc. 2011–14005 Filed 6–6–11; 8:45 am] is necessary for the proper performance Information: Owners of small passenger BILLING CODE 4910–81–P of the functions of the agency, including vessels desiring waiver of the coastwise whether the information will have trade laws affecting small passenger practical utility; the accuracy of the vessels will be required to file a written FEDERAL RESERVE SYSTEM agency’s estimate of the burden of the application and justification for waiver proposed information collection; ways to the Maritime Administration Change in Bank Control Notices; to enhance the quality, utility and (MARAD). The agency will review the Acquisitions of Shares of a Bank or clarity of the information to be application and make a determination Bank Holding Company collected; and ways to minimize the whether to grant the requested waiver. burden of the collection of information Need and Use of the Information: The notificants listed below have on respondents, including the use of MARAD requires the information in applied under the Change in Bank automated collection techniques or order to process applications for waivers Control Act (12 U.S.C. 1817(j)) and other forms of information technology. of the coastwise trade laws and to § 225.41 of the Board’s Regulation Y (12 A comment to OMB is best assured of determine the effect of waivers of the CFR 225.41) to acquire shares of a bank having its full effect, if OMB receives it coastwise trade laws on United States or bank holding company. The factors within 30 days of publication. vessel builders and United States-built that are considered in acting on the Authority: 49 CFR 1.66. vessel coastwise trade businesses. notices are set forth in paragraph 7 of the Act (12 U.S.C. 1817(j)(7)). Dated: May 31, 2011. Description of Respondents: Small passenger vessel owners who desire to The notices are available for By Order of the Maritime Administrator. operate in the coastwise trade. immediate inspection at the Federal Christine Gurland, Annual Responses: 75 responses. Reserve Bank indicated. The notices Secretary, Maritime Administration. Annual Burden: 75 hours. also will be available for inspection at [FR Doc. 2011–14002 Filed 6–6–11; 8:45 am] Comments: Comments should refer to the offices of the Board of Governors. BILLING CODE 4910–81–P the docket number that appears at the Interested persons may express their

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views in writing to the Reserve Bank Administration, 5630 Fishers Lane, rm. nutrients required in Section 412(i) of indicated for that notice or to the offices 1061, Rockville, MD 20852. All the FD&C Act or is otherwise of the Board of Governors. Comments comments should be identified with the adulterated or misbranded, the must be received not later than June 22, docket number found in brackets in the manufacturer must promptly notify the 2011. heading of this document. Secretary of Health and Human Services A. Federal Reserve Bank of St. Louis FOR FURTHER INFORMATION CONTACT: (the Secretary). If the Secretary (Glenda Wilson, Community Affairs Denver Presley, Jr., Office of Information determines that the infant formula Officer) P.O. Box 442, St. Louis, Management, Food and Drug presents a risk to human health, the Missouri 63166–2034: Administration, 1350 Piccard Dr., PI50– manufacturer must immediately take all 1. Thomas R. Garrison, individually, 400B, Rockville, MD 20850, 301–796– actions necessary to recall shipments of and in concert with, and as trustee of 3793. such infant formula from all wholesale the Thomas R. Garrison Trust U/W and retail establishments, consistent SUPPLEMENTARY INFORMATION: Sheridan Garrison, the Thomas R. Under the with recall regulations and guidelines Garrison 2005 Retained Annuity Trust, PRA (44 U.S.C. 3501–3520), Federal issued by the Secretary. Section and the Estate of F. S. Garrison, all of Agencies must obtain approval from the 412(f)(2) of the FD&C Act states that the Fayetteville, Arkansas; to gain control of Office of Management and Budget Secretary shall by regulation prescribe Pinnacle Bancshares, Inc., and thereby (OMB) for each collection of the scope and extent of recalls of infant indirectly gain control of Pinnacle Bank, information they conduct or sponsor. formula necessary and appropriate for ‘‘ ’’ both in Rogers, Arkansas. Collection of information is defined in the degree of risk to human health 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) Board of Governors of the Federal Reserve presented by the formula subject to and includes Agency requests or recall. FDA’s infant formula recall System, June 2, 2011. requirements that members of the public Robert deV. Frierson, regulations in part 107 (21 CFR part submit reports, keep records, or provide 107) implement these statutory Deputy Secretary of the Board. information to a third party. Section provisions. [FR Doc. 2011–13948 Filed 6–6–11; 8:45 am] 3506(c)(2)(A) of the PRA (44 U.S.C. Section 107.230 requires each BILLING CODE 6210–01–P 3506(c)(2)(A)) requires Federal Agencies recalling firm to conduct an infant to provide a 60-day notice in the formula recall with the following Federal Register concerning each elements: (1) Evaluate the hazard to DEPARTMENT OF HEALTH AND proposed collection of information, human health, (2) devise a written recall HUMAN SERVICES including each proposed extension of an strategy, (3) promptly notify each existing collection of information, affected direct account (customer) about Food and Drug Administration before submitting the collection to OMB the recall, and (4) furnish the [Docket No. FDA–2011–N–0425] for approval. To comply with this appropriate FDA district office with requirement, FDA is publishing notice copies of these documents. If the Agency Information Collection of the proposed collection of recalled formula presents a risk to Activities; Proposed Collection; information set forth in this document. human health, the recalling firm must Comment Request; Infant Formula With respect to the following also request that each establishment that Recall Regulations collection of information, FDA invites sells the recalled formula post (at point comments on these topics: (1) Whether of purchase) a notice of the recall and AGENCY: Food and Drug Administration, the proposed collection of information provide FDA with a copy of the notice. HHS. is necessary for the proper performance Section 107.240 requires the recalling ACTION: Notice. of FDA’s functions, including whether firm to conduct an infant formula recall the information will have practical SUMMARY: with the following elements: (1) Notify The Food and Drug utility; (2) the accuracy of FDA’s Administration (FDA) is announcing an the appropriate FDA district office of estimate of the burden of the proposed the recall by telephone within 24 hours, opportunity for public comment on the collection of information, including the proposed collection of certain (2) submit a written report to that office validity of the methodology and within 14 days, and (3) submit a written information by the Agency. Under the assumptions used; (3) ways to enhance status report at least every 14 days until Paperwork Reduction Act of 1995 (the the quality, utility, and clarity of the the recall is terminated. Before PRA), Federal Agencies are required to information to be collected; and (4) terminating a recall, the recalling firm is publish notice in the Federal Register ways to minimize the burden of the required to submit a recommendation concerning each proposed collection of collection of information on for termination of the recall to the information, including each proposed respondents, including through the use appropriate FDA district office and wait extension of an existing collection of of automated collection techniques, for written FDA concurrence information, and to allow 60 days for when appropriate, and other forms of (§ 107.250). Where the recall strategy or public comment in response to the information technology. implementation is determined to be notice. This notice solicits comments on deficient, FDA may require the firm to Infant Formula Recall Regulations—21 requirements related to the recall of change the extent of the recall, carry out CFR 107.230, 107.240, 107.250, 107.260, infant formula. additional effectiveness checks, and and 107.280 (OMB Control Number DATES: Submit either electronic or issue additional notifications 0910–0188)—Extension written comments on the collection of (§ 107.260). In addition, to facilitate information by August 8, 2011. Section 412(e) of the Federal Food, location of the product being recalled, ADDRESSES: Submit electronic Drug, and Cosmetic Act (the FD&C Act) the recalling firm is required to comments on the collection of (21 U.S.C. 350a(e)) provides that if the maintain distribution records for at least information to http:// manufacturer of an infant formula has 1 year after the expiration of the shelf www.regulations.gov. Submit written knowledge that reasonably supports the life of the infant formula (§ 107.280). comments on the collection of conclusion that an infant formula The reporting and recordkeeping information to the Division of Dockets processed by that manufacturer has left requirements described previously are Management (HFA–305), Food and Drug its control and may not provide the designed to enable FDA to monitor the

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effectiveness of infant formula recalls in or otherwise adulterated or misbranded. that such products are quickly and order to protect babies from infant FDA uses the information collected efficiently removed from the market. formula that may be unsafe because of under these regulations to help ensure FDA estimates the burden of this contamination or nutritional inadequacy collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

No. of Average 2 No. of responses Total annual burden per 21 CFR Section respondents per responses response Total hours respondent (in hours)

107.230 ...... 2 1 2 4,500 9,000 107.240 ...... 2 1 2 1,482 2,964 107.250 ...... 2 1 2 120 240 107.260 ...... 1 1 1 650 650

Total ...... 12,854 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 No burden has been estimated for the recordkeeping requirement in § 107.280 because these records are maintained as a usual and customary part of normal business activities. Manufacturers keep infant formula distribution records for the prescribed period as a matter of routine business practice.

The reporting burden estimate is Under 5 CFR 1320.3(b)(2), the time, would constitute a clearly unwarranted based on Agency records, which show effort, and financial resources necessary invasion of personal privacy. that there are five manufacturers of to comply with a collection of Name of Committee: National Institute on infant formula and that there have been, information are excluded from the Aging Special Emphasis Panel, Aging and on average, two infant formula recalls burden estimate if the reporting, Economics. per year for the past 3 years. Based on recordkeeping, or disclosure activities Date: June 24, 2011. this information, we estimate that there needed to comply are usual and Time: 10 a.m. to 2 p.m. Agenda: To review and evaluate grant will be, on average, approximately two customary because they would occur in the normal course of activities. No applications. infant formula recalls per year over the Place: National Institute on Aging, next 3 years. burden has been estimated for the Gateway Building, 7201 Wisconsin Avenue, recordkeeping requirement in § 107.280 Thus, FDA estimates that two Suite 2C212, Bethesda, MD 20892 because these records are maintained as (Telephone Conference Call). respondents will conduct recalls a usual and customary part of normal Contact Person: Rebecca J. Ferrell, PhD, annually pursuant to §§ 107.230, business activities. Manufacturers keep Scientific Review Officer, National Institute 107.240, and 107.250. The estimated infant formula distribution records for on Aging, Gateway Building Rm. 2C212, 7201 number of respondents for § 107.260 is the prescribed period as a matter of Wisconsin Avenue, Bethesda, MD 20892, minimal because this section is seldom routine business practice. 301–402–7703, [email protected]. Name of Committee: National Institute on used by FDA; therefore, the Agency Dated: June 1, 2011. estimates that there will be one or fewer Aging Special Emphasis Panel, Non- Leslie Kux, respondents annually for § 107.260. The Communicable Diseases. Acting Assistant Commissioner for Policy. Date: June 29, 2011. estimated number of hours per response [FR Doc. 2011–13941 Filed 6–6–11; 8:45 am] Time: 12 p.m. to 5:30 p.m. is an average based on the Agency’s Agenda: To review and evaluate grant BILLING CODE 4160–01–P experience and information from firms applications. that have conducted recalls. We Place: National Institute on Aging, estimate that two respondents will Gateway Building, 7201 Wisconsin Avenue, DEPARTMENT OF HEALTH AND Suite 2C218, Bethesda, MD 20892 conduct infant formula recalls under HUMAN SERVICES § 107.230 and that it will take a (Telephone Conference Call). Contact Person: Alfonso R. Latoni, PhD, respondent 4,500 hours to comply with National Institutes of Health Deputy Chief and Scientific Review Officer, the requirements of that section, for a Scientific Review Branch, National Institute total of 9,000 hours. We estimate that National Institute on Aging; Notice of on Aging, 7201 Wisconsin Avenue, Suite two respondents will conduct infant Closed Meetings 2C218, Bethesda, MD 20892, 301–402–7702, [email protected]. formula recalls under § 107.240 and that Pursuant to section 10(d) of the it will take a respondent 1,482 hours to Federal Advisory Committee Act, as Name of Committee: National Institute on Aging Special Emphasis Panel, Statistical comply with the requirements of that amended (5 U.S.C. App.), notice is section, for a total of 2,964 hours. We Methods in Aging Research. hereby given of the following meetings. Date: July 18, 2011. estimate that two respondents will The meetings will be closed to the Time: 10 a.m. to 1:30 p.m. submit recommendations for public in accordance with the Agenda: To review and evaluate grant termination of infant formula recalls provisions set forth in sections applications. under § 107.250 and that it will take a 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Place: National Institute on Aging, respondent 120 hours to comply with as amended. The grant applications and Gateway Building, 7201 Wisconsin Avenue, the requirements of that section, for a the discussions could disclose Suite 2C212, Bethesda, MD 20892 total of 240 hours. Finally, we estimate confidential trade secrets or commercial (Telephone Conference Call). Contact Person: Rebecca J. Ferrell, PhD, that one respondent will need to carry property such as patentable material, Scientific Review Officer, National Institute out additional effectiveness checks and and personal information concerning on Aging, Gateway Building Rm. 2C212, 7201 issue additional notifications under individuals associated with the grant Wisconsin Avenue, Bethesda, MD 20892, § 107.260, for a total of 650 hours. applications, the disclosure of which 301–402–7703, [email protected].

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Name of Committee: National Institute on Agenda: To review and evaluate grant and Clinicians; 93.272, Alcohol National Aging Special Emphasis Panel, Cartilage applications. Research Service Awards for Research Aging and Osteoarthritis. Place: Bethesda Marriott Suites, 6711 Training; 93.273, Alcohol Research Programs; Date: July 28, 2011. Democracy Boulevard, Bethesda, MD 20817. 93.891, Alcohol Research Center Grants; Time: 12:30 p.m. to 4:30 p.m. Contact Person: Tamizchelvi Thyagarajan, 93.701, ARRA Related Biomedical Research Agenda: To review and evaluate grant PhD, Scientific Review Officer, National and Research Support Awards., National applications. Institute of Nursing Reserach, National Place: National Institute on Aging, Institutes of Health, Bethesda, MD Institutes of Health, HHS) Gateway Building, 7201 Wisconsin Avenue, 20892,(301) 594–0343, Dated: June 1, 2011. Suite 2C212, Bethesda, MD 20892 (Catalogue of Federal Domestic Assistance Jennifer S. Spaeth, (Telephone Conference Call). Program Nos. 93.361, Nursing Research, Contact Person: Rebecca J. Ferrell, PhD, National Institutes of Health, HHS) Director, Office of Federal Advisory Scientific Review Officer, National Institute Committee Policy. Dated: June 1, 2011. on Aging, Gateway Building Rm. 2C212, 7201 [FR Doc. 2011–14013 Filed 6–6–11; 8:45 am] Wisconsin Avenue, Bethesda, MD 20892, Jennifer S. Spaeth, BILLING CODE 4140–01–P 301–402–7703, [email protected]. Director, Office of Federal Advisory (Catalogue of Federal Domestic Assistance Committee Policy. Program Nos. 93.866, Aging Research, [FR Doc. 2011–14015 Filed 6–6–11; 8:45 am] DEPARTMENT OF HEALTH AND National Institutes of Health, HHS) BILLING CODE 4140–01–P HUMAN SERVICES Dated: May 31, 2011. Jennifer S. Spaeth, National Institutes of Health Director, Office of Federal Advisory DEPARTMENT OF HEALTH AND Committee Policy. HUMAN SERVICES National Institute of Diabetes and Digestive and Kidney Diseases; Notice [FR Doc. 2011–14011 Filed 6–6–11; 8:45 am] National Institutes of Health BILLING CODE 4140–01–P of Closed Meeting National Institute on Alcohol Abuse and Alcoholism; Notice of Closed Pursuant to section 10(d) of the DEPARTMENT OF HEALTH AND Meeting Federal Advisory Committee Act, as HUMAN SERVICES amended (5 U.S.C. App.), notice is Pursuant to section 10(d) of the hereby given of the following meeting. National Institutes of Health Federal Advisory Committee Act, as The meeting will be closed to the amended (5 U.S.C. App.), notice is National Institute of Nursing Research; hereby given of the following meeting. public in accordance with the Notice of Closed Meetings The meeting will be closed to the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Pursuant to section 10(d) of the public in accordance with the provisions set forth in sections as amended. The grant applications and Federal Advisory Committee Act, as the discussions could disclose amended (5 U.S.C. App.), notice is 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., confidential trade secrets or commercial hereby given of the following meetings. as amended. The grant applications and The meetings will be closed to the the discussions could disclose property such as patentable material, public in accordance with the confidential trade secrets or commercial and personal information concerning provisions set forth in sections property such as patentable material, individuals associated with the grant 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., and personal information concerning applications, the disclosure of which as amended. The grant applications and individuals associated with the grant would constitute a clearly unwarranted the discussions could disclose applications, the disclosure of which invasion of personal privacy. would constitute a clearly unwarranted confidential trade secrets or commercial Name of Committee: National Institute of invasion of personal privacy. property such as patentable material, Diabetes and Digestive and Kidney Diseases and personal information concerning Name of Committee: National Institute on Special Emphasis Panel, Ancillary Study on individuals associated with the grant Alcohol Abuse and Alcoholism Special Genetics of Obesity. applications, the disclosure of which Emphasis Panel; NIAAA Member Conflict Date: July 20, 2011. Applications—Epidemiology and Behavioral would constitute a clearly unwarranted Time: 2 p.m. to 4 p.m. invasion of personal privacy. Sciences. Date: June 14, 2011. Agenda: To review and evaluate grant Name of Committee: National Institute of Time: 11 a.m. to 1 p.m. applications. Nursing Research Special Emphasis Panel, Agenda: To review and evaluate grant Place: National Institutes of Health, Two HIV Risk-Avoidance Decision Making. applications. Democracy Plaza, 6707 Democracy Date: July 1, 2011. Place: National Institutes of Health, 5635 Boulevard, Bethesda, MD 20892 (Telephone Time: 8 a.m. to 5 p.m. Fishers Lane, Bethesda, MD 20892 Conference Call). Agenda: To review and evaluate grant (Telephone Conference Call). Contact Person: D.G. Patel, PhD, Scientific applications. Contact Person: Ranga Srinivas, Ph.D., Review Officer, Review Branch, DEA, Place: Bethesda Marriott Suites, 6711 Chief, Extramural Project Review Branch NIDDK, National Institutes of Health, Room Democracy Boulevard, Bethesda, MD 20817. EPRB, NIAAA, National Institutes of Health, 756, 6707 Democracy Boulevard, Bethesda, Contact Person: Mario Rinaudo, MD, 5365 Fishers Lane, Room 2085, Rockville, MD 20892–5452, (301) 594–7682, Scientific Review Officer, Office of Review, MD 20852, (301) 451–2067, National Inst of Nursing Research, National [email protected]. [email protected]. Institutes of Health, 6701 Democracy Blvd This notice is being published less than 15 (Catalogue of Federal Domestic Assistance (DEM 1), Suite 710, Bethesda, MD 20892, days prior to the meeting due to the timing Program Nos. 93.847, Diabetes, 301–594–5973, [email protected]. limitations imposed by the review and Endocrinology and Metabolic Research; Name of Committee: National Institute of funding cycle. 93.848, Digestive Diseases and Nutrition Nursing Research Special Emphasis Panel, (Catalogue of Federal Domestic Assistance Research; 93.849, Kidney Diseases, Urology Heart Failure Palliative Care. Program Nos. 93.271, Alcohol Research and Hematology Research, National Institutes Date: July 8, 2011. Career Development Awards for Scientists of Health, HHS) Time: 8 a.m. to 5 p.m.

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Dated: June 1, 2011. Time: 9 a.m. to 5 p.m. (Catalogue of Federal Domestic Assistance Jennifer S. Spaeth, Agenda: To review and evaluate grant Program Nos. 93.864, Population Research; Director, Office of Federal Advisory applications. 93.865, Research for Mothers and Children; Committee Policy. Place: Hotel Lombardy, 2019 Pennsylvania 93.929, Center for Medical Rehabilitation Avenue, NW., Washington, DC 20006. Research; 93.209, Contraception and [FR Doc. 2011–13987 Filed 6–6–11; 8:45 am] Contact Person: Marita R. Hopmann, PhD, Infertility Loan Repayment Program, National BILLING CODE 4140–01–P Scientific Review Officer, Division of Institutes of Health, HHS) Scientific Review, Eunice Kennedy Shriver National Institute of Child Health and Dated: June 1, 2011. DEPARTMENT OF HEALTH AND Human Development, NIH, 6100 Executive Jennifer S. Spaeth, HUMAN SERVICES Blvd., Room 5B01, Bethesda, MD 20892, 301–435–6911, [email protected]. Director, Office of Federal Advisory Committee Policy. National Institutes of Health (Catalogue of Federal Domestic Assistance Program Nos. 93.864, Population Research; [FR Doc. 2011–13991 Filed 6–6–11; 8:45 am] National Institute of General Medical 93.865, Research for Mothers and Children; BILLING CODE 4140–01–P Sciences; Amended Notice of Meeting 93.929, Center for Medical Rehabilitation Research; 93.209, Contraception and Notice is hereby given of a change in Infertility Loan Repayment Program, National DEPARTMENT OF HEALTH AND the meeting of the Biomedical Research Institutes of Health, HHS) HUMAN SERVICES and Research Training Review Dated: June 1, 2011. Subcommittee A, June 28, 2011, 8 a.m. National Institutes of Health to June 28, 2011, 5 p.m., Hilton Jennifer S. Spaeth, Director, Office of Federal Advisory Washington, DC/Silver Spring, 8727 Eunice Kennedy Shriver National Colesville Road, Silver Spring, MD Committee Policy. [FR Doc. 2011–13992 Filed 6–6–11; 8:45 am] Institute of Child Health and Human 20910 which was published in the Development; Notice of Closed BILLING CODE 4140–01–P Federal Register on May 25, 2011, 76 Meeting FR 30370. The meeting date has been changed to Pursuant to section 10(d) of the June 16, 2011, 8 a.m. to June 16, 2011, DEPARTMENT OF HEALTH AND Federal Advisory Committee Act, as 5 p.m. HUMAN SERVICES The meeting is closed to the public. amended (5 U.S.C. App.), notice is National Institutes of Health hereby given of the following meeting. Dated: May 31, 2011. The meeting will be closed to the Jennifer S. Spaeth, Eunice Kennedy Shriver National public in accordance with the Director, Office of Federal Advisory Institute of Child Health & Human Committee Policy. Development; Notice of Closed provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., [FR Doc. 2011–13989 Filed 6–6–11; 8:45 am] Meeting as amended. The grant applications and BILLING CODE 4140–01–P Pursuant to section 10(d) of the the discussions could disclose Federal Advisory Committee Act, as confidential trade secrets or commercial DEPARTMENT OF HEALTH AND amended (5 U.S.C. App.), notice is property such as patentable material, HUMAN SERVICES hereby given of the following meeting. and personal information concerning individuals associated with the grant The meeting will be closed to the National Institutes of Health public in accordance with the applications, the disclosure of which provisions set forth in sections would constitute a clearly unwarranted Eunice Kennedy Shriver National invasion of personal privacy. Institute of Child Health and Human 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Development; Notice of Closed as amended. The grant applications and Name of Committee: National Institute of Meeting the discussions could disclose Child Health and Human Development Initial confidential trade secrets or commercial Review Group, Obstetrics and Maternal-Fetal Pursuant to section 10(d) of the property such as patentable material, Biology Subcommittee. Federal Advisory Committee Act, as and personal information concerning Date: June 28, 2011. amended (5 U.S.C. App.), notice is individuals associated with the grant Time: 8 a.m. to 5 p.m. hereby given of the following meeting. applications, the disclosure of which Agenda: To review and evaluate grant The meeting will be closed to the would constitute a clearly unwarranted applications. public in accordance with the invasion of personal privacy. Place: Doubletree Hotel Bethesda provisions set forth in sections (Formerly Holiday Inn Select), 8120 Name of Committee: National Institute of Wisconsin Avenue, Bethesda, MD 20814. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Child Health and Human Development as amended. The grant applications and Special Emphasis Panel, ZHD1 DSR–W 51. Contact Person: Peter Zelazowski, PhD, the discussions could disclose Date: June 29, 2011. Scientific Review Officer, Division of confidential trade secrets or commercial Time: 2:30 p.m. to 5 p.m. Scientific Review, Eunice Kennedy Shriver property such as patentable material, Agenda: To review and evaluate grant National Institute of Child Health and and personal information concerning applications. Human Development, NIH, 6100 Executive individuals associated with the grant Place: National Institutes of Health, 6100 Blvd., Room 5B01, Bethesda, MD 20892, applications, the disclosure of which Executive Boulevard, Rockville, MD 20852 301–435–6902, [email protected]. (Telephone Conference Call). would constitute a clearly unwarranted (Catalogue of Federal Domestic Assistance Contact Person: Carla T. Walls, PhD, Program Nos. 93.864, Population Research; invasion of personal privacy. Scientific Review Officer, Division of Name of Committee: National Institute of Scientific Review, Eunice Kennedy Shriver 93.865, Research for Mothers and Children; Child Health and Human Development Initial National Institute of Child Health and 93.929, Center for Medical Rehabilitation Review Group; Biobehavioral and Behavioral Human Development, NIH, 6100 Executive Research; 93.209, Contraception and Sciences Subcommittee. Blvd., Room 5B01, Bethesda, MD 20892, Infertility Loan Repayment Program, National Date: June 28–29, 2011. 301–435–6898, [email protected]. Institutes of Health, HHS)

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Dated: June 1, 2011. DEPARTMENT OF HEALTH AND DEPARTMENT OF HOMELAND Jennifer S. Spaeth, HUMAN SERVICES SECURITY Director, Office of Federal Advisory [Docket No. DHS–2011–0043] Committee Policy. National Institutes of Health [FR Doc. 2011–13990 Filed 6–6–11; 8:45 am] National Institute of Allergy and Telecommunications Service Priority BILLING CODE 4140–01–P Infectious Diseases; Notice of Closed (TSP) System Meetings AGENCY: National Protection and Programs Directorate, DHS. DEPARTMENT OF HEALTH AND Pursuant to section 10(d) of the HUMAN SERVICES ACTION: 60-Day Notice and request for Federal Advisory Committee Act, as comments; Extension, without change, amended (5 U.S.C. App.), notice is National Institutes of Health of a currently approved collection: hereby given of the following meetings. 1670–0005. National Institute of General Medical The meetings will be closed to the SUMMARY: The Department of Homeland Sciences; Notice of Closed Meeting public in accordance with the provisions set forth in sections Security (DHS), National Protection and Pursuant to section 10(d) of the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Programs Directorate (NPPD), Office of Cybersecurity and Communications Federal Advisory Committee Act, as as amended. The grant applications and (CS&C), National Communications amended (5 U.S.C. App.), notice is the discussions could disclose System (NCS), will submit the following hereby given of the following meeting. confidential trade secrets or commercial property such as patentable material, Information Collection Request (ICR) to The meeting will be closed to the and personal information concerning the Office of Management and Budget public in accordance with the individuals associated with the grant (OMB) for review and clearance in provisions set forth in sections applications, the disclosure of which accordance with the Paperwork 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., would constitute a clearly unwarranted Reduction Act of 1995 (Pub. L. 104–13, as amended. The grant applications and invasion of personal privacy. 44 U.S.C. chapter 35). the discussions could disclose DATES: Comments are encouraged and Name of Committee: National Institute of confidential trade secrets or commercial Allergy and Infectious Diseases Special will be accepted until August 8, 2011. property such as patentable material, Emphasis Panel; NIAID Peer Review Meeting. This process is conducted in accordance and personal information concerning Date: June 28–29, 2011. with 5 CFR 1320.1. individuals associated with the grant Time: 8 a.m. to 6 p.m. ADDRESSES: Written comments and applications, the disclosure of which Agenda: To review and evaluate contract questions about this Information would constitute a clearly unwarranted proposals. Collection Request should be forwarded invasion of personal privacy. Place: Crowne Plaza Hotel—Silver Spring, to DHS/NPPD/CS&C/NCS, 245 Murray 8777 Georgia Avenue, Silver Spring, MD Lane, Mail Stop 0615, Arlington, VA Name of Committee: National Institute of 20910. 20598–0615. E-mailed requests should General Medical Sciences Special Emphasis Contact Person: Brenda Lange-Gustafson, Panel, Review of Microbial Communities PhD, Scientific Review Officer, NIAID/NIH/ go to Deborah Bea, Grant Applications. DHHS, Scientific Review Program, Room [email protected]. Comments must Date: June 27–28, 2011. 3122, 6700–B Rockledge Drive, MSC–7616, be identified by DHS–2011–0043 and Time: 8 a.m. to 5 p.m. Bethesda, MD 20892–7616, 301–451–3684, may also be submitted by one of the [email protected]. following methods: Agenda: To review and evaluate grant • applications. Name of Committee: National Institute of Federal eRulemaking Portal: http:// Allergy and Infectious Diseases Special www.regulations.gov. Place: Bethesda Marriott Pooks Hill, 5151 • Pooks Hill Road, Bethesda, MD 20814. Emphasis Panel; Clinical Trial E-mail: [email protected]. Contact Person: Arthur L. Zachary, PhD, Implementation Grants. Include the docket number in the Scientific Review Officer, Office of Scientific Date: June 29, 2011. subject line of the message. Time: 11 a.m. to 1 p.m. Review, National Institute of General Medical Instructions: All submissions received Agenda: To review and evaluate grant Sciences, National Institutes of Health, 45 must include the words ‘‘Department of applications. Homeland Security’’ and the docket Center Drive, Room 3AN–12, Bethesda, MD Place: National Institutes of Health, 6700B 20892, 301–594–2886, number for this action. Comments Rockledge Drive, Bethesda, MD 20817 received will be posted without [email protected]. (Telephone Conference Call). alteration at http://www.regulations.gov, (Catalogue of Federal Domestic Assistance Contact Person: Quirijn Vos, PhD, Program Nos. 93.375, Minority Biomedical Scientific Review Officer, Scientific Review including any personal information Research Support; 93.821, Cell Biology and Program, Division of Extramural Activities, provided. Biophysics Research; 93.859, Pharmacology, DHHS/NIH/NIAID, 6700B Rockledge Drive, SUPPLEMENTARY INFORMATION: The Physiology, and Biological Chemistry MSC 7616, Bethesda, MD 20892, 301–451– purpose of the TSP System is to provide 2666, [email protected]. Research; 93.862, Genetics and a legal basis for telecommunications Developmental Biology Research; 93.88, (Catalogue of Federal Domestic Assistance vendors to provide priority provisioning Minority Access to Research Careers; 93.96, Program Nos. 93.855, Allergy, Immunology, and restoration of telecommunications and Transplantation Research; 93.856, Special Minority Initiatives, National Microbiology and Infectious Diseases services supporting national security Institutes of Health, HHS) Research, National Institutes of Health, HHS) and emergency preparedness functions. Dated: May 31, 2011. The information gathered via the TSP Dated: June 1, 2011. System forms is the minimum necessary Jennifer Spaeth, Jennifer S. Spaeth, for the NCS to effectively manage the Director, Office of Federal Advisory Director, Office of Federal Advisory TSP System. OMB is particularly Committee Policy. Committee Policy. interested in comments that: [FR Doc. 2011–13988 Filed 6–6–11; 8:45 am] [FR Doc. 2011–13986 Filed 6–6–11; 8:45 am] 1. Evaluate whether the proposed BILLING CODE 4140–01–P BILLING CODE 4140–01–P collection of information is necessary

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for the proper performance of the DEPARTMENT OF HOMELAND the link in the footer of http:// functions of the agency, including SECURITY www.regulations.gov. whether the information will have FOR FURTHER INFORMATION CONTACT: Federal Emergency Management practical utility; Kevin Montgomery, Financial Agency 2. Evaluate the accuracy of the Management Analyst, Federal Insurance agency’s estimate of the burden of the [Docket ID: FEMA–2011–0014; OMB No. & Mitigation Administration, (202) 212– proposed collection of information, 1660–0020] 2324 for additional information. You including the validity of the may contact the Records Management methodology and assumptions used; Agency Information Collection Division for copies of the proposed Activities: Proposed Collection; collection of information at facsimile 3. Enhance the quality, utility, and Comment Request, Write Your Own number (202) 646–3347 or e-mail clarity of the information to be (WYO) Program address: FEMA-Information-Collections- collected; and [email protected]. AGENCY: 4. Minimize the burden of the Federal Emergency Management Agency, DHS. SUPPLEMENTARY INFORMATION: Under the collection of information on those who Write Your Own (WYO) Program, FEMA ACTION: are to respond, including through the Notice. regulation 44 CFR 62.23 authorizes the use of appropriate automated, SUMMARY: The Federal Emergency Federal Insurance Administrator to electronic, mechanical, or other Management Agency, as part of its enter into arrangements with individual technological collection techniques or continuing effort to reduce paperwork private sector insurance companies that other forms of information technology, and respondent burden, invites the are licensed to engage in the business of e.g., permitting electronic submissions general public and other Federal property insurance. These companies of responses. agencies to take this opportunity to may offer flood insurance coverage to eligible property owners utilizing their Analysis comment on a proposed extension, without change, of a currently approved customary business practices. To Agency: Department of Homeland information collection. In accordance facilitate the marketing of flood insurance, the Federal Government will Security, National Protection and with the Paperwork Reduction Act of be a grantor of flood insurance coverage Programs Directorate, Office of 1995, this notice seeks comments concerning private sector insurance for WYO Company policies issued Cybersecurity and Communications, under the WYO arrangement. To ensure National Communications System. companies’ authorization to offer flood insurance to eligible property owners that any policyholders’ monies are Title: Telecommunications Service under the FEMA National Flood accounted for and appropriately Priority System. Insurance Program and to meet the expended, the Federal Insurance OMB Number: 1670–0005. requirements of the WYO Transaction Administrator implemented a Financial Record Reporting and Processing Plan. Control Plan (FCP) under FEMA Frequency: On occasion. Information regulation 44 CFR 62.23(f). This plan DATES: Comments must be submitted on is required on particular occasions requires that each WYO Company or before August 8, 2011. when an organization decides they want submit financial data on a monthly basis TSP priority on their critical circuits. It ADDRESSES: To avoid duplicate into the National Flood Insurance is occasional/situational—the program submissions to the docket, please use Program’s Transaction Record Reporting office is not able to determine when this only one of the following means to and Processing Plan (TRRPP) system, as will occur. submit comments: referenced in 44 CFR 62.23(h)(4). The (1) Online. Submit comments at Affected Public: Businesses and state, regulation explains the operational and http://www.regulations.gov under local, territorial or tribal governments. financial control procedures governing Docket ID FEMA–2011–0014. Follow the issuance of flood insurance coverage Number of Respondents: 28,161 the instructions for submitting under the National Flood Insurance respondents. comments. Program (NFIP) by private sector Estimated Time per Respondent: 3 (2) Mail. Submit written comments to property insurance companies under the hours, 17 minutes. Docket Manager, Office of Chief WYO Program. Counsel, DHS/FEMA, 500 C Street, SW., Total Burden Hours: 7,727.42 annual Room 835, Washington, DC 20472– Collection of Information burden hours. 3100. Title: Write Your Own (WYO) Total Burden Cost (capital/startup): (3) Facsimile. Submit comments to Program. $251,141.15. (703) 483–2999. Type of Information Collection: Total Burden Cost (operating/ (4) E-mail. Submit comments to Extension, without change, of a maintaining): $0.00. [email protected]. Include Docket currently approved information ID FEMA–2011–0014 in the subject line. collection. Dated: May 24, 2011. All submissions received must OMB Number: 1660–0020. David Epperson, include the agency name and Docket ID. Form Titles and Numbers: FEMA Chief Information Officer, National Protection Regardless of the method used for Form 129–1, National Flood Insurance and Programs Directorate, Department of submitting comments or material, all Program’s Transaction Record Reporting Homeland Security. submissions will be posted, without and Processing Plan (TRRPP). [FR Doc. 2011–13953 Filed 6–6–11; 8:45 am] change, to the Federal eRulemaking Abstract: FEMA enter into BILLING CODE P Portal at http://www.regulations.gov, arrangements with individual private and will include any personal sector insurance companies that are information you provide. Therefore, licensed to engage in the business of submitting this information makes it property insurance. These companies public. You may wish to read the may offer flood insurance coverage to Privacy Act notice that is available via eligible property owners utilizing their

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customary business practices. WYO FOR FURTHER INFORMATION CONTACT: for reporting and drawing funds: 97.030, Companies are expected to meet the Peggy Miller, Office of Response and Community Disaster Loans; 97.031, Cora recording and reporting requirements of Recovery, Federal Emergency Brown Fund; 97.032, Crisis Counseling; the WYO Transaction Record Reporting Management Agency, 500 C Street, SW., 97.033, Disaster Legal Services; 97.034, Disaster Unemployment Assistance (DUA); and Processing Plan. Washington, DC 20472, (202) 646–3886. 97.046, Fire Management Assistance Grant; Affected Public: Business or other for- SUPPLEMENTARY INFORMATION: Notice is 97.048, Disaster Housing Assistance to profit. hereby given that, in a letter dated April Individuals and Households in Presidentially Number of Respondents: 88. 27, 2011, the President issued an Declared Disaster Areas; 97.049, Number of Responses: 1059. emergency declaration under the Presidentially Declared Disaster Assistance— Estimated Total Annual Burden authority of the Robert T. Stafford Disaster Housing Operations for Individuals Hours: 623.04. Disaster Relief and Emergency and Households; 97.050, Presidentially Estimated Cost: There is no annual Assistance Act, 42 U.S.C. 5121–5207 Declared Disaster Assistance to Individuals start-up or capital costs. and Households—Other Needs; 97.036, (the Stafford Act), as follows: Disaster Grants—Public Assistance Comments On April 27, 2011, I determined that the (Presidentially Declared Disasters); 97.039, Comments may be submitted as emergency conditions in certain areas of the Hazard Mitigation Grant. State of Alabama resulting from severe indicated in the ADDRESSES caption Dated: June 1, 2011. storms, tornadoes, and straight-line winds above. Comments are solicited to (a) beginning on April 27, 2011, and continuing, W. Craig Fugate, evaluate whether the proposed data are of sufficient severity and magnitude to Administrator, Federal Emergency collection is necessary for the proper warrant an emergency declaration under the Management Agency. performance of the agency, including Robert T. Stafford Disaster Relief and [FR Doc. 2011–14008 Filed 6–6–11; 8:45 am] Emergency Assistance Act, 42 U.S.C. 5121 et whether the information shall have BILLING CODE 9111–23–P practical utility; (b) evaluate the seq. (‘‘the Stafford Act’’). Therefore, I declared accuracy of the agency’s estimate of the that such an emergency exists in the State of burden of the proposed collection of Alabama. In order to provide Federal assistance, you DEPARTMENT OF HOMELAND information, including the validity of were authorized to provide appropriate SECURITY the methodology and assumptions used; assistance for required emergency measures, (c) enhance the quality, utility, and authorized under Title V of the Stafford Act, Federal Emergency Management clarity of the information to be to save lives and to protect property and Agency collected; and (d) minimize the burden public health and safety, and to lessen or of the collection of information on those avert the threat of a catastrophe in the [Internal Agency Docket No. FEMA–1971– DR; Docket ID FEMA–2001–0001] who are to respond, including through designated areas. Specifically, you were the use of appropriate automated, authorized to provide assistance for emergency protective measures (Category B), Alabama; Major Disaster and Related electronic, mechanical, or other limited to direct Federal assistance, under Determinations technological collection techniques or the Public Assistance program. This other forms of information technology, assistance excludes regular time costs for AGENCY: Federal Emergency e.g., permitting electronic submission of subgrantees’ regular employees. Management Agency, DHS. responses. Consistent with the requirement that ACTION: Notice. Federal assistance is supplemental, any Dated: May 19, 2011. Federal funds provided under the Stafford SUMMARY: This is a notice of the Lesia M. Banks, Act for Public Assistance will be limited to Presidential declaration of a major Director, Records Management Division, 75 percent of the total eligible costs. In order disaster for the State of Alabama to provide Federal assistance, you were Mission Support Bureau, Federal Emergency (FEMA–1971–DR), dated April 28, 2011, Management Agency, Department of authorized to allocate from funds available Homeland Security. for these purposes, such amounts as you find and related determinations. [FR Doc. 2011–13140 Filed 6–6–11; 8:45 am] necessary for Federal emergency assistance DATES: Effective Date: April 28, 2011. and administrative expenses. BILLING CODE 9111–52–P FOR FURTHER INFORMATION CONTACT: Further, you were authorized to make Peggy Miller, Recovery Directorate, changes to this declaration for the approved assistance to the extent allowable under the Federal Emergency Management DEPARTMENT OF HOMELAND Stafford Act. Agency, 500 C Street, SW., Washington, SECURITY DC 20472, (202) 646–3886. The Federal Emergency Management SUPPLEMENTARY INFORMATION: Notice is Federal Emergency Management Agency (FEMA) hereby gives notice that hereby given that, in a letter dated April Agency pursuant to the authority vested in the Administrator, Department of Homeland 28, 2011, the President declared a major [Internal Agency Docket No. FEMA–3319– Security, under Executive Order 12148, disaster under the authority of the EM; Docket ID FEMA–2011–0001] as amended, Joe M. Girot, of FEMA is Robert T. Stafford Disaster Relief and appointed to act as the Federal Emergency Assistance Act, 42 U.S.C. Alabama; Emergency and Related 5121–5207 (the Stafford Act), as follows: Determinations Coordinating Officer for this declared emergency. I have determined that the damage in AGENCY: Federal Emergency The following areas of the State of certain areas of the State of Alabama Management Agency, DHS. Alabama have been designated as resulting from severe storms, tornadoes, ACTION: Notice. adversely affected by this declared straight-line winds, and flooding beginning emergency: on April 15, 2011, and continuing, is of SUMMARY: This is a notice of the sufficient severity and magnitude to warrant All 67 Counties in the State of Alabama for a major disaster declaration under the Robert Presidential declaration of an emergency protective measures (Category B), emergency for the State of Alabama T. Stafford Disaster Relief and Emergency limited to direct Federal assistance, under Assistance Act, 42 U.S.C. 5121 et seq. (the (FEMA–3319–EM), dated April 27, the Public Assistance program. ‘‘Stafford Act’’). Therefore, I declare that such 2011, and related determinations. The following Catalog of Federal Domestic a major disaster exists in the State of DATES: Effective Date: April 27, 2011. Assistance Numbers (CFDA) are to be used Alabama.

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In order to provide Federal assistance, you Declared Disaster Assistance to Individuals subject to completion of Preliminary Damage are hereby authorized to allocate from funds and Households—Other Needs; 97.036, Assessments (PDAs), unless you determine available for these purposes such amounts as Disaster Grants—Public Assistance that the incident is of such unusual severity you find necessary for Federal disaster (Presidentially Declared Disasters); 97.039, and magnitude that PDAs are not required to assistance and administrative expenses. Hazard Mitigation Grant. determine the need for supplemental Federal You are authorized to provide Individual Dated: June 1, 2011. assistance pursuant to 44 C.F.R. 206.33(d). Assistance and assistance for debris removal W. Craig Fugate, Consistent with the requirement that and emergency protective measures Federal assistance is supplemental, any Administrator, Federal Emergency (Categories A and B), including direct Federal funds provided under the Stafford Management Agency. Federal assistance, under the Public Act for Public Assistance, Hazard Mitigation, Assistance program in the designated areas, [FR Doc. 2011–14007 Filed 6–6–11; 8:45 am] and Other Needs Assistance will be limited Hazard Mitigation throughout the State, and BILLING CODE 9111–23–P to 75 percent of the total eligible costs. any other forms of assistance under the Further, you are authorized to make Stafford Act that you deem appropriate changes to this declaration to the extent subject to completion of Preliminary Damage DEPARTMENT OF HOMELAND allowable under the Stafford Act. Assessments (PDAs), unless you determine SECURITY that the incident is of such unusual severity The time period prescribed for the and magnitude that PDAs are not required to Federal Emergency Management implementation of section 310(a), determine the need for supplemental Federal assistance pursuant to 44 C.F.R. 206.33(d). Agency Priority to Certain Applications for Public Facility and Public Housing Consistent with the requirement that [Internal Agency Docket No. FEMA–1974– Federal assistance is supplemental, any DR; Docket ID FEMA–2001–0001] Assistance, 42 U.S.C. 5153, shall be for Federal funds provided under the Stafford a period not to exceed six months after Act for Public Assistance, Hazard Mitigation, Tennessee; Major Disaster and Related the date of this declaration. and Other Needs Assistance will be limited Determinations The Federal Emergency Management to 75 percent of the total eligible costs. Further, you are authorized to make AGENCY: Federal Emergency Agency (FEMA) hereby gives notice that changes to this declaration to the extent Management Agency, DHS. pursuant to the authority vested in the Administrator, under Executive Order allowable under the Stafford Act. ACTION: Notice. 12148, as amended, W. Montague The time period prescribed for the Winfield, of FEMA is appointed to act implementation of section 310(a), SUMMARY: This is a notice of the as the Federal Coordinating Officer for Priority to Certain Applications for Presidential declaration of a major this declared disaster. Public Facility and Public Housing disaster for the State of Tennessee Assistance, 42 U.S.C. 5153, shall be for (FEMA–1974–DR), dated May 1, 2011, The following areas of the State of a period not to exceed six months after and related determinations. Tennessee have been designated as the date of this declaration. DATES: Effective Date: May 1, 2011. adversely affected by this declared The Federal Emergency Management FOR FURTHER INFORMATION CONTACT: major disaster: Agency (FEMA) hereby gives notice that Peggy Miller, Recovery Directorate, Bradley, Greene, Hamilton, and pursuant to the authority vested in the Federal Emergency Management Washington Counties for Individual Administrator, under Executive Order Agency, 500 C Street, SW., Washington, Assistance. 12148, as amended, Joe M. Girot, of DC 20472, (202) 646–3886. Bradley, Greene, Hamilton, and FEMA is appointed to act as the Federal SUPPLEMENTARY INFORMATION: Notice is Washington Counties for debris removal and Coordinating Officer for this declared hereby given that, in a letter dated May emergency protective measures (Categories A disaster. 1, 2011, the President declared a major and B) under the Public Assistance program. The following areas of the State of disaster under the authority of the All counties within the State of Tennessee Alabama have been designated as Robert T. Stafford Disaster Relief and are eligible to apply for assistance under the Hazard Mitigation Grant Program. adversely affected by this declared Emergency Assistance Act, 42 U.S.C. major disaster: 5121–5207 (the Stafford Act), as follows: (The following Catalog of Federal Domestic Assistance Numbers (CFDA) are to be used Cullman, DeKalb, Franklin, Jefferson, I have determined that the damage in for reporting and drawing funds: 97.030, Lawrence, Marshall, Tuscaloosa, and Walker certain areas of the State of Tennessee Community Disaster Loans; 97.031, Cora Counties for Individual Assistance. resulting from severe storms, tornadoes, Brown Fund; 97.032, Crisis Counseling; All 67 Counties in the State of Alabama for straight line winds, and associated flooding 97.033, Disaster Legal Services; 97.034, debris removal and emergency protective during the period of April 25–28, 2011, is of Disaster Unemployment Assistance (DUA); measures (Categories A and B), including sufficient severity and magnitude to warrant 97.046, Fire Management Assistance Grant; direct Federal assistance, under the Public a major disaster declaration under the Robert 97.048, Disaster Housing Assistance to Assistance program. T. Stafford Disaster Relief and Emergency Individuals and Households in Presidentially All counties within the State of Alabama Assistance Act, 42 U.S.C. 5121 et seq. (the Declared Disaster Areas; 97.049, ‘‘ ’’ are eligible to apply for assistance under the Stafford Act ). Therefore, I declare that such Presidentially Declared Disaster Assistance— a major disaster exists in the State of Hazard Mitigation Grant Program. Disaster Housing Operations for Individuals The following Catalog of Federal Domestic Tennessee. and Households; 97.050, Presidentially Assistance Numbers (CFDA) are to be used In order to provide Federal assistance, you Declared Disaster Assistance to Individuals for reporting and drawing funds: 97.030, are hereby authorized to allocate from funds and Households—Other Needs; 97.036, Community Disaster Loans; 97.031, Cora available for these purposes such amounts as Disaster Grants—Public Assistance Brown Fund; 97.032, Crisis Counseling; you find necessary for Federal disaster (Presidentially Declared Disasters); 97.039, 97.033, Disaster Legal Services; 97.034, assistance and administrative expenses. Disaster Unemployment Assistance (DUA); You are authorized to provide Individual Hazard Mitigation Grant). 97.046, Fire Management Assistance Grant; Assistance and assistance for debris removal Dated: June 1, 2011. 97.048, Disaster Housing Assistance to and emergency protective measures W. Craig Fugate, Individuals and Households in Presidentially (Categories A and B) under the Public Administrator, Federal Emergency Declared Disaster Areas; 97.049, Assistance program in the designated areas, Management Agency. Presidentially Declared Disaster Assistance— Hazard Mitigation throughout the State, and Disaster Housing Operations for Individuals any other forms of assistance under the [FR Doc. 2011–14012 Filed 6–6–11; 8:45 am] and Households; 97.050, Presidentially Stafford Act that you deem appropriate BILLING CODE 9111–23–P

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DEPARTMENT OF HOMELAND Further, you are authorized to make DEPARTMENT OF HOMELAND SECURITY changes to this declaration to the extent SECURITY allowable under the Stafford Act. Federal Emergency Management Federal Emergency Management Agency The time period prescribed for the Agency implementation of section 310(a), [Internal Agency Docket No. FEMA–1975– [Internal Agency Docket No. FEMA–1972– Priority to Certain Applications for DR; Docket ID FEMA–2011–0001] DR; Docket ID FEMA–2001–0001] Public Facility and Public Housing Assistance, 42 U.S.C. 5153, shall be for Mississippi; Major Disaster and Arkansas; Major Disaster and Related a period not to exceed six months after Determinations Related Determinations the date of this declaration. AGENCY: Federal Emergency AGENCY: Federal Emergency The Federal Emergency Management Management Agency, DHS. Management Agency, DHS. Agency (FEMA) hereby gives notice that ACTION: Notice. ACTION: Notice. pursuant to the authority vested in the Administrator, under Executive Order SUMMARY: This is a notice of the SUMMARY: This is a notice of the 12148, as amended, Terry L. Quarles, of Presidential declaration of a major Presidential declaration of a major FEMA is appointed to act as the Federal disaster for the State of Arkansas disaster for the State of Mississippi Coordinating Officer for this declared (FEMA–1975–DR), dated May 2, 2011, (FEMA–1972–DR), dated April 29, 2011, disaster. and related determinations. and related determinations. The following areas of the State of DATES: Effective Date: May 2, 2011. DATES: Effective Date: April 29, 2011. Mississippi have been designated as FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: adversely affected by this declared Peggy Miller, Office of Response and Peggy Miller, Recovery Directorate, major disaster: Recovery, Federal Emergency Federal Emergency Management Management Agency, 500 C Street, SW., Agency, 500 C Street, SW., Washington, Clarke, Greene, Hinds, Jasper, Kemper, Washington, DC 20472, (202) 646–3886. Lafayette, and Monroe Counties for DC 20472, (202) 646–3886. SUPPLEMENTARY INFORMATION: Notice is Individual Assistance. SUPPLEMENTARY INFORMATION: Notice is hereby given that, in a letter dated May Clarke, Greene, Hinds, Jasper, Kemper, hereby given that, in a letter dated April 2, 2011, the President issued a major Lafayette, and Monroe Counties for debris 29, 2011, the President declared a major disaster declaration under the authority removal and emergency protective measures disaster under the authority of the of the Robert T. Stafford Disaster Relief (Categories A and B), including direct Robert T. Stafford Disaster Relief and Federal assistance, under the Public and Emergency Assistance Act, 42 Emergency Assistance Act, 42 U.S.C. ‘‘ ’’ Assistance Program. U.S.C. 5121 et seq. (the Stafford Act ), 5121–5207 (the Stafford Act), as follows: All counties within the State of Mississippi as follows: I have determined that the damage in are eligible to apply for assistance under the I have determined that the damage in certain areas of the State of Mississippi Hazard Mitigation Grant Program. certain areas of the State of Arkansas resulting from severe storms, tornadoes, resulting from severe storms, tornadoes, and (The following Catalog of Federal Domestic straight-line winds, and associated flooding associated flooding beginning on April 23, during the period of April 15–28, 2011, is of Assistance Numbers (CFDA) are to be used 2011, and continuing, is of sufficient severity sufficient severity and magnitude to warrant for reporting and drawing funds: 97.030, and magnitude to warrant a major disaster a major disaster declaration under the Robert Community Disaster Loans; 97.031, Cora declaration under the Robert T. Stafford T. Stafford Disaster Relief and Emergency Brown Fund; 97.032, Crisis Counseling; Disaster Relief and Emergency Assistance Assistance Act, 42 U.S.C. 5121 et seq. (the 97.033, Disaster Legal Services; 97.034, Act, 42 U.S.C. 5121 et seq. (the ‘‘Stafford ‘‘Stafford Act’’). Therefore, I declare that such Disaster Unemployment Assistance (DUA); Act’’). Therefore, I declare that such a major a major disaster exists in the State of 97.046, Fire Management Assistance Grant; disaster exists in the State of Arkansas. Mississippi. 97.048, Disaster Housing Assistance to In order to provide Federal assistance, you In order to provide Federal assistance, you Individuals and Households In Presidentially are hereby authorized to allocate from funds are hereby authorized to allocate from funds Declared Disaster Areas; 97.049, available for these purposes such amounts as available for these purposes such amounts as you find necessary for Federal disaster Presidentially Declared Disaster Assistance— you find necessary for Federal disaster assistance and administrative expenses. Disaster Housing Operations for Individuals assistance and administrative expenses. You are authorized to provide Individual You are authorized to provide Individual and Households; 97.050, Presidentially Assistance and assistance for emergency Assistance and assistance for debris removal Declared Disaster Assistance to Individuals protective measures (Category B), limited to and emergency protective measures and Households—Other Needs; 97.036, direct Federal assistance, under the Public (Categories A and B), including direct Disaster Grants—Public Assistance Assistance program in the designated areas, Federal assistance, under the Public (Presidentially Declared Disasters); 97.039, and Hazard Mitigation throughout the State. Assistance program, and Hazard Mitigation Hazard Mitigation Grant. Consistent with the requirement that Federal in the designated areas, and any other forms assistance is supplemental, any Federal of assistance under the Stafford Act that you Dated: June 1, 2011. funds provided under the Stafford Act for deem appropriate subject to completion of W. Craig Fugate, Public Assistance, Hazard Mitigation, and Preliminary Damage Assessments (PDAs), Administrator, Federal Emergency Other Needs Assistance will be limited to 75 unless you determine that the incident is of Management Agency. percent of the total eligible costs. such unusual severity and magnitude that Further, you are authorized to make [FR Doc. 2011–14010 Filed 6–6–11; 8:45 am] PDAs are not required to determine the need changes to this declaration for the approved for supplemental Federal assistance pursuant BILLING CODE 9111–23–P assistance to the extent allowable under the to 44 CFR 206.33(d). Stafford Act. Consistent with the requirement that Federal assistance is supplemental, any The time period prescribed for the Federal funds provided under the Stafford implementation of section 310(a), Act for Public Assistance, Hazard Mitigation, Priority to Certain Applications for and Other Needs Assistance will be limited Public Facility and Public Housing to 75 percent of the total eligible costs. Assistance, 42 U.S.C. 5153, shall be for

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a period not to exceed six months after DATES: Effective Date: April 29, 2011. Bartow, Catoosa, Dade, Floyd, Polk, the date of this declaration. FOR FURTHER INFORMATION CONTACT: Spalding, and Walker Counties for Individual The Federal Emergency Management Peggy Miller, Recovery Directorate, Assistance. Bartow, Catoosa, Coweta, Dade, Floyd, Agency (FEMA) hereby gives notice that Federal Emergency Management pursuant to the authority vested in the Greene, Lamar, Meriwether, Monroe, Morgan, Agency, 500 C Street, SW., Washington, Pickens, Polk, Rabun, Spalding, Troup, and Administrator, under Executive Order DC 20472, (202) 646–3886. Walker Counties for debris removal and 12148, as amended, Nancy M. Casper of SUPPLEMENTARY INFORMATION: Notice is emergency protective measures (Categories A FEMA is appointed to act as the Federal hereby given that, in a letter dated April and B), including direct Federal assistance, Coordinating Officer for this major 29, 2011, the President declared a major under the Public Assistance program. disaster. disaster under the authority of the All counties within the State of Georgia are The following areas of the State of Robert T. Stafford Disaster Relief and eligible to apply for assistance under the Hazard Mitigation Grant Program. Arkansas have been designated as Emergency Assistance Act, 42 U.S.C. adversely affected by this major disaster: 5121–5207 (the Stafford Act), as follows: (The following Catalog of Federal Domestic Assistance Numbers (CFDA) are to be used The counties of Benton, Clay, Faulkner, I have determined that the damage in Garland, Lincoln, Pulaski, Randolph, and for reporting and drawing funds: 97.030, certain areas of the State of Georgia resulting Community Disaster Loans; 97.031, Cora Saline for Individual Assistance. from severe storms, tornadoes, straight line The counties of Benton, Clay, Faulkner, Brown Fund; 97.032, Crisis Counseling; winds, and associated flooding during the Garland, Lincoln, Pulaski, Randolph, and 97.033, Disaster Legal Services; 97.034, period of April 27–28, 2011, is of sufficient Saline for emergency protective measures Disaster Unemployment Assistance (DUA); severity and magnitude to warrant a major (Category B), limited to direct Federal 97.046, Fire Management Assistance Grant; disaster declaration under the Robert T. assistance, under the Public Assistance 97.048, Disaster Housing Assistance to Stafford Disaster Relief and Emergency program. Individuals and Households in Presidentially Assistance Act, 42 U.S.C. 5121 et seq. (the All counties within the State of Arkansas Declared Disaster Areas; 97.049, ‘‘Stafford Act’’). Therefore, I declare that such are eligible to apply for assistance under the Presidentially Declared Disaster Assistance— a major disaster exists in the State of Georgia. Hazard Mitigation Grant Program. Disaster Housing Operations for Individuals In order to provide Federal assistance, you and Households; 97.050, Presidentially The following Catalog of Federal Domestic are hereby authorized to allocate from funds Assistance Numbers (CFDA) are to be used available for these purposes such amounts as Declared Disaster Assistance to Individuals for reporting and drawing funds: 97.030, you find necessary for Federal disaster and Households—Other Needs; 97.036, Community Disaster Loans; 97.031, Cora assistance and administrative expenses. Disaster Grants—Public Assistance Brown Fund; 97.032, Crisis Counseling; You are authorized to provide Individual (Presidentially Declared Disasters); 97.039, 97.033, Disaster Legal Services; 97.034, Assistance and assistance for debris removal Hazard Mitigation Grant. Disaster Unemployment Assistance (DUA); and emergency protective measures Dated: June 1, 2011. 97.046, Fire Management Assistance Grant; (Categories A and B), including direct W. Craig Fugate, 97.048, Disaster Housing Assistance to Federal assistance, under the Public Individuals and Households in Presidentially Assistance program in the designated areas, Administrator, Federal Emergency Declared Disaster Areas; 97.049, Hazard Mitigation throughout the State, and Management Agency. Presidentially Declared Disaster Assistance— any other forms of assistance under the [FR Doc. 2011–14018 Filed 6–6–11; 8:45 am] Disaster Housing Operations for Individuals Stafford Act that you deem appropriate BILLING CODE 9111–23–P and Households; 97.050, Presidentially subject to completion of Preliminary Damage Declared Disaster Assistance to Individuals Assessments (PDAs), unless you determine and Households—Other Needs; 97.036, that the incident is of such unusual severity Disaster Grants—Public Assistance DEPARTMENT OF HOMELAND and magnitude that PDAs are not required to SECURITY (Presidentially Declared Disasters); 97.039, determine the need for supplemental Federal Hazard Mitigation Grant. assistance pursuant to 44 C.F.R. 206.33(d). Federal Emergency Management Dated: June 1, 2011. Consistent with the requirement that Agency W. Craig Fugate, Federal assistance is supplemental, any Federal funds provided under the Stafford Administrator, Federal Emergency [Internal Agency Docket No. FEMA–1976– Act for Public Assistance, Hazard Mitigation, Management Agency. DR; Docket ID FEMA–2011–0001] and Other Needs Assistance will be limited [FR Doc. 2011–14014 Filed 6–6–11; 8:45 am] to 75 percent of the total eligible costs. Kentucky; Major Disaster and Related BILLING CODE 9111–23–P Further, you are authorized to make Determinations changes to this declaration to the extent allowable under the Stafford Act. AGENCY: Federal Emergency DEPARTMENT OF HOMELAND The time period prescribed for the Management Agency, DHS. SECURITY implementation of section 310(a), ACTION: Notice. Priority to Certain Applications for Federal Emergency Management SUMMARY: This is a notice of the Public Facility and Public Housing Agency Presidential declaration of a major Assistance, 42 U.S.C. 5153, shall be for disaster for the Commonwealth of [Internal Agency Docket No. FEMA–1973– a period not to exceed six months after Kentucky (FEMA–1976–DR), dated May DR; Docket ID FEMA–2001–0001] the date of this declaration. The Federal Emergency Management 4, 2011, and related determinations. Georgia; Major Disaster and Related Agency (FEMA) hereby gives notice that DATES: Effective Date: May 4, 2011. Determinations pursuant to the authority vested in the FOR FURTHER INFORMATION CONTACT: AGENCY: Federal Emergency Administrator, under Executive Order Peggy Miller, Office of Response and Management Agency, DHS. 12148, as amended, Gracia B. Szczech, Recovery, Federal Emergency Management Agency, 500 C Street, SW., ACTION: Notice. of FEMA is appointed to act as the Federal Coordinating Officer for this Washington, DC 20472, (202) 646–3886. SUMMARY: This is a notice of the declared disaster. SUPPLEMENTARY INFORMATION: Notice is Presidential declaration of a major The following areas of the State of hereby given that, in a letter dated May disaster for the State of Georgia (FEMA– Georgia have been designated as 4, 2011, the President issued a major 1973–DR), dated April 29, 2011, and adversely affected by this declared disaster declaration under the authority related determinations. major disaster: of the Robert T. Stafford Disaster Relief

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and Emergency Assistance Act, 42 Disaster Housing Operations for Individuals its $2.6 billion in contracts to small U.S.C. 5121 et seq. (the ‘‘Stafford Act’’), and Households; 97.050, Presidentially businesses. as follows: Declared Disaster Assistance to Individuals This fiscal year, the Office of Small and Households—Other Needs; 97.036, and Disadvantaged Business Utilization I have determined that the damage in Disaster Grants—Public Assistance certain areas of the Commonwealth of (Presidentially Declared Disasters); 97.039, is reaching out to our internal Kentucky resulting from severe storms, Hazard Mitigation Grant. stakeholders and the Department’s small tornadoes, and flooding, beginning on April business community by conducting 22, 2011, and continuing, is of sufficient Dated: June 1, 2011. several vendor outreach workshops. The severity and magnitude to warrant a major W. Craig Fugate, Department’s presenters will focus on disaster declaration under the Robert T. Administrator, Federal Emergency contracting and subcontracting Stafford Disaster Relief and Emergency Management Agency. Assistance Act, 42 U.S.C. 5121 et seq. (the opportunities and how small businesses [FR Doc. 2011–14017 Filed 6–6–11; 8:45 am] ‘‘Stafford Act’’). Therefore, I declare that such can better market services and products. a major disaster exists in the Commonwealth BILLING CODE 9111–23–P Over 3,000 small businesses have been of Kentucky. targeted for this event. If you are a small In order to provide Federal assistance, you business interested in working with the are hereby authorized to allocate from funds DEPARTMENT OF THE INTERIOR Department, we urge you to register available for these purposes such amounts as online at: http://www.doi.gov/osdbu and you find necessary for Federal disaster Office of the Secretary attend the workshop. assistance and administrative expenses. These outreach events are a new and You are authorized to provide Public Vendor Outreach Workshop for Small Assistance in the designated areas, exciting opportunity for the emergency protective measures (Category B), Businesses in the Texas Intermountain Department’s bureaus and offices to limited to direct Federal assistance, under Region of the United States improve their support for small the Public Assistance program in the selected business. Additional scheduled events AGENCY: Office of the Secretary, Interior. areas, and Hazard Mitigation throughout the are posted on the Office of Small and Commonwealth. Consistent with the ACTION: Notice. Disadvantaged Business Utilization Web requirement that Federal assistance is site at http://www.doi.gov/osdbu. supplemental, any Federal funds provided SUMMARY: The Office of Small and under the Stafford Act for Public Assistance Disadvantaged Business Utilization of Mark Oliver, and Hazard Mitigation will be limited to 75 the Department of the Interior is hosting Director, Office of Small and Disadvantaged percent of the total eligible costs. a Vendor Outreach Workshop for small Business Utilization. Further, you are authorized to make businesses in the Texas Intermountain [FR Doc. 2011–13998 Filed 6–6–11; 8:45 am] changes to this declaration for the approved region of the United States that are BILLING CODE 4210–RK–P assistance to the extent allowable under the interested in doing business with the Stafford Act. Department. This outreach workshop The Federal Emergency Management will review market contracting DEPARTMENT OF THE INTERIOR Agency (FEMA) hereby gives notice that opportunities for the attendees. pursuant to the authority vested in the Business owners will be able to share National Park Service Administrator, under Executive Order their individual perspectives with 12148, as amended, Steven S. Ward, of Contracting Officers, Program Managers [NPS–NCCR–NACA–0511–7479; 3086–SYM] FEMA is appointed to act as the Federal and Small Business Specialists from the National Capital Memorial Advisory Coordinating Officer for this major Department. disaster. Commission Meeting DATES: The workshop will be held on The following areas of the June 14, 2011, from 8:30 a.m. to 4 p.m. AGENCY: National Park Service, Interior. Commonwealth of Kentucky have been ACTION: designated as adversely affected by this ADDRESSES: The workshop will be held Notice of meeting. major disaster: at the University of Houston, 210 University Center, Houston, Texas SUMMARY: Notice is hereby given that Boone, Bracken, Campbell, Carroll, Carter, 77204. Register online at: http:// the National Capital Memorial Advisory Fleming, Gallatin, Kenton, Lawrence, www.doi.gov/osdbu. Commission (the Commission) will Morgan, Nicholas, Oldham, Owen and meet at the National Building Museum, Washington Counties for Public Assistance. FOR FURTHER INFORMATION CONTACT: Room 312, 401 F Street, NW., Ballard, Carlisle, Crittenden, Daviess, Mark Oliver, Director, Office of Small Washington, DC on Thursday, June 23, Fulton, Henderson, Hickman, Livingston, and Disadvantaged Business Utilization, 2011, at 10:30 a.m., to consider matters McCracken, and Union Counties for 1951 Constitution Ave., NW., MS–320 emergency protective measures (Category B), pertaining to commemorative works in SIB, Washington, DC 20240, telephone the District of Columbia and its limited to direct Federal assistance, under 1–877–375–9927 (Toll-Free). the Public Assistance program. environs. All counties within the Commonwealth of SUPPLEMENTARY INFORMATION: In DATES: Thursday, June 23, 2011. Kentucky are eligible to apply for assistance accordance with the Small Business under the Hazard Mitigation Grant Program. Act, as amended by Public Law 95–507, ADDRESSES: National Building Museum, The following Catalog of Federal Domestic the Department has the responsibility to Room 312, 401 F Street, NW., Assistance Numbers (CFDA) are to be used promote the use of small and small Washington, DC 20001. for reporting and drawing funds: 97.030, disadvantaged business for its FOR FURTHER INFORMATION CONTACT: Ms. Community Disaster Loans; 97.031, Cora acquisition of goods and services. The Nancy Young, Secretary to the Brown Fund; 97.032, Crisis Counseling; Department is proud of its Commission, by telephone at (202) 619– 97.033, Disaster Legal Services; 97.034, accomplishments in meeting its 7097, by e-mail at Disaster Unemployment Assistance (DUA); _ 97.046, Fire Management Assistance Grant; business goals for small, small nancy [email protected], by telefax at 97.048, Disaster Housing Assistance to disadvantaged, 8(a), woman-owned, (202) 619–7420, or by mail at the Individuals and Households in Presidentially HUBZone, and service-disabled veteran- National Capital Memorial Advisory Declared Disaster Areas; 97.049, owned businesses. In Fiscal Year 2010, Commission, 1100 Ohio Drive, SW., Presidentially Declared Disaster Assistance— the Department awarded 50 percent of Room 220, Washington, DC 20242.

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SUPPLEMENTARY INFORMATION: The a memorial to the Patriots of the business hours (8:45 a.m. to 5:15 p.m.) Commission was established by Public American Revolution and the War of in the Office of the Secretary, U.S. Law 99–652, the Commemorative Works 1812. International Trade Commission, 500 E Act (40 U.S.C. Chapter 89 et seq.), to (e) H.R. 1619, ‘‘The MADE Act of Street, SW., Washington, DC 20436, advise the Secretary of the Interior (the 2011,’’ to amend the Commemorative telephone (202) 205–2000. Secretary) and the Administrator, Works Act to require that General information concerning the General Services Administration, (the commemorative works in the District of Commission may also be obtained by Administrator) on policy and Columbia be constructed of materials accessing its Internet server (http:// procedures for establishment of, and that are grown, produced or www.usitc.gov). The public record for proposals to establish, commemorative manufactured in the United States. this investigation may be viewed on the works in the District of Columbia and its (4) Other Business. Commission’s electronic docket (EDIS) environs, as well as such other matters The meeting will begin at 10:30 a.m. at http://edis.usitc.gov. Hearing- as it may deem appropriate concerning and is open to the public. Persons who impaired persons are advised that commemorative works. wish to file a written statement or testify information on this matter can be The Commission examines each at the meeting or who want further obtained by contacting the memorial proposal for conformance to information concerning the meeting Commission’s TDD terminal on (202) the Commemorative Works Act, and may contact Ms. Nancy Young, 205–1810. makes recommendations to the Secretary to the Commission. Before SUPPLEMENTARY INFORMATION: The Secretary and the Administrator and to including your address, phone number, Commission has received a complaint Members and Committees of Congress. e-mail address, or other personal filed on behalf of Samsung Electronics The Commission also serves as a source identifying information in your Co., Ltd., Inc. on June 1, 2011. The of information for persons seeking to comment, you should be aware that complaint alleges violations of section establish memorials in Washington, DC your entire comment—including your 337 of the Tariff Act of 1930 (19 U.S.C. and its environs. personal identifying information—may 1337) in the importation into the United The members of the Commission are be made publicly available at any time. States, the sale for importation, and the as follows: While you can ask us in your comment sale within the United States after Director, National Park Service, to withhold your personal identifying importation of certain liquid crystal Administrator, General Services information from public review, we display devices and products containing Administration, cannot guarantee that we will be able to same. The complaint names as Chairman, National Capital Planning do so. respondents AU Optronics Corp. of Commission, Dated: May 18, 2011. Taiwan; AU Optronics Corporation Chairman, Commission of Fine Arts, Woody Smeck, America of Houston, TX; Acer America Mayor of the District of Columbia, Acting Regional Director, National Capital Corporation of San Jose, CA; Acer Inc. Architect of the Capitol, Region. of Taiwan; BenQ America Corp. of Chairman, American Battle Monuments Irvine, CA; BenQ Corp. of Taiwan; [FR Doc. 2011–13999 Filed 6–6–11; 8:45 am] Commission, Sanyo Electronic Co., Ltd. of Japan; and BILLING CODE 4312–JK–P Secretary of Defense. Sanyo North America Corporation, San The agenda for the meeting is as Diego, CA. follows: The complainant, proposed INTERNATIONAL TRADE (1) Memorial to American Veterans respondents, other interested parties, COMMISSION Disabled for Life—Design presentation. and members of the public are invited (2) Memorial to Presidents John Notice of Receipt of Complaint; to file comments, not to exceed five Adams and his Legacy—Review of an Solicitation of Comments Relating to pages in length, on any public interest Alternative Sites Study presented by the the Public Interest issues raised by the complaint. Adams Memorial Foundation. Comments should address whether (3) Review of legislation proposed in AGENCY: U.S. International Trade issuance of an exclusion order and/or a the 112th Congress. Commission. cease and desist order in this (a) H.R. 854, a bill to authorize the ACTION: Notice. investigation would negatively affect the Peace Corps Commemorative public health and welfare in the United Foundation to establish a memorial to SUMMARY: Notice is hereby given that States, competitive conditions in the commemorate the formation of the the U.S. International Trade United States economy, the production Peace Corps and the ideals of world Commission has received a complaint of like or directly competitive articles in peace and friendship upon which the entitled In Re Certain Liquid Crystal the United States, or United States Peace Corps was founded. Display Devices and Products consumers. (b) S. 253 and H.R. 938, bills to Containing Same, DN 2811; the In particular, the Commission is establish a World War I National Commission is soliciting comments on interested in comments that: Memorial Commission and reestablish any public interest issues raised by the (i) Explain how the articles the District of Columbia World War complaint. potentially subject to the orders are used Memorial as the National World War I FOR FURTHER INFORMATION CONTACT: in the United States; Memorial. James R. Holbein, Secretary to the (ii) Identify any public health, safety, (c) S. 883, a bill to authorize the Commission, U.S. International Trade or welfare concerns in the United States Liberty Fund to establish a memorial to Commission, 500 E Street, SW., relating to the potential orders; honor free persons and slaves who Washington, DC 20436, telephone (202) (iii) Indicate the extent to which like fought for independence, liberty, and 205–2000. The public version of the or directly competitive articles are justice for all during the American complaint can be accessed on the produced in the United States or are Revolution. Commission’s electronic docket (EDIS) otherwise available in the United States, (d) H.R. 1559, to authorize the at http://edis.usitc.gov, and will be with respect to the articles potentially Benjamin Harrison Society to establish available for inspection during official subject to the orders; and

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(iv) Indicate whether Complainant, DEPARTMENT OF LABOR generally not required to respond to an Complainant’s licensees, and/or third information collection, unless it is party suppliers have the capacity to Office of the Secretary approved by the OMB under the PRA replace the volume of articles and displays a currently valid OMB Agency Information Collection potentially subject to an exclusion order Control Number. In addition, Activities; Submission for OMB and a cease and desist order within a notwithstanding any other provisions of Review; Comment Request; Grain commercially reasonable time. law, no person shall generally be subject Handling Facilities to penalty for failing to comply with a Written submissions must be filed no collection of information if the ACTION: Notice. later than by close of business, five collection of information does not business days after the date of SUMMARY: The Department of Labor display a valid OMB control number. publication of this notice in the Federal (DOL) is submitting the Occupational See 5 CFR 1320.5(a) and 1320.6. The Register. There will be further Safety and Health Administration DOL obtains OMB approval for this opportunities for comment on the (OSHA) sponsored information information collection under OMB public interest after the issuance of any collection request (ICR) titled, ‘‘Grain Control Number 1218–0206. The current final initial determination in this Handling Facilities (29 CFR 1910.272),’’ OMB approval is scheduled to expire on investigation. to the Office of Management and Budget June 30, 2011; however, it should be Persons filing written submissions (OMB) for review and approval for use noted that information collections must file the original document and 12 in accordance with the Paperwork submitted to the OMB receive a month- true copies thereof on or before the Reduction Act (PRA) of 1995 (Pub. L. to-month extension while they undergo deadlines stated above with the Office 104–13, 44 U.S.C. chapter 35). review. For additional information, see of the Secretary. Submissions should DATES: Submit comments on or before the related notice published in the refer to the docket number (‘‘Docket No. July 7, 2011. Federal Register on February 22, 2011 2811’’) in a prominent place on the (76 FR 9815). ADDRESSES: A copy of this ICR with Interested parties are encouraged to cover page and/or the first page. The applicable supporting documentation; send comments to the OMB, Office of Commission’s rules authorize filing including a description of the likely Information and Regulatory Affairs at submissions with the Secretary by respondents, proposed frequency of the address shown in the ADDRESSES facsimile or electronic means only to the response, and estimated total burden section within 30 days of publication of extent permitted by section 201.8 of the may be obtained from the RegInfo.gov this notice in the Federal Register. In rules (see Handbook for Electronic Web site, http://www.reginfo.gov/ order to help ensure appropriate Filing Procedures, http://www.usitc.gov/ public/do/PRAMain, on the day consideration, comments should secretary/fed_reg_notices/rules/ following publication of this notice or reference OMB Control Number 1218– documents/handbook_on_electronic by sending an e-mail to 0206. The OMB is particularly _ _ _filing.pdf). Persons with questions DOL PRA [email protected]. interested in comments that: regarding electronic filing should Submit comments about this request • Evaluate whether the proposed contact the Secretary (202–205–2000). to the Office of Information and collection of information is necessary Regulatory Affairs, Attn: OMB Desk Any person desiring to submit a for the proper performance of the Officer for the Department of Labor, functions of the agency, including document to the Commission in Occupational Safety and Health whether the information will have confidence must request confidential Administration (OSHA), Office of practical utility; treatment. All such requests should be Management and Budget, Room 10235, • Evaluate the accuracy of the directed to the Secretary to the Washington, DC 20503, Telephone: agency’s estimate of the burden of the Commission and must include a full 202–395–6929/Fax: 202–395–6881 proposed collection of information, statement of the reasons why the (these are not toll-free numbers), e-mail: including the validity of the Commission should grant such [email protected]. methodology and assumptions used; treatment. See 19 CFR 201.6. Documents FOR FURTHER INFORMATION CONTACT: • Enhance the quality, utility, and for which confidential treatment by the Contact the DOL Information clarity of the information to be Commission is properly sought will be Management Team by e-mail at collected; and treated accordingly. All nonconfidential [email protected]. • Minimize the burden of the written submissions will be available for collection of information on those who SUPPLEMENTARY INFORMATION: The are to respond, including through the public inspection at the Office of the information collection requirements are Secretary. use of appropriate automated, directed toward assuring the safety of electronic, mechanical, or other This action is taken under the workers in grain handling through technological collection techniques or authority of section 337 of the Tariff Act development of a housekeeping plan, an other forms of information technology, of 1930, as amended (19 U.S.C. 1337), emergency action plan, procedures for e.g., permitting electronic submission of and of sections 201.10 and 210.50(a)(4) the use of tags and locks, the issuance responses. of the Commission’s Rules of Practice of hot work permits, and permits for Agency: Occupational Safety and and Procedure (19 CFR 201.10, entry into grain storage structures. Health Administration (OSHA). 210.50(a)(4)). Certification records are required after Title of Collection: Grain Handling inspections of the mechanical and safety Issued: June 2, 2011. Facilities (29 CFR 1910.272). control equipment associated with OMB Control Number: 1218–0206. By order of the Commission. dryers, grain stream processing Affected Public: Businesses or other James R. Holbein, equipment, etc. for-profits. Secretary to the Commission. This information collection is subject Total Estimated Number of [FR Doc. 2011–13942 Filed 6–6–11; 8:45 am] to the PRA. A Federal agency generally Respondents: 18,804. BILLING CODE 7020–02–P cannot conduct or sponsor a collection Total Estimated Number of of information, and the public is Responses: 1,312,126.

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Total Estimated Annual Burden activities in rural areas. The Secretary of Copies of adverse comments received Hours: 68,762. Labor must review the application for will be forwarded to the applicant noted Total Estimated Annual Other Costs financial assistance for the purpose of above. Burden: $0. certifying to the Secretary of Agriculture that the assistance is not calculated, or ADDRESSES: Address all comments Linda Watts Thomas, likely, to result in: (a) A transfer of any concerning this notice to Anthony D. Acting Departmental Clearance Officer. employment or business activity from Dais, U.S. Department of Labor, [FR Doc. 2011–13979 Filed 6–6–11; 8:45 am] one area to another by the loan Employment and Training BILLING CODE 4510–26–P applicant’s business operation; or, (b) Administration, 200 Constitution An increase in the production of goods, Avenue, NW., Room S–4231, materials, services, or facilities in an Washington, DC 20210; or e-mail DEPARTMENT OF LABOR area where there is not sufficient [email protected]; or transmit via Employment and Training demand to employ the efficient capacity fax (202) 693–3015 (this is not a toll-free Administration of existing competitive enterprises number). unless the financial assistance will not FOR FURTHER INFORMATION CONTACT: have an adverse impact on existing Request for Certification of Anthony D. Dais, at telephone number competitive enterprises in the area. The Compliance—Rural Industrialization (202) 693–2784 (this is not a toll-free Loan and Grant Program Employment and Training Administration within the Department number). AGENCY: Employment and Training of Labor is responsible for the review Administration, Labor. SUPPLEMENTARY INFORMATION: Section and certification process. Comments 188 of the Consolidated Farm and Rural ACTION: Notice. should address the two bases for Development Act of 1972, as established certification and, if possible, provide SUMMARY: The Employment and under 29 CFR part 75, authorizes the data to assist in the analysis of these Training Administration is issuing this United States Department of Agriculture issues. notice to announce the receipt of a to make or guarantee loans or grants to ‘‘Certification of Non-Relocation and SIGNED: at Washington, DC, this 31st of finance industrial and business Market and Capacity Information May, 2011. activities in rural areas. The Secretary of Report’’ (Form 4279–2) for the following: Jane Oates, Labor must review the application for Applicant/Location: Baker’s Pride, Assistant Secretary for Employment and financial assistance for the purpose of Training. Inc., Burlington, Iowa. certifying to the Secretary of Agriculture Principal Product/Purpose: The loan, [FR Doc. 2011–13937 Filed 6–6–11; 8:45 am] that the assistance is not calculated, or guarantee, or grant application is to BILLING CODE 4510–FN–P likely, to result in: (a) A transfer of any obtain financing for infrastructure employment or business activity from updates, working capital, and one area to another by the loan equipment purchases to get a newly DEPARTMENT OF LABOR acquired bakery facility into production, applicant’s business operation; or, (b) which will be located in Burlington, Employment and Training An increase in the production of goods, Iowa. The NAICS industry code for this Administration materials, services, or facilities in an area where there is not sufficient enterprise is: 311812 (commercial Request for Certification of bakeries). demand to employ the efficient capacity Compliance—Rural Industrialization of existing competitive enterprises DATES: All interested parties may submit Loan and Grant Program unless the financial assistance will not comments in writing no later than June have an adverse impact on existing 21, 2011. AGENCY: Employment and Training Copies of adverse comments received Administration, Labor. competitive enterprises in the area. The will be forwarded to the applicant noted ACTION: Notice. Employment and Training above. Administration within the Department SUMMARY: The Employment and of Labor is responsible for the review ADDRESSES: Address all comments Training Administration is issuing this concerning this notice to Anthony D. and certification process. Comments notice to announce the receipt of a should address the two bases for Dais, U.S. Department of Labor, ‘‘Certification of Non-Relocation and certification and, if possible, provide Employment and Training Market and Capacity Information data to assist in the analysis of these Administration, 200 Constitution Report’’ (Form 4279–2) for the following: Avenue, NW., Room S–4231, Applicant/Location: Buc-ee’s, Ltd., issues. Washington, DC 20210; or e-mail New Braunfels, Comal County, Texas. Signed at Washington, DC this 31st day of [email protected]; or transmit via Principal Product/Purpose: The loan, May, 2011. fax (202) 693–3015 (this is not a toll-free guarantee, or grant application is to Jane Oates, number). provide funds for the purchase of real Assistant Secretary for Employment and FOR FURTHER INFORMATION CONTACT: estate and construction of a new Training. Anthony D. Dais, at telephone number location of Buc-ee’s (gas station and [FR Doc. 2011–13936 Filed 6–6–11; 8:45 am] (202) 693–2784 (this is not a toll-free convenience store), which will be number). located in New Braunfels, Comal BILLING CODE 4510–FN–P SUPPLEMENTARY INFORMATION: Section County, Texas. The NAICS industry 188 of the Consolidated Farm and Rural code for this enterprise is: 447110 Development Act of 1972, as established (gasoline stations with convenience under 29 CFR Part 75, authorizes the stores). United States Department of Agriculture DATES: All interested parties may submit to make or guarantee loans or grants to comments in writing no later than June finance industrial and business 21, 2011.

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DEPARTMENT OF LABOR regarding which states are eligible to Administration, Division of Strategic apply for WIA (Pub. L. 105–220, 29 Planning and Performance, 200 Employment and Training U.S.C. 2801 et seq.) incentive awards Constitution Avenue, NW., Room N– Administration under WIA section 503. The May 9, 5641, Washington, DC 20210. 2011, announcement did not include Telephone number: 202–693–3733 (this Workforce Investment Act of 1998 the appendix referencing which states is not a toll-free number). Fax: 202–693– (WIA); Notice of Incentive Funding passed the WIA portion and Adult 3490. E-mail: [email protected] or Availability for Program Year (PY) 2009 Education and Family Literacy Act of [email protected]. Information may Performance; Correction the incentives review, respectively; the also be found at the ETA Performance AGENCY: Employment and Training notice has been updated to include this Web site: http://www.doleta.gov/ Administration, Labor. appendix. Please note that no performance. information has changed on the notice, ACTION: Notice; correction. Correction nor has the number of states eligible for SUMMARY: The Employment and incentive funding. In the Federal Register published on Training Administration (ETA) DATES: This Notice is effective on June May 9, 2011, on page 26769, the PY published in the Federal Register on 7, 2011. 2008–FY 2009 Incentive Grants May 9, 2011, an announcement from the FOR INFORMATION CONTACT: Karen A. Exceeded State Performance Levels Department of Labor, in collaboration Staha or Luke Murren, U.S. Department chart (see Appendix) should be added to with the Department of Education, of Labor, Employment and Training read as:

APPENDIX

Incentive Grants PY 2008–FY 2009 Exceeded State Performance Levels State AEFLA WIA Title IB; WIA (Title IB) (adult education) AEFLA

Alabama ...... X ...... Alaska ...... Arizona ...... X X X Arkansas ...... X ...... California ...... X ...... Colorado ...... X ...... Connecticut ...... District of Columbia ...... Delaware ...... X ...... Florida ...... X ...... Georgia ...... Hawaii ...... Idaho ...... Illinois ...... X ...... Indiana ...... Iowa ...... Kansas ...... Kentucky ...... Louisiana ...... X ...... Maine ...... Maryland ...... Massachusetts ...... X ...... Michigan ...... Minnesota ...... X X X Mississippi ...... Missouri ...... X ...... Montana ...... Nebraska ...... Nevada ...... X ...... New Hampshire ...... X ...... New Jersey ...... New Mexico ...... New York ...... X ...... North Carolina ...... North Dakota ...... X X X Ohio ...... Oklahoma ...... Oregon ...... Pennsylvania ...... X ...... Puerto Rico ...... Rhode Island ...... X ...... South Carolina ...... South Dakota ...... Tennessee ...... X ...... Texas ...... X X X Utah ...... X ......

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APPENDIX—Continued

Incentive Grants PY 2008–FY 2009 Exceeded State Performance Levels State AEFLA WIA Title IB; WIA (Title IB) (adult education) AEFLA

Vermont ...... Virginia ...... Washington ...... West Virginia ...... Wisconsin ...... Wyoming ...... States in bold exceeded their performance levels for both AEFLA and WIA Title IB programs.

Signed in Washington, DC, on this 31st day June 17, 2011. The period for public Labor needs to collect new information of May 2011. comment which was to close on May 31, on the use and need of FMLA leave in Jane Oates, 2011, will be extended to June 17, 2011. order to update DOL’s understanding of Assistant Secretary for Employment and ADDRESSES: You may submit comments leave-taking behavior and to close Training. identified by ‘‘FMLA Survey’’ by either current data gaps remaining from the [FR Doc. 2011–13938 Filed 6–6–11; 8:45 am] one of the following methods: E-mail: previous surveys. To better understand BILLING CODE 4510–FN–P [email protected]; Mail, both employees’ and employers’ Hand Delivery, Courier: Division of experience with FMLA, two new Regulations, Legislation, and surveys will be conducted to collect DEPARTMENT OF LABOR Interpretation, Wage and Hour, U.S. information about the need for and the experience with family and medical Wage and Hour Division Department of Labor, Room S–3502, 200 Constitution Avenue, NW., Washington, leave from employees’ and employers’ perspectives. This study will help the Request (ICR) for the Family Medical DC 20210. Instructions: Please submit Department by providing information Leave Act (FMLA) Employee and one copy of your comments by only one on current workplace practices related Employer Surveys; Comment Request method. All submissions received must include the agency name and ‘‘FMLA to family and medical leave. An in- AGENCY: Wage and Hour Division, Survey’’ for this information collection. depth analysis of private sector FMLA Department of Labor. Because we continue to experience policies allows WHD to determine how ACTION: Notice and Extension of delays in receiving mail in the those policies affect the work-life comment period. Washington, DC area, commenters are balance of workers and the productivity strongly encouraged to transmit their and work flow of employers. The study SUMMARY: The Department of Labor comments electronically via e-mail or to enables DOL to shape future regulatory (DOL), as part of its continuing effort to submit them by mail early. Comments, options, craft interpretive guidance reduce paperwork and respondent (such as plain language fact sheets), burden, conducts a preclearance including any personal information provided, become a matter of public develop compliance programs consultation program to provide the (employer outreach and investigation general public and Federal agencies record. They will also be summarized and/or included in the request for OMB policies), and establish regulatory with an opportunity to comment on priorities based on sound, current data proposed and/or continuing collections approval of the information collection request. rather than on outdated data or of information in accordance with the anecdotal information. Finally, the Paperwork Reduction Act of 1995 FOR FURTHER INFORMATION CONTACT: study provides a data set by which DOL (PRA95). 44 U.S.C. 3056(c)(2)(A). This Mary Ziegler, Director, Division of can evaluate the effect on employer program helps to ensure that requested Regulations, Legislation, and compliance of a range of FMLA data can be provided in the desired Interpretation, Wage and Hour, U.S. activities—regulatory, educational, format, reporting burden (time and Department of Labor, Room S–3502, 200 investigative, and legal—on employer financial resources) is minimized, Constitution Avenue, NW., Washington, compliance. collection instruments are clearly DC 20210; telephone: (202) 693–0406 Two previous FMLA surveys have understood, and the impact of collection (this is not a toll-free number). Copies been conducted. The first FMLA study, requirements on respondents can be of this notice must be obtained in in which workers and employers were properly assessed. The Wage and Hour alternative formats (Large Print, Braille, surveyed to learn about family and Division is soliciting comments Audio Tape, or Disc), upon request, by medical leave policies and their effect concerning its proposal to collect calling (202) 693–0023 (not a toll-free on workers and their employers, was information on employees’ and number). TTY/TTD callers may dial toll- conducted in 1995 by the bipartisan employers’ experience with family and free (877) 889–5627 to obtain Commission on Family and Medical medical leave under the Family and information or request materials in Leave. The final report on this survey, Medical Leave Act (FMLA). A copy of alternative formats. titled ‘‘A Workable Balance: Report to the proposed information request can be SUPPLEMENTARY INFORMATION: Congress on Family and Medical Leave obtained by contacting the office listed I. Background: Given changes in Policies,’’ is available online at http:// below in the FOR FURTHER INFORMATION economic conditions and the Family www.dol.gov/whd/fmla/1995Report/ CONTACT section of this Notice. and Medical Leave Act (FMLA) family.htm. The second study was DATES: Written comments must be regulations since the 2000 employee conducted in 2000 by Westat at the submitted to the office listed in the and employer surveys, the Wage and request of the Department. The Westat ADDRESSES section below on or before Hour Division of the U.S. Department of study updated the 1995 data by

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administering employee and employer Estimated Total Burden Hours: 1,292 • Evaluate whether the proposed surveys similar to the 1995 surveys. The hours. collection of information is necessary second study entitled ‘‘Balancing the Total Burden Cost: $0. for the proper performance of the Needs of Families and Employers: For the FMLA Employer Survey: functions of the agency, including Family and Medical Leave Surveys, Frequency: Once. whether the information will have 2000 Update’’ is available on the Total Responses: 1,800 firms. practical utility; Department’s Web site at http:// Average Time per Response: 36 • Evaluate the accuracy of the www.dol.gov/whd/fmla/toc.htm. An minutes. agency’s estimate of the burden of the additional source of information came Estimated Total Burden Hours: 2,164 proposed collection of information from the Department’s Request for hours. including the validity of the Information (RFI) issued on December 1, Total Burden Cost: $0 methodology and assumptions used; • 2006. The RFI asked the public to Note that, due to rounding, the Enhance the quality, utility, and comment on their experiences with, and numbers for the totals may differ from clarity of the information to be collected; and observations of, the Department’s the sum of the component numbers. • administration of the law and the Comments submitted in response to this Minimize the burden of the effectiveness of the regulations. The request will be summarized and/or collection of information on those who qualitative data obtained provided a included in the request for the Office of are to respond, including through the detailed anecdotal picture of the Management and Budget approval; they use of appropriate automated, workings of the FMLA. The period for will also become a matter of public electronic, mechanical, or other conducting this study is expected to last record. technological collection techniques or other forms of information technology, no later than January 14, 2012. Dated: June 2, 2011. II. Desired Focus of Comments: The e.g., permitting electronic submissions Mary Ziegler, Department of Labor is soliciting of responses. comments concerning the above data Director, Division of Regulations, Legislation, ADDRESSES: Sunil Iyengar, National and Interpretation. collection for the FMLA Employee and Endowment for the Arts, 1100 Employer Surveys. Comments are [FR Doc. 2011–13977 Filed 6–6–11; 8:45 am] Pennsylvania Avenue, NW., Room 616, requested which: BILLING CODE 4510–27–P Washington, DC 20506–0001, telephone • Evaluate whether the proposed (202) 682–5424 (this is not a toll-free collection of information is necessary number), fax (202) 682–5677. NATIONAL FOUNDATION ON THE for the proper performance of the Kathleen Edwards, ARTS AND THE HUMANITIES functions of the agency, including Director, Administrative Services, National whether the information will have Proposed Collection; Comment Endowment for the Arts. practical utility; [FR Doc. 2011–13933 Filed 6–6–11; 8:45 am] • Evaluate the accuracy of the Request BILLING CODE 7537–01–P agency’s estimate of the burden of the ACTION: Notice. proposed collection of information, including the validity of the SUMMARY: The National Endowment for NATIONAL FOUNDATION ON THE methodology and assumptions used; the Arts (NEA), as part of its continuing ARTS AND THE HUMANITIES • Enhance the quality, utility, and effort to reduce paperwork and clarity of the information to be respondent burden, conducts a National Endowment for the Arts; collected; and preclearance consultation program to Proposed Collection; Comment • Minimize the burden of the provide the general public and federal Request collection of information on those who agencies with an opportunity to ACTION: are to respond, including through the comment on proposed and/or Notice. use of appropriate automated, continuing collections of information in SUMMARY: The National Endowment for electronic, mechanical, or other accordance with the Paperwork the Arts (NEA), as part of its continuing technological collection techniques or Reduction Act of 1995 (PRA95) [44 effort to reduce paperwork and other forms of information technology, U.S.C. 3506(c)(A)]. This program helps respondent burden, conducts a e.g., permitting electronic submissions to ensure that requested data can be preclearance consultation program to of responses. provided in the desired format, III. Current Actions: The DOL is provide the general public and federal reporting burden (time and financial agencies with an opportunity to requesting clearance for an employer resources) is minimized, collection and employee survey focusing on the comment on proposed and/or instruments are clearly understood, and continuing collections of information in Family and Medical Leave Act of 1993. the impact of collection requirements on Type of Review: New Information accordance with the Paperwork respondents can be properly assessed. Reduction Act of 1995 (PRA95) [44 Collection Request. Currently, the NEA is soliciting Agency: Wage and Hour Division. U.S.C. 3506(c)(A)]. This program helps comments concerning the proposed Title: Proposed Information Collection to ensure that requested data can be information collection on arts (ICR) for the Family Medical Leave Act provided in the desired format, participation in the U.S. A copy of the (FMLA) Employee and Employer reporting burden (time and financial current information collection request Surveys. resources) is minimized, collection OMB Number: None. can be obtained by contacting the office instruments are clearly understood, and Affected Public: Private sector, public listed below in the ADDRESSES section of the impact of collection requirements on sector, individuals, and households. this notice. respondents can be properly assessed. For the FMLA Employee survey: DATES: Written comments must be Currently, the NEA is soliciting Frequency: Once. submitted to the office listed in the comments concerning the proposed Total Responses: 3,000 Respondents. ADDRESSES section below on or before information collection on the Average Time per Response: 26 August 1, 2011. The NEA is particularly motivation and barriers associated with minutes. interested in comments which: attending selected arts activities. A copy

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of the current information collection SUMMARY: Representatives from Federal inventory of federal R&D in the request can be obtained by contacting research agencies, private industry, and spectrum arena. the office listed below in the address academia will discuss the future This workshop will present an section of this notice. research needs for developing opportunity for relevant interested DATES: Written comments must be innovative spectrum-sharing parties, including technical experts from submitted to the office listed in the technologies. private industry and public safety, together with academic researchers, to address section below on or before SUPPLEMENTARY INFORMATION: August 1, 2011. The NEA is particularly explore ongoing spectrum-related interested in comments which: Overview: This notice is issued by the Federal Government R&D activities as • Evaluate whether the proposed National Coordination Office for the listed in the WSRD–SSG inventory, and collection of information is necessary Networking and Information offer their expertise on developing for the proper performance of the Technology Research and Development recommendations for a wireless functions of the agency, including (NITRD) Program. Agencies of the technology innovation initiative. We whether the information will have NITRD Program are holding a technical will ask private industry participants to practical utility; workshop to bring together experts from suggest research avenues that they • Evaluate the accuracy of the private industry and academia to help believe are presently underrepresented agency’s estimate of the burden of the ‘‘create and implement a plan to in federal R&D and that are not being proposed collection of information facilitate research, development, pursued in private industry research including the validity of the experimentation, and testing by laboratories. The focus will be on methodology and assumptions used; researchers to explore innovative identifying R&D that may have large • Enhance the quality, utility, and spectrum-sharing technologies, potential payoffs for wireless clarity of the information to be including those that are secure and technologies and the nation’s economy collected; and resilient.’’ The workshop will take place at large, which are consistent with the • Minimize the burden of the on July 26, 2011 from 8:30 a.m. to 5 p.m. Federal Government’s role in collection of information on those who MT in Boulder, Colorado at the U.S. sponsoring important basic and applied are to respond, including through the Department of Commerce (DOC) research and development. The use of appropriate automated, Boulder Labs, 325 Broadway, Building 1 workshop will also address possible electronic, mechanical, or other Lobby, Boulder, Colorado 80305. This frameworks for supporting long-term technological collection techniques or event will be Webcast. For the event research that may result in yet-to-be- other forms of information technology, agenda and information about the conceived improvements in spectrum e.g., permitting electronic submissions Webcast, go to: http:// utilization. of responses. www.its.bldrdoc.gov/isart/WSRD/. Submitted by the National Science ADDRESSES: Sunil Iyengar, National Background: The dramatic rise of Foundation for the National Endowment for the Arts, 1100 radio frequency-based applications has Coordination Office (NCO) for Pennsylvania Avenue, NW., Room 616, sparked a new sense of urgency among Networking and Information Washington, DC 20506–0001, telephone federal users, commercial service Technology Research and Development (202) 682–5424 (this is not a toll-free providers, equipment developers, and (NITRD) on June 2, 2011. number), fax (202) 682–5677. spectrum management professionals on how best to manage and use the radio Suzanne H. Plimpton, Kathleen Edwards, spectrum. While near-term solutions Management Analyst, National Science Director, Administrative Services, National such as spectrum re-allocations are Foundation. Endowment for the Arts. critical to meeting national needs, so is [FR Doc. 2011–13943 Filed 6–6–11; 8:45 am] [FR Doc. 2011–13934 Filed 6–6–11; 8:45 am] the development of the next generation BILLING CODE 7555–01–P BILLING CODE 7537–01–P of technologies that can enable more efficient use of the radio spectrum. NITRD established the Wireless NATIONAL TRANSPORTATION NATIONAL SCIENCE FOUNDATION Spectrum Research and Development Senior Steering Group (WSRD–SSG) in SAFETY BOARD Toward Innovative Spectrum-Sharing late 2010. The committee was asked to Sunshine Act Meeting Technologies: A Technical Workshop identify current spectrum-related on Coordinating Federal Government/ research projects funded by the Federal Agenda Private Sector R&D Investments Government, and to work with the non- federal community, including the TIME AND DATE: 9:30 a.m., Tuesday, June AGENCY: The National Coordination academic, commercial, and public 21, 2011. Office (NCO) for Networking and safety sectors, to implement a plan that PLACE: NTSB Conference Center, 429 Information Technology Research and ‘‘facilitates research, development, L’Enfant Plaza, SW., Washington, DC Development (NITRD). experimentation, and testing by 20594. ACTION: Notice. researchers to explore innovative STATUS: The one item is open to the spectrum-sharing technologies,’’ in public. FOR FURTHER INFORMATION CONTACT: accordance with the Presidential Wendy Wigen at 703–292–4873 or Memorandum on Unleashing the MATTER TO BE CONSIDERED: 8240A [email protected]. Individuals who use a Wireless Broadband Revolution. WSRD– Marine Accident Report—Collision of telecommunications device for the deaf SSG operates under the auspices of the Tugboat/Barge Caribbean Sea/The (TDD) may call the Federal Information Networking and Information Resource with Amphibious Passenger Relay Service (FIRS) at 1–800–877–8339 Technology Research and Development Vessel DUKW 34, Philadelphia, between 8 a.m. and 8 p.m., Eastern time, (NITRD) program of the National Pennsylvania, July 7, 2010. Monday through Friday. Coordination Office (NCO), and has NEWS MEDIA CONTACT: Telephone: (202) DATES: July 26, 2011. recently put together a preliminary 314–6100

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The press and public may enter the reviews by external agencies, until person or upon its own initiative, grant NTSB Conference Center one hour prior further notice. Based on this request, the exemptions from the requirements of 10 to the meeting for set up and seating. NRC discontinued all review activities CFR Part 50, including Section Individuals requesting specific associated with the NMP3NPP COL 50.71(e)(3)(iii) when: (1) The accommodations should contact application. The NRC is currently exemptions are authorized by law, will Rochelle Hall at (202) 314–6305 by performing a detailed review of the not present an undue risk to public Friday, June 17, 2011. CCNPP3 RCOL application, as well as health or safety, and are consistent with The public may view the meeting via AREVA NP’s application for design the common defense and security; and a live or archived webcast by accessing certification of the U.S. EPR. (2) special circumstances are present. As a link under ‘‘News & Events’’ on the relevant to the requested exemption, 2.0 Request/Action NTSB home page at http:// special circumstances exist if: (1) www.ntsb.gov. The regulations specified in 10 CFR ‘‘Application of the regulation in the FOR MORE INFORMATION CONTACT: Candi 50.71(e)(3)(iii), require that an applicant particular circumstances would not Bing, (202) 314–6403 or by e-mail at for a combined license under 10 CFR serve the underlying purpose of the rule [email protected]. part 52 shall, during the period from or is not necessary to achieve the docketing of a COL application until the Friday, June 3, 2011. underlying purpose of the rule’’ (10 CFR Commission makes a finding under 10 Candi R. Bing, 50.12(a)(2)(ii)); or (2) ‘‘The exemption CFR 52.103(g) pertaining to facility would provide only temporary relief Federal Register Liaison Officer. operation, submit an annual update to from the applicable regulation and the [FR Doc. 2011–14121 Filed 6–3–11; 4:15 pm] the application’s Final Safety Analysis licensee or applicant has made good BILLING CODE 7533–01–P Report (FSAR), which is a part of the faith efforts to comply with the application. regulation’’ (10 CFR 50.12(a)(2)(v)). On March 31, 2009, UNE submitted The review of the NMP3NPP COL NUCLEAR REGULATORY Revision 1 to the COL application, application FSAR has been suspended COMMISSION including updates to the FSAR. since December 1, 2009. Since the COL [Docket No. 52–038; NRC–2008–0581] Pursuant to 10 CFR 50.71(e)(3)(iii), the application incorporates by reference next annual update was due by the application for a Standard Design Nine Mile Point 3 Nuclear Project, LLC December 2010. UNE has requested a Certification for the U.S. EPR, many and Unistar Nuclear Operating one-time exemption from the 10 CFR changes in the U.S. EPR FSAR require Services, LLC; Combined License 50.71(e)(3)(iii) requirements to submit an associated change to the COL Application for Nine Mile Point 3 the scheduled 2010 and 2011 FSAR application FSAR, and because the NRC Nuclear Power Plant; Exemption updates, and proposed for approval a review of the COL application is new submittal deadline of December 31, 1.0 Background suspended, the updates to the COL 2012, for the next FSAR update. In application FSAR will not be reviewed Nine Mile Point 3 Nuclear Project, addition, UNE has committed to submit by the NRC staff until the NMP3NPP LLC and UniStar Nuclear Operating an updated FSAR prior to resumption of COL application review is resumed. Services, LLC (UniStar) submitted to the NRC review for the NMP3NPP COL Thus, the optimum time to prepare a U.S. Nuclear Regulatory Commission application. revision to the COL application FSAR is (NRC) a Combined License (COL) In summary, the requested exemption sometime prior to UNE requesting the Application for a single unit of AREVA is a one-time schedule change from the NRC to resume its review. To prepare NP’s U.S. EPR in accordance with the requirements of 10 CFR 50.71(e)(3)(iii). and submit a COL application FSAR requirements of Title 10 of the Code of The exemption would allow UNE to update when the review remains Federal Regulations (10 CFR), subpart C submit the next FSAR update at a later suspended and in the absence of any of part 52, ‘‘Licenses, Certifications, and date, but still in advance of the NRC decision by UNE to request the NRC to Approvals for Nuclear Power Plants.’’ reinstating its review of the application, resume the review, would require UNE This reactor is to be identified as Nine and in any event, by December 31, 2012. to spend significant time and effort and Mile Point 3 Nuclear Power Plant The current FSAR update schedule would be of no value, particularly due (NMP3NPP), and located adjacent to the could not be changed, absent the to the fact that the U.S. EPR FSAR is current Nine Mile Point Nuclear Station, exemption. UNE requested the still undergoing periodic revisions and Unit 1 and Unit 2, in Oswego County, exemption by letter dated December 9, updates. UNE commits to submit the New York. The NMP3NPP COL 2010 (Agencywide Documents Access next FSAR update prior to any request application incorporates by reference and Management System (ADAMS) to the NRC to resume review of the COL AREVA NP’s application for a Standard Accession No. ML103480076). UNE has application and, in any event, by Design Certification for the U.S. EPR. affirmed that this request letter replaced December 31, 2012, and would need to Additionally, the NMP3NPP COL UNE’s previous correspondence of identify all changes to the U.S. EPR application is based upon the U.S. EPR November 18, 2010 (ML103260479), in FSAR in order to prepare a COL reference COL (RCOL) application for its entirety, on the same request for application FSAR revision that UniStar’s Calvert Cliffs Nuclear Power exemption from 10 CFR 50.71(e)(3)(iii). accurately and completely reflects the Plant, Unit 3 (CCNPP3). The NRC The NRC notes that the granting of the changes to the U.S. EPR FSAR. docketed the NMP3NPP COL exemption applies prospectively, rather The requested one-time schedule application on December 12, 2008. On than retroactively, so this exemption exemption to defer submittal of the next December 1, 2009, UniStar Nuclear applies to required actions from the date update to the NMP3NPP COL Energy (UNE), which is acting on behalf of exemption issuance and does not application FSAR would provide only of the COL applicants Nine Mile Point retroactively authorize a previous temporary relief from the regulations of 3 Nuclear Project, LLC and UniStar failure to take required action. 10 CFR 50.71(e)(3)(iii). UNE has made Nuclear Operating Services, LLC, good faith efforts to comply with 10 CFR requested that the NRC temporarily 3.0 Discussion 50.71(e)(3)(iii) by submitting Revision 1 suspend the NMP3NPP COL application Pursuant to 10 CFR 50.12, the NRC to the COL application on March 31, review, including any supporting may, upon application by any interested 2009, prior to requesting the review

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suspension. Revision 1 incorporated regulation in the particular identified in 10 CFR 51.22(c)(25), and information provided in prior circumstances would not serve the justified by the NRC staff as follows: supplements and standardized language underlying purpose of the rule or is not 10 CFR 51.22: with the RCOL application. necessary to achieve the underlying (c) The following categories of actions are purpose of the rule’’ (10 CFR Authorized by Law categorical exclusions: 50.12(a)(2)(ii)); or (2) ‘‘The exemption (25) Granting of an exemption from the The exemption is a one-time schedule would provide only temporary relief requirements of any regulation of this exemption from the requirements of 10 from the applicable regulation and the chapter, provided that— CFR 50.71(e)(3)(iii). The exemption licensee or applicant has made good (i) There is no significant hazards would allow UNE to submit the next faith efforts to comply with the consideration; NMP3NPP COL application FSAR regulation’’ (10 CFR 50.12(a)(2)(v)). The criteria for determining whether there is no significant hazards consideration are update on or before December 31, 2012. The underlying purpose of 10 CFR As stated above, 10 CFR 50.12 allows found in 10 CFR 50.92. The proposed action 50.71(e)(3)(iii) is to provide for a timely involves only a schedule change regarding the NRC to grant exemptions. The NRC and comprehensive update of the FSAR the submission of an update to the staff has determined that granting UNE associated with a COL application in application for which the licensing review the requested one-time exemption from order to support an effective and has been suspended. Therefore, there are no the requirements of 10 CFR efficient review by the NRC staff and significant hazards considerations because 50.71(e)(3)(iii) will provide only issuance of the NRC staff’s safety granting the proposed exemption would not: temporary relief from this regulation (1) Involve a significant increase in the evaluation report. As discussed above, probability or consequences of an accident and will not result in a violation of the the requested one-time exemption is Atomic Energy Act of 1954, as amended, previously evaluated; or solely administrative in nature, in that (2) Create the possibility of a new or or the NRC’s regulations. Therefore, the it pertains to a one-time schedule different kind of accident from any accident exemption is authorized by law. change for submittal of revisions to an previously evaluated; or No Undue Risk to Public Health and application under 10 CFR Part 52, for (3) Involve a significant reduction in a Safety which a license has not been granted. margin of safety. The requested one-time exemption will (ii) There is no significant change in the The underlying purpose of 10 CFR types or significant increase in the amounts permit UNE time to carefully review the 50.71(e)(3)(iii) is to provide for a timely of any effluents that may be released offsite; most recent revisions of the U.S. EPR and comprehensive update of the FSAR The proposed action involves only a FSAR, and fully incorporate these associated with a COL application in schedule change which is administrative in revisions into a comprehensive update order to support an effective and nature, and does not involve any changes to of the FSAR associated with the be made in the types or significant increase efficient review by the NRC staff and NMP3NPP COL application. This one- in the amounts of effluents that may be issuance of the NRC staff’s safety time exemption will support the NRC released offsite. evaluation report. The requested staff’s effective and efficient review of (iii) There is no significant increase in exemption is solely administrative in individual or cumulative public or the COL application when resumed, as nature, in that it pertains to the occupational radiation exposure; well as issuance of the safety evaluation schedule for submittal to the NRC of Since the proposed action involves only a report. For this reason, application of 10 revisions to an application under 10 schedule change which is administrative in CFR 50.71(e)(3)(iii) in the particular CFR part 52, for which a license has not nature, it does not contribute to any circumstances is not necessary to significant increase in occupational or public been granted. In addition, since the achieve the underlying purpose of that radiation exposure. review of the application has been rule. Therefore, special circumstances (iv) There is no significant construction suspended, any update to the exist under 10 CFR 50.12(a)(2)(ii). In impact; application submitted by UNE will not The proposed action involves only a addition, special circumstances are also be reviewed by the NRC at this time. schedule change which is administrative in present under 10 CFR 50.12(a)(2)(v) Based on the nature of the requested nature; the application review is suspended because granting a one-time exemption exemption as described above, no new until further notice, and there is no from 10 CFR 50.71(e)(3)(iii) would accident precursors are created by the consideration of any construction at this provide only temporary relief, and UNE time, and hence the proposed action does not exemption; thus, neither the probability, has made good faith efforts to comply involve any construction impact. nor the consequences of postulated with the regulation by submitting (v) There is no significant increase in the accidents are increased. Therefore, there Revision 1 to the COL application on potential for or consequences from is no undue risk to public health and radiological accidents; and March 31, 2009, prior to requesting the safety. The proposed action involves only a review suspension. Revision 1 schedule change which is administrative in Consistent With Common Defense and incorporated information provided in nature, and does not impact the probability Security prior supplements and standardized or consequences of accidents,and The requested exemption would language with the RCOL application. (vi) The requirements from which an allow UNE to submit the next FSAR For the above reasons, the special exemption is sought involve: update prior to requesting the NRC to circumstances required by 10 CFR (B) Reporting requirements; The exemption request involves submitting resume the review and, in any event, on 50.12(a)(2) for the granting of an exemption from 10 CFR 50.71(e)(3)(iii) an updated FSAR by UNE and or before December 31, 2012. This (G) Scheduling requirements; schedule change has no relation to exist. The proposed exemption relates to the security issues. Therefore, the common Eligibility for Categorical Exclusion schedule for submitting FSAR updates to the defense and security is not impacted by From Environmental Review NRC this exemption. With respect to the exemption’s 4.0 Conclusion Special Circumstances impact on the quality of the human Accordingly, the NRC has determined Special circumstances, in accordance environment, the NRC has determined that, pursuant to 10 CFR 50.12, the with 10 CFR 50.12(a)(2), are present that this specific exemption request is exemption is authorized by law, will not whenever: (1) ‘‘Application of the eligible for categorical exclusion as present an undue risk to the public

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health and safety, and is consistent with 3. Enhance the quality, utility, and OFFICE OF PERSONNEL the common defense and security. Also, clarity of the information to be MANAGEMENT special circumstances are present. collected; and Therefore, the NRC hereby grants UNE 4. Minimize the burden of the Submission for Review: Health a one-time exemption from the collection of information on those who Benefits Election Form (OPM 2809) requirements of 10 CFR 50.71(e)(3)(iii) are to respond, including through the AGENCY: U.S. Office of Personnel pertaining to the NMP3NPP COL use of appropriate automated, Management. application to allow submittal of the electronic, mechanical, or other ACTION: 60-Day Notice and request for next FSAR update prior to any request technological collection techniques or comments. to the NRC to resume the review, and other forms of information technology, in any event, no later than December 31, e.g., permitting electronic submissions SUMMARY: The Retirement Services, 2012. of responses. Office of Personnel Management (OPM) Pursuant to 10 CFR 51.22, the NRC offers the general public and other DATES: Comments are encouraged and has determined that the exemption Federal agencies the opportunity to will be accepted until August 8, 2011. request meets the applicable categorical comment on an extension, without This process is conducted in accordance exclusion criteria set forth in 10 CFR change, of a currently approved with 5 CFR 1320.1. 51.22(c)(25), and the granting of this information collection request (ICR) exemption will not have a significant ADDRESSES: Interested persons are 3206–0141, Health Benefits Election effect on the quality of the human invited to submit written comments on Form. As required by the Paperwork environment. This exemption is the proposed information collection to Reduction Act of 1995 (Pub. L. 104–13, effective upon issuance. the U.S. Office of Personnel 44 U.S.C. chapter 35) as amended by the Dated at Rockville, Maryland, this 26th day Management, Linda Bradford (Acting), Clinger-Cohen Act (Pub. L. 104–106), of May 2011. Deputy Associate Director, Retirement OPM is soliciting comments for this For the Nuclear Regulatory Commission. Operations, Retirement Services, 1900 E collection. The Office of Management Joseph Colaccino, Street, NW., Room 3305, Washington, and Budget is particularly interested in DC 20415–3500 or sent via electronic Chief, EPR Projects Branch, Division of New comments that: Reactor Licensing, Office of New Reactors. mail to [email protected]. 1. Evaluate whether the proposed collection of information is necessary [FR Doc. 2011–13816 Filed 6–6–11; 8:45 am] FOR FURTHER INFORMATION CONTACT: A for the proper performance of functions BILLING CODE 7590–01–P copy of this ICR, with applicable supporting documentation, may be of the agency, including whether the obtained by contacting the Retirement information will have practical utility; 2. Evaluate the accuracy of the Services Publications Team, Office of agency’s estimate of the burden of the OFFICE OF PERSONNEL Personnel Management, 1900 E Street, proposed collection of information, MANAGEMENT NW., Room 4332, Washington, DC including the validity of the 20415, Attention: Cyrus S. Benson, or methodology and assumptions used; Submission for Review: Designation of sent via electronic mail to Beneficiary (FERS) [SF 3102] 3. Enhance the quality, utility, and [email protected] or faxed to clarity of the information to be (202) 606–0910. AGENCY: U.S. Office of Personnel collected; and Management. SUPPLEMENTARY INFORMATION: The 4. Minimize the burden of the collection of information on those who ACTION: 60-day notice and request for Designation of Beneficiary (FERS) is are to respond, including through the comments. used by an employee or an annuitant covered under the Federal Employees use of appropriate automated, SUMMARY: The Retirement Services, Retirement System to designate a electronic, mechanical, or other Office of Personnel Management (OPM) beneficiary to receive any lump sum technological collection techniques or offers the general public and other due in the event of his/her death. other forms of information technology, e.g., permitting electronic submissions federal agencies the opportunity to Analysis comment on a revised information of responses. collection request (ICR) 3206–0173, Agency: Retirement Operations, DATES: Comments are encouraged and Designation of Beneficiary (FERS). As Retirement Services, Office of Personnel will be accepted until August 8, 2011. required by the Paperwork Reduction Management. This process is conducted in accordance Act of 1995 (Pub. L. 104–13, 44 U.S.C. Title: Designation of Beneficiary with 5 CFR 1320.1. chapter 35) as amended by the Clinger- (FERS). ADDRESSES: Interested persons are Cohen Act (Pub. L. 104–106), OPM is OMB Number: 3206–0173. invited to submit written comments on soliciting comments for this collection. the proposed information collection to The Office of Management and Budget Frequency: On occasion. U.S. Office of Personnel Management, is particularly interested in comments Affected Public: Individuals or Linda Bradford (Acting) Deputy that: households. Associate Director, Retirement 1. Evaluate whether the proposed Number of Respondents: 3,110. Operations, Retirement Services, 1900 E collection of information is necessary Estimated Time per Respondent: 15 Street, NW., Room 3305, Washington, for the proper performance of functions minutes. DC 20415–3500 or sent via electronic of the agency, including whether the Total Burden Hours: 777. mail to [email protected]. information will have practical utility; FOR FURTHER INFORMATION CONTACT: A 2. Evaluate the accuracy of the U.S. Office of Personnel Management. copy of this ICR with applicable agency’s estimate of the burden of the John Berry, supporting documentation, may be proposed collection of information, Director. obtained by contacting the Retirement including the validity of the [FR Doc. 2011–13973 Filed 6–6–11; 8:45 am] Services Publications Team, Office of methodology and assumptions used; BILLING CODE 6325–38–P Personnel Management, 1900 E Street,

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NW., Room 4332, Washington, DC 3. Enhance the quality, utility, and OFFICE OF PERSONNEL 20415, Attention: Cyrus S. Benson, or clarity of the information to be MANAGEMENT sent via electronic mail to collected; and [email protected] or faxed to 4. Minimize the burden of the Privacy Act of 1974: Update Existing (202) 606–0910. collection of information on those who System of Records SUPPLEMENTARY INFORMATION: OPM 2809 are to respond, including through the AGENCY: U.S. Office of Personnel is used by annuitants and former use of appropriate automated, Management. electronic, mechanical, or other spouses to elect, cancel, suspend, or ACTION: Update OPM/GOVT–1, General change health benefits enrollment technological collection techniques or Personnel Records. during periods other than open season. other forms of information technology, e.g., permitting electronic submissions SUMMARY: The U.S. Office of Personnel Analysis of responses. Management (OPM) proposes to update Agency: Retirement Operations, DATES: Comments are encouraged and OPM/GOVT–1, General Personnel Retirement Services, Office of Personnel will be accepted until August 8, 2011. Records, System of Records. This action Management. This process is conducted in accordance is necessary to meet the requirements of Title: Health Benefits Election Form. with 5 CFR 1320.1. the Privacy Act to publish in the OMB Number: 3206–0141. Federal Register notice of the existence ADDRESSES: Frequency: On occasion. Interested persons are and character of records maintained by Affected Public: Individuals or invited to submit written comments on the agency (5 U.S.C. 552a(e)(4) and households. the proposed information collection to (11)). Number of Respondents: 30,000. U.S. Office of Personnel Management, Linda Bradford (Acting), Deputy DATES: This action will be effective Estimated Time per Respondent: 45 without further notice on July 7, 2011 minutes. Associate Director, Retirement Operations, Retirement Services, 1900 E unless comments are received that Total Burden Houses: 16,667 hours. Street, NW., Room 3305, Washington, would result in a contrary U.S. Office of Personnel Management. DC 20415–3500 or sent via electronic determination. John Berry, mail to [email protected]. ADDRESSES: Send written comments to Director. FOR FURTHER INFORMATION CONTACT: A the U.S. Office of Personnel [FR Doc. 2011–13980 Filed 6–6–11; 8:45 am] copy of this ICR, with applicable Management, Manager, OCIO/RM, 1900 BILLING CODE 6325–38–P supporting documentation, may be E Street, NW., Washington, DC 20415. obtained by contacting the Retirement FOR FURTHER INFORMATION CONTACT: U.S. Services Publications Team, Office of Office of Personnel Management, OFFICE OF PERSONNEL Personnel Management, 1900 E Street, Manager, OCIO/RM, 1900 E Street, NW., MANAGEMENT NW., Room 4332, Washington, DC Washington, DC 20415. Submission for Review: RI 20–120, 20415, Attention: Cyrus S. Benson, or SUPPLEMENTARY INFORMATION: The OPM Request for Change to Unreduced sent via electronic mail to system of record notices subject to the Annuity [email protected] or faxed to Privacy Act of 1974 (5 U.S.C. 552a), as (202) 606–0910. amended, have been published in the AGENCY: U.S. Office of Personnel SUPPLEMENTARY INFORMATION: RI 20–120 Federal Register. The proposed changes Management. is designed to collect information the include the following: (1) Replaced the ACTION: 60-day notice and request for Office of Personnel Management needs words ‘‘owned by’’ with the words comments. to comply with the wishes of the retired ‘‘records of’’ in Note 1, (2) Category of Federal employee whose marriage has Records in the System ‘‘n’’ removed due SUMMARY: The Retirement Services, ended. This form provides an organized to redundancy and coverage in other Office of Personnel Management (OPM) way for the retiree to give us everything record categories and Category of offers the general public and other at one time. Records in the System ‘‘o’’ replaced it to Federal agencies the opportunity to become ‘‘n’’, (3) renumbered Note 6 to comment on a revised information Analysis Note 8, (4) added a new Note 6—‘‘CPDF collection request (ICR) 3206–0245, Agency: Retirement Operations, and EHRI data system’s Central Request for Change to Unreduced Retirement Services, Office of Personnel Employee Record (CER) are part of Annuity. As required by the Paperwork Management. OPM/Govt-1 system of records. CPDF Reduction Act of 1995 (Pub. L. 104–13, and CER are highly reliable sources of Title: Request for Change to 44 U.S.C. chapter 35) as amended by the statistical data on the workforce of the Unreduced Annuity. Clinger-Cohen Act (Pub. L. 104–106), Federal government. However, the OPM is soliciting comments for this OMB Number: 3206–0245. accuracy and completeness of each data collection. The Office of Management Frequency: On occasion. element within the individual records and Budget is particularly interested in Affected Public: Individuals or that comprise the aggregate files are not comments that: households. guaranteed, and should not be used as 1. Evaluate whether the proposed Number of Respondents: 5,000. the sole tool or as a substitute for the collection of information is necessary Estimated Time per Respondent: 30 Official Personnel Folder (OPF) in for the proper performance of functions minutes. making personnel determinations or of the agency, including whether the Total Burden Hours: 2,500. decisions concerning individuals’’; (5) information will have practical utility; the addition of Note 7—‘‘The eOPF 2. Evaluate the accuracy of the U.S. Office of Personnel Management. Application within EHRI may contain agency’s estimate of the burden of the John Berry, documents and information beyond the proposed collection of information, Director. scope and requirements of the OPF as including the validity of the [FR Doc. 2011–13982 Filed 6–6–11; 8:45 am] documented in OPM’s Guide to methodology and assumptions used; BILLING CODE 6325–38–P Personnel Recordkeeping. Those

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documents and information in the eOPF employee to access the records within this advancement (e.g., an administrative Application that are beyond the scope of system, such a request must be honored. intern program). the documented requirements are not g. Records contained in the Central considered part of the OPF or OPM/ CATEGORIES OF INDIVIDUALS COVERED BY THE Personnel Data File (CPDF) maintained GOVT–1’’, (6) removal of a Federal SYSTEM: by OPM and exact substantive Register notice date for OPM’s internal Current and former Federal representations in agency manual or system of records referenced in Note 8 employees as defined in 5 U.S.C. 2105. automated personnel information due to irrelevancy, (7) the addition of (Volunteers, grantees, and contract systems. These data elements include Note 9—‘‘When copies of records employees on whom the agency many of the above records along with become part of an investigative process, maintains records may also be covered disability, race/ethnicity, national those copies become subject to that by this system). origin, pay, and performance system’s notice covering the information from other OPM and agency CATEGORIES OF RECORDS IN THE SYSTEM: investigative process; i.e., if during an systems of records. A definitive list of investigation, the OPM Federal All categories of records may include CPDF data elements is contained in Investigative Services Division makes identifying information, such as OPM’s Operating Manuals, The Guide to copies of records contained in an name(s), date of birth, home address, Central Personnel Data File Reporting Official Personnel Folder, those mailing address, social security number, Requirements and The Guide to documents become part of OPM Central- and home telephone. This system Personnel Data Standards. 9 Personnel Investigation Records includes, but is not limited to, contents h. Records on the SES maintained by system of records and are subject to that of the OPF as specified in OPM’s agencies for use in making decisions system’s routine uses, and (8) an update Operating Manual, ‘‘The Guide to affecting incumbents of these positions, to the System Manager and Address Personnel Recordkeeping.’’ Records in e.g., relating to sabbatical leave information. this system include: programs, reassignments, and details, a. Records reflecting work experience, U.S. Office of Personnel Management. that are perhaps unique to the SES and education level achieved, and that may be filed in the employee’s OPF. John Berry, specialized education or training These records may also serve as the Director. obtained outside of Federal service. basis for reports submitted to OPM for b. Records reflecting Federal service OPM/GOVT–1 implementing OPM’s oversight and documenting work experience and responsibilities concerning the SES. SYSTEM NAME: specialized education received while i. Records on an employee’s activities employed. Such records contain General Personnel Records. on behalf of the recognized labor information about past and present organization representing agency SYSTEM LOCATION: positions held; grades; salaries; duty employees, including accounting of station locations; and notices of all official time spent and documentation Records on current Federal employees personnel actions, such as are located within the employing in support of per diem and travel appointments, transfers, reassignments, expenses. agency. Records maintained in paper details, promotions, demotions, may also be located at OPM or with reductions-in-force, resignations, Note 4: Alternatively, such records may be retained by an agency payroll office and thus personnel officers, or at other separations, suspensions, OPM approval designated offices of local installations be subject to the agency’s internal Privacy of disability retirement applications, Act system for payroll records. The OPM/ of the department or agency that retirement, and removals. employs the individual. When agencies GOVT–1 system does not cover general c. Records on participation in the agency payroll records. determine that duplicates of these Federal Employees’ Group Life j. To the extent that the records listed records need to be located in a second Insurance Program and Federal office, e.g., an administrative office here are also maintained in an agency Employees’ Health Benefits Program. electronic personnel or microform closer to where the employee actually d. Records relating to an records system, those versions of these works, such copies are covered by this Intergovernmental Personnel Act records are considered to be covered by system. Some agencies have employed assignment or Federal-private sector this system notice. Any additional the Enterprise Human Resource exchange program. Integration (EHRI) data system to store copies of these records (excluding their records electronically. Although Note 2: Some of these records may also performance ratings of record and stored in EHRI, agencies are still become part of the OPM/CENTRAL–5, conduct-related documents maintained Intergovernmental Personnel Act Assignment by first line supervisors and managers responsible for the maintenance of their Record system. records. covered by the OPM/GOVT–2 system) Former Federal employees’ paper e. Records relating to participation in maintained by agencies at remote field/ Official Personnel Folders (OPFs) are an agency Federal Executive or Senior administrative offices from where the located at the National Personnel Executive Service (SES) Candidate original records exist are considered Records Center, National Archives and Development Program. part of this system. Records Administration (NARA), 111 Note 3: Some of these records may also Note 5: It is not the intent of OPM to limit Winnebago Street, St. Louis, Missouri become part of the OPM/Central–10 Federal this system of records only to those records 63118. Former Federal employees’ Executive Institute Program Participant physically within the OPF. Records may be electronic Official Personnel Folders Records and OPM/CENTRAL–13 Executive filed in other folders located in offices other Personnel Records systems. (eOPF) are located in the EHRI data than where the OPF is located. Further, as f. Records relating to Government- indicated in the records location section, system that is administered by NARA. some of these records may be duplicated for Note 1: The records in this system are sponsored training or participation in an maintenance at a site closer to where the records of the OPM and must be provided to agency’s Upward Mobility Program or employee works (e.g., in an administrative those OPM employees who have an official other personnel program designed to office or supervisors work folder) and still be need or use for those records. Therefore, if an broaden an employee’s work covered by this system. In addition, a employing agency is asked by an OPM experiences and for purposes of working file that a supervisor or other agency

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official is using that is derived from OPM/ source of factual data about a person’s f. To disclose, to health insurance GOVT–1 is covered by this system notice. Federal employment while in the carriers contracting with OPM to This system also includes working files service and after his or her separation. provide a health benefits plan under the derived from this notice that management is Records in this system have various Federal Employees Health Benefits using in its personnel management capacity. uses by agency personnel offices, Program, information necessary to k. Records relating to designations for including screening qualifications of identify enrollment in a plan, to verify lump sum death benefits. employees; determining status, eligibility for payment of a claim for l. Records relating to classified eligibility, and employee’s rights and health benefits, or to carry out the information nondisclosure agreements. benefits under pertinent laws and coordination or audit of benefit m. Records relating to the Thrift regulations governing Federal provisions of such contracts. Savings Plan (TSP) concerning the employment; computing length of g. To disclose information to a starting, changing, or stopping of service; and other information needed to Federal, State, or local agency for contributions to the TSP as well as how provide personnel services. These determination of an individual’s the individual wants the investments to records may also be used to locate entitlement to benefits in connection be made in the various TSP Funds. individuals for personnel research. with Federal Housing Administration Note 6: CPDF and EHRI data system’s programs. Central Employee Record (CER) are part of ROUTINE USES OF RECORDS MAINTAINED IN THE h. To consider and select employees OPM/GOVT–1 system of records. CPDF and SYSTEMS, INCLUDING CATEGORIES OF USERS AND for incentive awards and other honors CER are highly reliable sources of statistical THE PURPOSES OF SUCH USES: and to publicize those granted. This data on the workforce of the Federal These records and information in may include disclosure to other public government. However, the accuracy and these records may be used— and private organizations, including completeness of each data element within the a. To disclose information to news media, which grant or publicize individual records that comprise the aggregate files are not guaranteed, and should Government training facilities (Federal, employee recognition. not be used as the sole tool or as a substitute State, and local) and to non-Government i. To consider employees for for the OPF in making personnel training facilities (private vendors of recognition through quality-step determinations or decisions concerning training courses or programs, private increases and to publicize those granted. individuals. schools, etc.) for training purposes. This may include disclosure to other b. To disclose information to public and private organizations, Note 7: The eOPF Application within EHRI education institutions on appointment including news media, which grant or may contain documents and information publicize employee recognition. beyond the scope and requirements of the of a recent graduate to a position in the Federal service, and to provide college j. To disclose information to officials OPF as documented in OPM’s Guide to of labor organizations recognized under Personnel Recordkeeping. Those documents and university officials with and information in the eOPF Application that information about their students 5 U.S.C. chapter 71 when relevant and are beyond the scope of the documented working in the Student Career necessary to their duties of exclusive requirements are not considered part of the Experience Program, Volunteer Service, representation concerning personnel OPF or OPM/GOVT–1. or other similar programs necessary to a policies, practices, and matters affecting n. Records maintained in accordance student’s obtaining credit for the working conditions. with E.O. 13490, section 4(e), January experience gained. Note 8: The release of updated home 21, 2009. These records include the c. To disclose information to officials addresses of all bargaining unit employees to ethics pledges and all pledge waiver of foreign governments for clearance labor organizations recognized under 5 before a Federal employee is assigned to U.S.C. chapter 71 from an accurate internal certifications with respect thereto. system of records is necessary for full and that country. AUTHORITY FOR MAINTENANCE OF THE SYSTEM proper discussion, understanding, and INCLUDES THE FOLLOWING WITH ANY REVISIONS d. To disclose information to the negotiation of subjects within the scope of OR AMENDMENTS: Department of Labor, Department of collective bargaining under 5 U.S.C. Veterans Affairs, Social Security 7114(b)(4). OPM has determined that 5 U.S.C. 1302, 2951, 3301, 3372, 4118, retrieval of home addresses from OPM/ 8347, and Executive Orders 9397, as Administration, Department of Defense, or any other Federal agencies that have GOVT–1 or any other system of records amended by 13478, 9830, and 12107. administered by OPM would yield a great special civilian employee retirement deal of inaccurate information because the PURPOSES: programs; or to a national, State, county, home addresses are not regularly updated, The OPF, which may exist in various municipal, or other publicly recognized and frequently are inaccurate. Consequently, approved media, and other general charitable or income security the release of the home addresses from this personnel records files, is the official administration agency (e.g., State system would not serve the purpose of the repository of the records, reports of unemployment compensation agencies), disclosure, namely, the furnishing of correct personnel actions, and the when necessary to adjudicate a claim and useful information. Use of this system, under the retirement, insurance, which is not wholly automated, would documentation required in connection require an inordinate amount of time to with these actions affected during an unemployment, or health benefits locate information that was not requested, employee’s Federal service. The programs of the OPM or an agency cited namely, inaccurate home addresses. personnel action reports and other above, or to an agency to conduct an Accordingly, home addresses will not be documents, some of which are filed in analytical study or audit of benefits released from OPM/GOVT–1 or any other the OPF, give legal force and effect to being paid under such programs. system administered by OPM, but should be personnel transactions and establish e. To disclose information necessary released from an accurate internal system. employee rights and benefits under to the Office of Federal Employees k. To disclose pertinent information pertinent laws and regulations Group Life Insurance to verify election, to the appropriate Federal, State, or governing Federal employment. declination, or waiver of regular and/or local agency responsible for These files and records are optional life insurance coverage, investigating, prosecuting, enforcing, or maintained by OPM and agencies in eligibility for payment of a claim for life implementing a statute, rule, regulation, accordance with OPM regulations and insurance, or to TSP election change or order, when the disclosing agency instructions. They provide the basic and designation of beneficiary. becomes aware of an indication of a

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violation or potential violation of civil proceeding before a court, adjudicative w. To disclose, in response to a or criminal law or regulation. body, or other administrative body request for discovery or for appearance l. To disclose information to any before which the agency is authorized to of a witness, information that is relevant source from which additional appear, when: to the subject matter involved in a information is requested (to the extent 1. the agency, or any component pending judicial or administrative necessary to identify the individual, thereof; or proceeding. inform the source of the purpose(s) of 2. any employee of the agency in his x. To disclose to a requesting agency, the request, and to identify the type of or her official capacity; or organization, or individual the home information requested), when necessary 3. any employee of the agency in his address and other relevant information to obtain information relevant to an or her individual capacity where the on those individuals who it reasonably agency decision to hire or retain an Department of Justice or the agency has believed might have contracted an employee, issue a security clearance, agreed to represent the employee; or illness or might have been exposed to or conduct a security or suitability 4. the United States, when the agency suffered from a health hazard while investigation of an individual, classify determines that litigation is likely to employed in the Federal workforce. jobs, let a contract, or issue a license, affect the agency or any of its y. To disclose specific civil service grant, or other benefits. components, is a party to litigation or employment information required under has an interest in such litigation, and law by the Department of Defense on Note 9: When copies of records become the use of such records by the part of an investigative process, those copies individuals identified as members of the become subject to that systems’ notice Department of Justice or the agency is Ready Reserve to assure continuous covering the investigative process i.e., if deemed by the agency to be relevant and mobilization readiness of Ready Reserve during an investigation, the OPM Federal necessary to the litigation provided, units and members, and to identify Investigative Services Division makes copies however, that in each case it has been demographic characteristics of civil of records contained in an Official Personnel determined that the disclosure is service retirees for national emergency Folder; those documents become part of OPM compatible with the purpose for which mobilization purposes. Central–9 Personnel Investigation Records the records were collected. z. To disclose information to the system of records and are subject to that r. By the National Archives and Department of Defense, National systems’ routine uses. Records Administration in records Oceanic and Atmospheric m. To disclose to a Federal agency in management inspections and its role as Administration, U.S. Public Health the executive, legislative, or judicial Archivist. Service, Department of Veterans Affairs, branch of Government, in response to its s. By the agency maintaining the and the U.S. Coast Guard needed to request, or at the initiation of the agency records or by the OPM to locate effect any adjustments in retired or maintaining the records, information in individuals for personnel research or retained pay required by the dual connection with the hiring of an survey response, and in the production compensation provisions of section employee, the issuance of a security of summary descriptive statistics and 5532 of title 5, United States Code. clearance or determination concerning analytical studies in support of the aa. To disclose information to the eligibility to hold a sensitive position, function for which the records are Merit Systems Protection Board or the the conducting of an investigation for collected and maintained, or for related Office of the Special Counsel in purposes of a credentialing, national workforce studies. While published connection with appeals, special studies security, fitness, or suitability statistics and studies do not contain of the civil service and other merit adjudication concerning an individual, individual identifiers, in some systems, review of OPM rules and the classifying or designation of jobs, instances, the selection of elements of regulations, investigation of alleged or the letting of a contract, the issuance of data included in the study may be possible prohibited personnel practices, a license, grant, or other benefit by the structured in such a way as to make the and such other functions promulgated requesting agency, or the lawful data individually identifiable by in 5 U.S.C. chapter 12, or as may be statutory, administrative, or inference. authorized by law. investigative purpose of the agency to t. To provide an official of another bb. To disclose information to the the extent that the information is Federal agency information needed in Equal Employment Opportunity relevant and necessary to the requesting the performance of official duties Commission when requested in agency’s decision. related to reconciling or reconstructing connection with investigations of n. To disclose information to the data files, in support of the functions for alleged or possible discrimination Office of Management and Budget at any which the records were collected and practices in the Federal sector, stage in the legislative coordination and maintained. examination of Federal affirmative clearance process in connection with u. When an individual to whom a employment programs, compliance by private relief legislation as set forth in record pertains is mentally incompetent Federal agencies with the Uniform OMB Circular No. A–19. or under other legal disability, to Guidelines on Employee Selection o. To provide information to a provide information in the individual’s Procedures, or other functions vested in congressional office from the record of record to any person who is responsible the Commission. an individual in response to an inquiry for the care of the individual, to the cc. To disclose information to the from that congressional office made at extent necessary to assure payment of Federal Labor Relations Authority the request of the individual. benefits to which the individual is (including its General Counsel) when p. To disclose information to another entitled. requested in connection with Federal agency, to a court, or a party in v. To disclose to the agency-appointed investigation and resolution of litigation before a court or in an representative of an employee all allegations of unfair labor practices, in administrative proceeding being notices, determinations, decisions, or connection with the resolution of conducted by a Federal agency, when other written communications issued to exceptions to arbitrator’s awards when a the Government is a party to the judicial the employee in connection with an question of material fact is raised, to or administrative proceeding. examination ordered by the agency investigate representation petitions and q. To disclose information to the under fitness-for-duty examination to conduct or supervise representation Department of Justice, or in a procedures. elections, and in connection with

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matters before the Federal Service civilian employees whose records are Health Benefits Program, upon request, Impasses Panel. contained in the Central Personnel Data whether the employee has changed from dd. To disclose to prospective non- File to authorized Federal agencies and a self-and-family to a self-only health Federal employers, the following non-Federal entities for use in computer benefits enrollment. information about a specifically matching. The matches will be mm. To disclose information to the identified current or former Federal performed to help eliminate waste, Office of Child Support Enforcement, employee: fraud, and abuse in Governmental Administration for Children and (1) Tenure of employment; programs; to help identify individuals Families, Department of Health and (2) Civil service status; who are potentially in violation of civil Human Services, Federal Parent Locator (3) Length of service in the agency or criminal law or regulation; and to System and Federal Offset System for and the Government; and collect debts and overpayments owed to use in locating individuals, verifying (4) When separated, the date and Federal, State, or local governments and social security numbers, and identifying nature of action as shown on the their components. The information their incomes sources to establish Notification of Personnel Action— disclosed may include, but is not paternity, establish and modify orders of Standard Form 50 (or authorized limited to, the name, social security support and for enforcement action. exception). number, date of birth, sex, annualized nn. To disclose records on former ee. To disclose information on salary rate, service computation date of Panama Canal Commission employees employees of Federal health care basic active service, veteran’s to the Republic of Panama for use in facilities to private sector (i.e., other preference, retirement status, employment matters. than Federal, State, or local government) occupational series, health plan code, oo. To disclose to appropriate Federal agencies, boards, or commissions (e.g., position occupied, work schedule (full officials pertinent workforce the Joint Commission on Accreditation time, part time, or intermittent), agency information for use in national or of Hospitals). Such disclosures will be identifier, geographic location (duty homeland security emergency/disaster made only when the disclosing agency station location), standard metropolitan response. determines that it is in the service area, special program identifier, pp. To disclose on public and Government’s best interest (e.g., to and submitting office number of Federal internally-accessible Federal comply with law, rule, or regulation, to employees. Government Web sites, and to otherwise assist in the recruiting of staff in the ii. To disclose information to Federal, disclose to any person, including other community where the facility operates State, local, and professional licensing departments and agencies, the signed to obtain accreditation or other approval boards, Boards of Medical Examiners, or ethics pledges and pledge waiver rating, or to avoid any adverse publicity to the Federation of State Medical certifications issued under E.O. 13490 of that may result from public criticism of Boards or a similar non-government January 21, 2009, Ethics Commitments the facility’s failure to obtain such entity which maintains records by Executive Branch Personnel. approval). Disclosure is to be made only concerning individuals’ employment to the extent that the information histories or concerning the issuance, POLICIES AND PRACTICES OF STORING, disclosed is relevant and necessary for retention or revocation of licenses, RETRIEVING, SAFEGUARDING, AND RETAINING AND that purpose. certifications or registration necessary to DISPOSING OF RECORDS IN THE SYSTEM: ff. To disclose information to any practice an occupation, profession or STORAGE: member of an agency’s Performance specialty, to obtain information relevant These records are maintained in file Review Board Executive Resources to an Agency decision concerning the folders, on lists and forms, microfilm or Board, or other panel when the member hiring, retention, or termination of an microfiche, and in computer is not an official of the employing employee or to inform a Federal agency processable storage media such as agency; information would then be used or licensing boards or the appropriate personnel system databases, PDF forms for approving or recommending non-government entities about the and data warehouse systems. selection of candidates for executive health care practices of a terminated, development or SES candidate resigned or retired health care employee RETRIEVABILITY: programs, issuing a performance rating whose professional health care activity These records are retrieved by various of record, issuing performance awards, so significantly failed to conform to combinations of name, agency, birth nominating for meritorious and generally accepted standards of date, social security number, or distinguished executive ranks, and professional medical practice as to raise identification number of the individual removal, reduction-in-grade, and other reasonable concern for the health and on whom they are maintained. personnel actions based on safety of patients in the private sector or performance. from another Federal agency. SAFEGUARDS: gg. To disclose, either to the Federal jj. To disclose information to Paper or microfiche/microfilmed Acquisition Institute (FAI) or its agent, contractors, grantees, or volunteers records are located in locked metal file information about Federal employees in performing or working on a contract, cabinets or in secured rooms with procurement occupations and other service, grant, cooperative agreement, or access limited to those personnel whose occupations whose incumbents spend job for the Federal Government. official duties require access. Access to the predominant amount of their work kk. To disclose information to a computerized records is limited, hours on procurement tasks; provided Federal, State, or local governmental through use of user logins and that the information shall be used only entity or agency (or its agent) when passwords, access codes, and entry logs, for such purposes and under such necessary to locate individuals who are to those whose official duties require conditions as prescribed by the notice of owed money or property either by a access. Computerized records systems the Federal Acquisition Personnel Federal, State, or local agency, or by a are consistent with the requirements of Information System as published in the financial or similar institution. the Federal Information Security Federal Register of February 7, 1980 (45 ll. To disclose to a spouse or Management Act (Pub. L. 107–296), and FR 8399). dependent child (or court-appointed associated OMB policies, standards and hh. To disclose relevant information guardian thereof) of a Federal employee guidance from the National Institute of with personal identifiers of Federal enrolled in the Federal Employees Standards and Technology.

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RETENTION AND DISPOSAL: Individuals must furnish the Operating Manual, ‘‘The Guide to The OPF is maintained for the period following information for their records Personnel Recordkeeping.’’ of the employee’s service in the agency to be located and identified: [FR Doc. 2011–13971 Filed 6–6–11; 8:45 am] and is then, if in a paper format, a. Full name. BILLING CODE 6325–45–P transferred to the National Personnel b. Date of birth. Records Center for storage or, as c. Social security number. appropriate, to the next employing d. Last employing agency (including RAILROAD RETIREMENT BOARD Federal agency. If the OPF is maintained duty station) and approximate date(s) of in an electronic format, the transfer and the employment (for former Federal Agency Forms Submitted for OMB storage is in accordance with the OPM employees). Review, Request for Comments approved electronic system. Other e. Signature. records are either retained at the agency SUMMARY: In accordance with the for various lengths of time in RECORD ACCESS PROCEDURE: Paperwork Reduction Act of 1995 (44 accordance with the National Archives Individuals wishing to request access U.S.C. chapter 35), the Railroad and Records Administration records to their records should contact the Retirement Board (RRB) is forwarding schedules or destroyed when they have appropriate OPM or agency office, as two Information Collection Requests (ICR) to the Office of Information and served their purpose or when the specified in the Notification Procedure Regulatory Affairs (OIRA), Office of employee leaves the agency. The section. Individuals must furnish the Management and Budget (OMB). Our transfer occurs within 90 days of the following information for their records ICR describes the information we seek individuals’ separation. In the case of to be located and identified: to collect from the public. Review and administrative need, a retired employee, a. Full name(s). approval by OIRA ensures that we or an employee who dies in service, the b. Date of birth. impose appropriate paperwork burdens. OPF is sent within 120 days. c. Social security number. The RRB invites comments on the Destruction of the OPF is in accordance d. Last employing agency (including proposed collections of information to with General Records Schedule-1 (GRS– duty station) and approximate date(s) of determine (1) the practical utility of the 1) or GRS 20. employment (for former Federal collections; (2) the accuracy of the Records contained within the CPDF employees). estimated burden of the collections; (3) and EHRI (and in agency’s automated e. Signature. ways to enhance the quality, utility, and personnel records) may be retained Individuals requesting access must clarity of the information that is the indefinitely as a basis for longitudinal also comply with the Office’s Privacy subject of collection; and (4) ways to work history statistical studies. After the Act regulations on verification of minimize the burden of collections on disposition date in GRS–1 or GRS 20, identity and access to records (5 CFR respondents, including the use of such records should not be used in 297). automated collection techniques or making decisions concerning other forms of information technology. employees. CONTESTING RECORD PROCEDURE: Comments to the RRB or OIRA must Current employees wishing to request SYSTEM MANAGER AND ADDRESS: contain the OMB control number of the amendment of their records should ICR. For proper consideration of your a. Manager, OCIO/RM, U.S. Office of contact their current agency. Former Personnel Management, 1900 E Street, comments, it is best if the RRB and employees should contact the system OIRA receive them within 30 days of NW, Washington, DC 20415. manager. Individuals must furnish the b. For current Federal employees, the publication date. following information for their records OPM has delegated to the employing 1. Title and Purpose of information to be located and identified. agency the Privacy Act responsibilities collection: Financial Disclosure a. Full name(s). concerning access, amendment, and Statement; OMB 3220–0127. b. Date of birth. disclosure of the records within this Under Section 10 of the Railroad c. Social security number. system notice. Retirement Act (RRA) and Section 2(d) d. Last employing agency (including of the Railroad Unemployment NOTIFICATION PROCEDURE: duty station) and approximate date(s) of Insurance Act, the RRB may recover Individuals wishing to inquire employment (for former Federal overpayments of annuities, pensions, whether this system of records contains employees). death benefits, unemployment benefits, information about them should contact e. Signature. and sickness benefits that were made the appropriate OPM or employing Individuals requesting amendment erroneously. An overpayment may be agency office, as follows: must also comply with the Office’s waived if the beneficiary was not at a. Current Federal employees should Privacy Act regulations on verification fault in causing the overpayment and contact the Personnel Officer or other of identity and amendment of records (5 recovery would cause financial responsible official (as designated by the CFR part 297). hardship. The regulations for the employing agency), of the local agency recovery and waiver of erroneous installation at which employed RECORD SOURCE CATEGORIES: payments are contained in 20 CFR part regarding records in this system. Information in this system of records 255 and CFR part 340. b. Former Federal employees who is provided by— The RRB utilizes Form DR–423, want access to their Official Personnel a. The individual on whom the record Financial Disclosure Statement, to Folders (OPF) should contact the is maintained. obtain information about the overpaid National Personnel Records Center b. Educational institutions. beneficiary’s income, debts, and (Civilian), 111 Winnebago Street, St. c. Agency officials and other expenses if that person indicates that Louis, Missouri 63118, regarding the individuals or entities. (s)he cannot make restitution for the records in this system. For other records d. Other sources of information overpayment. The information is used covered by the system notice, maintained in an employee’s OPF, in to determine if the overpayment should individuals should contact their former accordance with Code of Federal be waived as wholly or partially employing agency. Regulations part 293, and OPM’s uncollectible. If waiver is denied, the

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information is used to determine the annuity under the social security overall Comments regarding the information size and frequency of installment minimum provisions on the basis of the collection should be addressed to payments. The beneficiary is made presence of a dependent child, the Patricia Henaghan, Railroad Retirement aware of the overpayment by letter and employee’s natural child in limited Board, 844 North Rush Street, Chicago, is offered a variety of methods for situations, adopted children, Illinois, 60611–2092 or recovery. One response is requested of stepchildren, grandchildren and step- [email protected] and to each respondent. Completion is grandchildren and equitably adopted the OMB Desk Officer for the RRB, Fax: voluntary. However, failure to provide children. The regulations outlining 202–395–6974, E-mail address: requested information may result in a child support and dependency [email protected]. denial of the waiver request. requirements are prescribed in 20 CFR Previous Requests for Comments: The 222.50–57. Charles Mierzwa, RRB has already published the initial In order to correctly determine if an Clearance Officer. 60-day notice (76 FR 8384 on February applicant is entitled to a child’s annuity [FR Doc. 2011–14006 Filed 6–6–11; 8:45 am] 14, 2011) required by 44 U.S.C. based on actual dependency, the RRB BILLING CODE 7905–01–P 3506(c)(2). That request elicited no uses Form G–139, Statement Regarding comments. Contributions and Support of Children, to obtain financial information needed SECURITIES AND EXCHANGE Information Collection Request (ICR) to make a comparison between the COMMISSION Title: Financial Disclosure Statement. amount of support received from the OMB Control Number: 3220–0127. railroad employee and the amount [Rel. No. IC–29687; File No. 812–13791] Form(s) submitted: DR–423. received from other sources. Completion TIAA–CREF Life Insurance Company, Type of request: Extension without is required to obtain a benefit. One et al. change of a currently approved response is required of each respondent. collection. Previous Requests for Comments: The June 1, 2011. Affected public: Individuals or RRB has already published the initial AGENCY: Securities and Exchange households. 60-day notice (76 FR 8384 on February Commission (‘‘Commission’’) Abstract: Under the Railroad 14, 2011) required by 44 U.S.C. ACTION: Notice of application for an Retirement and the Railroad 3506(c)(2). That request elicited no order under Section 26(c) of the Unemployment Insurance Acts, the comments. Investment Company Act of 1940, as Railroad Retirement Board has authority Information Collection Request (ICR) amended (the ‘‘1940 Act’’). to secure from an overpaid beneficiary a statement of the individual’s assets Title: Statement Regarding APPLICANTS: TIAA–CREF Life Insurance and liabilities if waiver of the Contributions and Support of Children. Company (‘‘TC LIFE’’), TIAA–CREF Life overpayment is requested. OMB Control Number: 3220–0195. ‘‘ Form(s) submitted: G–139. Separate Account VA–1 ( Separate Changes proposed: The RRB proposes Account VA–1’’), and TIAA–CREF Life no revisions to Form DR–423. Type of request: Extension without change of a currently approved Separate Account VLI–1 (‘‘Separate The burden estimate for the ICR is as Account VLI–1’’) (together with, follows: collection. Affected public: Individuals or Separate Account VA–1, the ‘‘Separate Estimated Completion Time for Form Accounts’’) (all foregoing parties DR–423 is estimated at 85 minutes. Households. Abstract: Dependency on the collectively referred to herein as the Estimated annual number of ‘‘Applicants’’). respondents: 1,200. employee for at least one-half support is Total annual responses: 1,200. a condition for increasing an employee SUMMARY OF APPLICATION: Applicants Total annual reporting hours: 1,700. or spouse annuity under the social request an order of the Commission, 2. Title and Purpose of information security overall minimum provisions on pursuant to Section 26(c) of the Act, collection: Statement Regarding the basis of the presence of a dependent approving the substitution of shares of Contributions and Support of Children; child, the employee’s natural child in the Commodity Return Strategy OMB 3220–0195. limited situations, adopted children, Portfolio of the Credit Suisse Trust (the Section 2(d)(4) of the Railroad stepchildren, grandchildren and step- ‘‘Substituted Portfolio’’) for Class II Retirement Act (RRA), provides, in part, grandchildren. The information shares of the Natural Resources Portfolio that a child is deemed dependent if the collected solicits financial information of The Prudential Series Fund (the conditions set forth in Section 202(d)(3), needed to determine entitlement to a ‘‘Replacement Portfolio’’) under certain (4), and (9) of the Social Security Act are child’s annuity based on actual variable life insurance policies and met. Section 202(d)(4) of the Social dependency. variable annuity contracts (the Changes proposed: The RRB proposes Security Act, as amended by Public Law ‘‘Contracts’’), each issued through a no changes to Form G–139. Separate Account. 104–121, requires as a condition of The burden estimate for the ICR is as dependency, that a child receives one- DATES: Filing Date: The application was follows: filed on July 7, 2010 and amended and half of his or her support from the Estimated Completion Time for Form restated on November 3, 2010, January stepparent. This dependency impacts G–139 is estimated at 60 minutes. upon the entitlement of a spouse or Estimated annual number of 20, 2011, March 14, 2011, and May 6, survivor of an employee whose respondents: 500. 2011. entitlement is based upon having a Total annual responses: 500. HEARING OR NOTIFICATION OF HEARING: An stepchild of the employee in care, or on Total annual reporting hours: 500. order granting the application will be an individual seeking a child’s annuity Additional Information or Comments: issued unless the Commission orders a as a stepchild of an employee. Copies of the forms and supporting hearing. Interested persons may request Therefore, depending on the employee documents can be obtained from a hearing by writing to the Secretary of for at least one-half support is a Charles Mierzwa, the agency clearance the Commission and serving Applicants condition affecting eligibility for officer at (312) 751–3363 or with a copy of the request, personally or increasing an employee or spouse [email protected]. by mail. Hearing requests must be

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received by the Commission by 5:30 the Securities Act of 1933 Act (the ‘‘1933 contract value among the subaccounts. p.m. on June 27, 2011, and should be Act’’) on Form N–4 (File No. 333– TC LIFE currently does not assess a accompanied by proof of service on 145064). Other than the subaccounts transfer charge or limit the number of Applicants in the form of an affidavit or, investing in the Substituted Portfolio transfers permitted per year, although for lawyers, a certificate of service. and the two other Credit Suisse TC LIFE does reserve the right to deduct Hearing requests should state the nature portfolios, all of the Separate Account a $25 charge for the thirteenth and each of the requester’s interest, the reason for VA–1 subaccounts are currently additional transfer during a policy year. the request, and the issues contested. available under the Separate Account Transfers due to dollar cost averaging, Persons who wish to be notified of a VA–1 Contracts. automatic account rebalancing, loans, hearing may request notification by 3. TC LIFE is the legal owner of the changes in a subaccount’s investment writing to the Secretary of the assets in Separate Account VA–1. policy, or the initial reallocation from a Commission. Pursuant to the Separate Account VA– money market subaccount do not count 1 Contracts and prospectuses, TC LIFE ADDRESSES: Secretary, Securities and as transfers for the purpose of assessing Exchange Commission, 100 F Street, reserves the right to substitute shares of the transfer charge. Contract owners also one portfolio for shares of another. The NE., Washington, DC 20549–1090. must transfer at least $250, or the total terms of the Separate Account VA–1 Applicants, c/o Ken Reitz, Associate value in the allocation option being Contracts and the prospectus for the General Counsel, TIAA–CREF Life transferred, if less. TC LIFE also has in Separate Account VA–1 Contracts also Insurance Company, 8500 Andrew place market timing policies and permit Contract owners to transfer Carnegie Boulevard, Charlotte, North procedures that may operate to limit contract value among the subaccounts. Carolina 28262–8500. transfers. TC LIFE also imposes certain TC LIFE does not assess a transfer restrictions on transfers from the fixed FOR FURTHER INFORMATION CONTACT: charge or limit the number of transfers account. Michael L. Kosoff, Branch Chief, at (202) permitted per year, although TC LIFE 6. Credit Suisse Trust was organized 551–6754 or Harry Eisenstein, Senior does have in place market timing on March 15, 1995 under the laws of the Special Counsel, Office of Insurance policies and procedures that may Commonwealth of Massachusetts as a Products, Division of Investment operate to limit transfers. Massachusetts business trust. It is Management, at (202) 551–6795. 4. TC LIFE established Separate registered under the Act as a open-end SUPPLEMENTARY INFORMATION: The Account VLI–1 under New York state management investment company (File following is a summary of the law on May 23, 2001. Separate Account No. 811–07261). Credit Suisse Trust application. The complete application VLI–1 meets the definition of a ‘‘separate currently consists of three portfolios, may be obtained via the Commission’s account’’ under the Federal securities one of which—the Commodity Return Web site by searching for the file laws and is registered with the Strategy Portfolio—is the Substituted number, or for an applicant using the Commission under the Act as a unit Portfolio. The Credit Suisse Trust issues Company name box, at http:// investment trust (File No. 811–10393). a separate series of shares of beneficial www.sec.gov/search/search.htm, or by Separate Account VLI–1 consists of 47 interest in connection with each calling (202) 551–8090. subaccounts, each investing in a portfolio and has registered such shares different investment portfolio and Applicants’ Representations under the 1933 Act on Form N–1A (File including subaccounts investing in both No. 33–58125). Credit Suisse Asset 1. TC LIFE is a stock life insurance the Substituted Portfolio and the Management, LLC (‘‘Credit Suisse company organized under the laws of Replacement Portfolio. The subaccount Management’’) serves as the investment the State of New York on November 20, investing in the Substituted Portfolio adviser to each portfolio of the Credit 1996. TC LIFE’s executive office mailing was closed to additional payments and Suisse Trust. address is 730 Third Avenue, New York, transfers of contract value on April 12, 7. The Prudential Series Fund is New York 10017. 2010. The assets of Separate Account organized as a Delaware statutory trust 2. TC LIFE established Separate VLI–1 support Contracts (the ‘‘Separate and is registered under the Act as an Account VA–1 under New York state Account VLI–1 Contracts’’) that offer the open-end management investment law on July 27, 1998. Separate Account Substituted Portfolio and the company (File No. 811–03623). The VA–1 meets the definition of a ‘‘separate Replacement Portfolio as investment Prudential Series Fund currently account’’ under the Federal securities options, and interests in Separate consists of 19 separate portfolios, one of laws and is registered with the Account VLI–1 offered through such which—the Natural Resources Commission under the Act as a unit Contracts have been registered under Portfolio—is the Replacement Portfolio. investment trust (File No. 811–08963). the 1933 Act on Form N–6 (File Nos. The Prudential Series Fund issues a Separate Account VA–1 consists of 47 333–128699 and 333–151910). Other separate series of shares of beneficial subaccounts, each investing in a than the subaccounts investing in the interest in connection with each different investment portfolio and Substituted Portfolio and the two other portfolio and has registered such shares including subaccounts investing in both Credit Suisse portfolios, all of the under the 1933 Act on Form N–1A (File the Substituted Portfolio and Separate Account VLI–1 subaccounts No. 2–80896). Prudential Investments Replacement Portfolio. The subaccount are currently available under the LLC (‘‘P.I.’’), a wholly-owned subsidiary investing in the Substituted Portfolio Separate Account VLI–1 Contracts. of Prudential Financial, Inc., serves as was closed to additional payments and 5. TC LIFE is the legal owner of the the investment adviser to each portfolio transfers of contract value on April 12, assets in Separate Account VLI–1. of The Prudential Series Fund and 2010. The assets of Separate Account Pursuant to the Separate Account VLI– receives an investment management fee VA–1 support Contracts (the ‘‘Separate 1 Contracts and prospectuses, TC LIFE from each portfolio it manages. Account VA–1 Contracts’’) that offer the reserves the right to substitute shares of 8. Prudential Mutual Fund Substituted Portfolio and the one portfolio for shares of another. The Management, Inc. (‘‘PMFM’’), the former Replacement Portfolio as investment terms of the Separate Account VLI–1 investment adviser to funds sponsored options, and interests in Separate Contracts and the prospectuses for the by Prudential Financial, Inc. and its Account VA–1 offered through such Separate Account VLI–1 Contracts also affiliates, obtained an order from the Contracts have been registered under permit Contract owners to transfer Commission pursuant to Section 6(c) of

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the Act exempting it from Section 15(a) in substantially the same manner as the granted in the Manager of Managers of the Act and Rule 18f–2 under the Act, applicant investment company and Order extends to the Natural Resources with respect to subadvisory agreements complies with the condition of the Portfolio. (the ‘‘Manager of Managers Order’’).1 Manager of Managers Order. More 10. Neither the Substituted Portfolio 9. The Manager of Managers Order particularly, Applicants believe that the nor the Replacement Portfolio nor their applies not only to the specific Manager of Managers Order permits P.I. investment advisers are affiliated with applicants but also to any future open- to enter into and materially amend the Applicants. end management investment company investment subadvisory agreements 11. The following charts set out the advised by PMFM or a person with respect to The Prudential Series investment objective of the Substituted controlling, controlled by, or under Fund without obtaining shareholder Portfolio and the Replacement Portfolio, common control with PMFM, provided approval. For this reason, the as stated in their respective that such investment company operates Applicants believe that the relief prospectuses dated May 1, 2011.

Substituted portfolio Replacement portfolio

Credit Suisse Trust Commodity Return Strategy Portfolio Prudential Series Fund Natural Resources Portfolio (Class II Shares) Investment Objective Investment Objective Seeks total return relative to the performance of the Dow Jones-UBS Seeks long-term growth of capital. Commodity Index Total Return (‘‘DJ–UBS Index’’).

The following information sets out the Replacement Portfolio, as stated in their Statements of Additional Information current principal investment strategies respective prospectuses and/or (‘‘SAI’’) dated May 1, 2011. of the Substituted Portfolio and the

Substituted portfolio Replacement portfolio

Credit Suisse Trust Commodity Return Strategy Portfolio Prudential Series Fund Natural Resources Portfolio (Class II Shares) Principal Investment Strategies Principal Investment Strategies The Portfolio is designed to achieve positive total return relative to the The Portfolio normally invests at least 80% of its net assets (plus any performance of the Dow Jones-UBS Commodity Index Total Return borrowings made for investment purposes) in common stocks and (‘‘DJ–UBS Index’’). The Portfolio intends to invest its assets in a convertible securities of natural resource companies and securities combination of commodity-linked derivative instruments and fixed in- that are related to the market value of some natural resource. come securities. The Portfolio gains exposure to commodities mar- Natural resource companies are companies that primarily own, explore, kets by investing in structured notes whose principal and/or coupon mine, process or otherwise develop natural resources, or supply payments are linked to the DJ–UBS Index. goods and services to such companies. Natural resources generally The Portfolio may invest up to 25% of its total assets in a wholly include agricultural commodities, precious metals, such as gold, sil- owned subsidiary of the Portfolio formed in the Cayman Islands (the ver and platinum, ferrous and nonferrous metals, such as iron, alu- ‘‘Subsidiary’’), which has the same investment objective as the Port- minum and copper, strategic metals such as uranium and titanium, folio and has a strategy of investing in commodity-linked swap agree- hydrocarbons such as coal and oil, timberland and undeveloped real ments and other commodity-linked derivative instruments, futures property. contracts on individual commodities, or a subset of commodities and The Portfolio seeks securities with an attractive combination of valu- options on commodities. ation versus peers, organic reserve and production growth, and com- The Portfolio invests in a portfolio of fixed income securities normally petitive unit cost structure. having an average duration of one year or less, and emphasizes in- Up to 20% of the Portfolio’s total assets may be invested in securities vestment-grade fixed income securities.2 that are not asset-indexed or natural resource-related, including com- The Portfolio is a non-diversified mutual fund portfolio, meaning the mon stock, convertible stock, debt securities and money market in- Portfolio may invest a relatively high percentage of its assets in a struments. small number of issuers.3 Up to 50% of the Portfolio’s total assets may be invested in foreign equity and equity-related securities. The Portfolio may also pursue the following types of investment strategies and/or invest in the following types of securities: (i) Alternative investment strategies—including derivatives—to try and improve the Portfolio’s returns, to protect its assets or for short-term cash management. Derivatives includes options, futures contracts, swaps and swap options; (ii) forward foreign currency exchange contracts; (iii) purchase securities on a when-issued or delayed delivery basis; (iv) short sales against-the-box; (v) repurchase agreements. The Port- folio may participate with certain other portfolios of the Fund in a joint repurchase account under an order obtained from the SEC; and (vi) illiquid securities. Under normal circumstances, the Portfolio may invest up to 20% of its net assets in money market instruments.

1 The Target Portfolio Trust and Prudential Mutual Fund Management, Inc., Act Rel. No. 22215 (Sept. 11, 1996) (Order), File No. 812–10208.

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Substituted portfolio Replacement portfolio

The Portfolio is a non-diversified mutual fund portfolio, meaning the Portfolio may invest a relatively high percentage of its assets in a small number of issuers.4 The Portfolio will concentrate its investments (i.e., will invest at least 25% of its assets under normal circumstance) in securities of companies in the natural resources group of industries.

12. The following sets out the (including the likelihood of greater purposes. Such losses should be principal investment risks of the volatility of the portfolio’s net asset substantially offset by gains on the Substituted Portfolio and the value), and there can be no assurance hedged investment. However, while Replacement Portfolio, as stated in their that the portfolio’s use of leverage will hedging can reduce or eliminate losses, respective prospectuses and/or SAIs be successful. it can also reduce or eliminate gains. To dated May 1, 2011. • Correlation Risk. Changes in the the extent that a derivative or practice The Commodity Return Strategy value of a hedging instrument may not is not used as a hedge, the Portfolio is Portfolio is subject to the following match those of the investment being directly exposed to its risks. Gains or principal investment risks: hedged. In addition, commodity-linked losses from speculative positions in a • Commodity Risk. The Portfolio’s structured notes may be structured in a derivative may be much greater than the investment in commodity-linked way that results in the portfolio’s derivative’s original cost. For example, derivative instruments may subject the performance diverging from the DJ–UBS potential losses from writing uncovered Portfolio to greater volatility than Index, perhaps materially. For example, call options and from speculative short investments in traditional securities, a note can be structured to limit the loss sales are unlimited. particularly if the instruments involve or the gain on the investment, which • Extension Risk. An unexpected rise leverage. The value of commodity- would result in the portfolio not in interest rates may extend the life of linked derivative instruments may be participating in declines or increases in a fixed income security beyond the affected by changes in overall market the DJ–UBS Index that exceed the expected payment time, typically movements, commodity index volatility, limits. reducing the security’s value. changes in interest rates, or factors • Credit Risk. The issuer of a security • Focus Risk. The Portfolio will be affecting a particular industry or or the counterparty to a contract, exposed to the performance of commodity, such as drought, floods, including derivatives contracts, may commodities in the DJ–UBS Index, weather, livestock disease, embargoes, default or otherwise become unable to which may from time to time have a tariffs, and international economic, honor a financial obligation. small number of commodity sectors political, and regulatory developments. • Derivatives Risk. Derivatives are (e.g., energy, metals or agricultural) Use of leveraged commodity-linked financial contracts whose value depends representing a large portion of the derivatives creates an opportunity for on, or is derived from, the value of an index. As a result, the Portfolio may be increased return but, at the same time, underlying asset, reference rate, or subject to greater volatility than if the creates the possibility for greater loss index. The Portfolio typically uses index were more broadly diversified derivatives as a substitute for taking a among commodity sectors. 2 While not identified as a principal investment position in the underlying asset and/or • Interest Rate Risk. Changes in strategy in the prospectus, the Portfolio also may as part of a strategy designed to reduce interest rates may cause a decline in the invest without limit in U.S. dollar-denominated foreign securities and may invest up to 30% of its exposure to other risks, such as interest market value of an investment. With assets in non-U.S. dollar denominated securities. rate or currency risk. The Portfolio may bonds and other fixed-income 3 The Commodity Return Strategy Portfolio’s also use derivatives for leverage. The securities, a rise in interest rates investments will be limited, however, in order to Portfolio’s use of derivative instruments, typically causes a fall in values, while qualify as a ‘‘regulated investment company’’ for purposes of the Internal Revenue Code. The particularly commodity-linked a fall in interest rates typically causes a Portfolio has obtained a private letter ruling from derivatives, involves risks different risk in values. the Internal Revenue Service confirming that the from, or possibly greater than, the risks • Liquidity Risk. Certain portfolio income produced by certain types of commodity- associated with investing directly in securities, such as commodity-linked index linked structured notes constitutes qualifying income for purposes of qualifying as a ‘‘regulated securities and other traditional notes and swaps, may be difficult or investment company.’’ To qualify, the Portfolio investments. Derivatives are subject to a impossible to sell at the time and the complies with certain requirements, including number of risks, such as commodity price that the Portfolio would like. The limiting its investments so that at the close of each risk, correlation risk, liquidity risk, Portfolio may have to lower the price, quarter of the taxable year (i) not more than 25% of the market value of its total assets are invested interest-rate risk, market risk, and credit sell other securities instead, or forgo an in the securities of a single issuer, and (ii) with risk. Also, suitable derivative investment opportunity. Any of these respect to 50% of the market value of its total transactions may not be available in all could have a negative effect on portfolio assets, not more than 5% of the market value of its circumstances and there can be no management or performance. total assets are invested in the securities of a single • issuer and the portfolio does not own more than assurance that the portfolio will engage Market Risk. The market value of a 10% of the outstanding voting securities of a single in these transactions to reduce exposure security may fluctuate, sometimes issuer. to other risks that would be beneficial. rapidly and unpredictably. These 4 The Natural Resources Portfolio may not • Exposure Risk. There is a risk fluctuations, which are often referred to purchase any security (other than obligations of the ‘‘ ’’ U.S. government, its agencies or instrumentalities) associated with investments (such as as volatility, may cause a security to if, as a result of such purchase, 25% or more of the derivatives) or practices (such as short be worth less than it was worth at an Portfolio’s total assets (determined at the time of selling) that increase the amount of earlier time. Market risk may affect a investment) would be invested in any one industry; money the portfolio could gain or lose single issuer, industry, commodity, provided, however, that the Portfolio will concentrate its investment in securities of on an investment. Exposure risk could sector of the economy, or the market as companies in the natural resources group of multiply losses generated by a a whole. Market risk is common to most industries. derivative or practice used for hedging investments, including: stocks, bonds

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and commodities, and the mutual funds • Portfolio Turnover Risk. Active and • Expense Risk. The actual cost of that invest in them. frequent trading increases transaction investing in the Portfolio may be higher • Non-diversified Status. The costs, which could detract from the than the expenses shown in the Annual Portfolio is considered a non-diversified portfolio’s performance. Portfolio Operating Expenses. investment company under the Act and • CFTC Regulatory Risk. Regulatory • Foreign Investment Risk. is permitted to invest a greater changes could adversely affect the Investment in foreign securities proportion of its assets in the securities portfolio by limiting its trading generally involves more risk than of a smaller number of issuers. As a activities in futures and increasing Fund investing in securities of U.S. issuers. result, the portfolio may be subject to expenses. On February 11, 2011, the Changes in currency exchange rates may greater volatility with respect to its Commodity Futures Trading affect the value of foreign securities held portfolio securities than a fund that is Commission (‘‘CFTC’’) published a rule by the Portfolio. Securities of issuers diversified. proposal that would limit the Fund’s located in emerging markets tend to • Subsidiary Risk. By investing in the ability to use futures in reliance on have volatile prices and may be less Credit Suisse Cayman Commodity Fund certain CFTC exemptions. If the new liquid than investments in more II, Ltd. (the ‘‘Subsidiary’’), the Portfolio rule is adopted as proposed, the established markets. Moreover, foreign is indirectly exposed to the risks amended CFTC exemption would limit markets generally are more volatile than associated with the Subsidiary’s the portfolio’s use of futures to (i) bona U.S. markets, are not subject to investments. The derivatives and other fide hedging transactions, as defined by regulatory requirements comparable to investments held by the Subsidiary are the CFTC, and (ii) speculative those in the U.S., and are subject to generally similar to those that are transactions, provided that the differing custody and settlement permitted to be held by the Portfolio speculative positions do not exceed 5% practices. Foreign financial reporting and are subject to the same risks that of the liquidation value of the portfolio. standards usually differ from those in apply to similar investments if held If the portfolio could not satisfy the the U.S., and foreign exchanges are directly by the Portfolio. There can be requirements for the amended smaller and less liquid than the U.S. exemption, the disclosure and market. Political developments may no assurance that the investment operations of the portfolio would need adversely affect the value of a Portfolio’s objective of the Subsidiary will be to comply with all applicable foreign securities, and foreign holdings achieved. The Subsidiary is not regulations governing commodity pools. may be subject to special taxation and registered under the Act and is not Other potentially adverse regulatory limitations on repatriating investment subject to all the investor protections of initiatives could develop. proceeds. the Act. However, the Portfolio wholly The Natural Resources Portfolio is • Industry/Sector Risk. A portfolio owns and controls the Subsidiary, and subject to the following principal that invests in a single market sector or the Portfolio and the Subsidiary are both investment risks: industry can accumulate larger managed by Credit Suisse Asset • Derivatives Risk. The use of positions in a single issuer or an Management, LLC, making it unlikely derivatives involves a variety of risks. industry sector. As a result, the that the Subsidiary will take action There is a risk that the counterparty on Portfolio’s performance may be tied contrary to the risks of the Portfolio and a derivative transaction will be unable more directly to the success or failure of its shareholders. Changes in the laws of to honor its financial obligation to the a small group of portfolio holdings. the United States and/or the Cayman Portfolio. Certain derivatives and related • Liquidity and Valuation Risk. From Islands could result in the inability of trading strategies create debt obligations time to time, the Portfolio may hold one the Portfolio and/or the Subsidiary to similar to borrowings and, therefore, or more securities for which there are no operate as it does currently and could create leverage which can result in or few buyers and sellers or which are adversely affect the Portfolio. losses to a Portfolio that exceed the subject to limitations on transfer. The • Tax Risk. Any income the Portfolio amount the Portfolio originally invested. Portfolio also may have difficulty derives from direct investments in Certain exchange-traded derivatives disposing of those securities at the commodity-linked swaps or certain may be difficult or impossible to buy or values determined by the Portfolio for other commodity-linked derivatives sell at the time that the seller would like the purpose of determining the must be limited to a maximum of 10% or at the price that the seller believes the Portfolio’s net asset value, especially of the portfolio’s gross income in order derivative is currently worth. Privately during periods of significant net for the portfolio to maintain its pass negotiated derivatives may be difficult redemptions of Portfolio shares. through tax status. The Portfolio has to terminate or otherwise offset. • Market and Management Risk. obtained a private letter ruling from the Derivatives used for hedging may Markets in which the Portfolio invests Internal Revenue Service (the ‘‘IRS’’) reduce losses but also reduce or may experience volatility and go down confirming that the income produced by eliminate gains and cause losses if the in value, and possibly sharply and certain types of structured notes market moves in a manner different unpredictably. All decisions by an constitutes ‘‘qualifying income’’ under from that anticipated by the Portfolio. adviser require judgment and are based the Internal Revenue Code. In addition, Furthermore, commodity-linked on imperfect information. Additionally, the IRS has issued a private letter ruling derivative instruments may be more the investment techniques, risk analysis to the Portfolio confirming that income volatile than the prices of investments and investment strategies used by an derived from the Portfolio’s investment in traditional equity and debt securities. adviser in making investment decisions in its Subsidiary will also constitute • Equity Securities Risk. There is a for the Portfolio may not produce the qualifying income to the Portfolio. risk that the value or price of a desired results. Based on such rulings, the Portfolio particular stock or other equity or • Non-diversification Risk. As a non- seeks to gain exposure to the commodity equity-related security owned by the diversified portfolio, the Portfolio may markets primarily through investments Portfolio could go down. In addition to hold larger positions in single issuers in commodity index-linked notes and, an individual stock losing value, the than a diversified fund. Because the through investments in the Subsidiary, value of the equity markets or a sector Portfolio is not required to meet commodity-linked swaps and of those markets in which the Portfolio diversification requirements that are commodity futures. invests could go down. applicable to some funds, there is an

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increased risk that the Portfolio may be 13. The following charts compare the expressed as an annual percentage of adversely affected by the performance of investment management fees and total average daily net assets, of the relatively few securities or the securities operating expenses (before and after any Substituted Portfolio and the of a single issuer. waivers and reimbursements) for the Replacement Portfolio. year ended December 31, 2010,

Substituted port- Replacement folio portfolio Credit Suisse Prudential Series Trust Commodity Fund Natural Return Strategy Resources port- portfolio folio (class II)

Investment Management Fees ...... 5 0.50% ...... 0.45% Distribution and Service (12b–1) Fee ...... 0.25% ...... 0.25% Administration Fees ...... None ...... 0.15% Other Expenses ...... 0.34% ...... 0.05% Total Operating Expenses ...... 1.09% ...... 0.90% Less Expense Waivers and Reimbursements ...... N/A ...... N/A Total Net Operating Expenses ...... 1.09% ...... 0.90%

14. The following charts compare the Replacement Portfolio for the one-year, inception) periods ended December 31, average annual total returns of the five-year, and ten-year (or since 2010. Substituted Portfolio and the

Substituted port- Replacement folio portfolio Credit Suisse Prudential Fund Trust Commodity Series Natural Return Strategy Resources port- portfolio folio

Average Annual Total Return for One Year ...... +16.66% ...... +27.48% Average Annual Total Return for Five Years ...... N/A ...... 13.61% Average Annual Total Return for Ten Years or, if less, Since Inception ...... 2.98% ...... +20.25% (Date of Incep- (Date of Incep- tion:. tion: February 28, April 28, 2005) 2006).

15. The following charts compare the on December 31, 2010 and the prior four the same time period and the percentage levels of net assets (rounded to the calendar years, as well as the levels of of the Substituted Portfolio’s total net nearest thousand) of the Substituted net assets of the Separate Accounts assets represented by the investments of Portfolio and the Replacement Portfolio invested in the Substituted Portfolio for the Separate Accounts.

Substituted portfolio Replacement port- Credit Suisse Trust Commodity Return Strategy portfolio folio Prudential Fund Percent of port- Series Natural Re- Total separate folio total net as- sources portfolio account assets in- sets represented Total net assets total net assets (in vested in the by separate ac- (in thousands) thousands) portfolio count investment

On 12/31/2010 ...... $1,671,571 1.34% $124,550 $1,360.056 On 12/31/2009 ...... 1,713,589 1.58% 108,211 1,079,600 On 12/31/2008 ...... 424,299 0.61% 69,919 677,400 On 12/31/2007 ...... 21,813 0.04% 56,624 1,669,900 On 12/31/2006 ...... 287 0.0002% 6145,907 1,193,000 On 12/31/2005 ...... N/A N/A N/A 1,016,300

16. Applicants represent that the the range of overall investment options options it offers under the Contracts. Substitution is part of an overall provided by the Contracts. Pursuant to This review involved an evaluation of business goal of TC LIFE to make the this goal, TC LIFE has engaged in a the investment objectives and strategies, Contracts more attractive to Contract thorough review of the efficiencies and asset sizes, expense ratios, investment owners and to assure a consistency in structures of all of the investment performance, investment process, and

5 Management fee of the Commodity Return 6 For the period February 28, 2006 Strategy Portfolio and the Credit Suisse Cayman (commencement of operations) through December Commodity Fund II, Ltd. (the ‘‘Subsidiary’’). 31, 2006.

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investment teams responsible for the purchase shares of the Replacement assets attributable to Contracts affected management of each investment option, Portfolio. Redemption requests and by the Substitution, at a higher rate than with a view to past performance as well purchase orders will be placed Applicants have received from the as future expectations. Based on this simultaneously so that contract values Substituted Portfolio, its advisors or evaluation, TC LIFE has determined that will remain fully invested at all times. underwriters (or their affiliates), the Substituted Portfolio warrants All redemptions of shares of the including without limitation Rule 12b– replacement. Substituted Portfolio and purchases of 1 fees, shareholder service, 17. Applicants represent that TC LIFE shares of the Replacement Portfolio will administration, or other service fees, reviewed all of the underlying fund be effected in accordance with Section revenue sharing, or other arrangements options with the goal of ensuring that 22(c) of the Act and Rule 22c–1 in connection with such assets. Contract owners would be provided thereunder. The Substitution will take Applicants represent that the with investment options under their place at relative net asset value as of the Substitution and the selection of the Contracts following the Substitution Effective Date with no change in the Replacement Portfolio were not that are similar to the investment amount of any Contract owner’s contract motivated by any financial options under their Contracts before the value or death benefit or in the dollar consideration paid or to be paid to TC Substitution. Based in particular on a value of his or her investments in any LIFE or its affiliates by the Replacement better performance record and lower of the subaccounts. Portfolio, its advisors, underwriters, or total expenses of the Replacement 20. Applicants represent that contract their respective affiliates. Portfolio, TC LIFE believes that the values attributable to investments in the 22. The Applicants assert that the adviser to the Replacement Portfolio is Substituted Portfolio will be transferred procedures to be implemented are better able to offer the potential for to the Replacement Portfolio without sufficient to assure that each Contract consistent above-average performance charge (including sales charges or owner’s cash values immediately after for the Portfolio than is the adviser to surrender charges) and without the Substitution shall be equal to the the Substituted Portfolio. The counting toward the number of transfers cash value immediately before the Replacement Portfolio also is that may be permitted without charge. Substitution. considerably larger than the Substituted Contract owners will not incur any 23. The Applicants represent that Portfolio, thus offering better economies additional fees or charges as a result of Existing Contract owners as of the date of scale with a larger asset base over the Substitution, nor will their rights or the initial application was filed, and which to spread the various portfolio TC LIFE’s obligations under the new Contract owners who have costs ultimately passed on to Contract Contracts be altered in any way, and the purchased or who will purchase a owners. As such, TC LIFE believes that Substitution will not change Contract Contract subsequent to that date but effecting the Substitution will provide owners’ insurance benefits under the prior to the Effective Date, have been or Contract owners with a Replacement Contracts. All expenses incurred in will be notified of the proposed Portfolio that has a comparable connection with the Substitution, Substitution by means of a prospectus investment objective to the Substituted including legal, accounting, or prospectus supplement for each of Portfolio but is, overall, less expensive, transactional, and other fees and the Contracts (‘‘Pre-Substitution consistent with the desired asset class expenses, including brokerage Notice’’). The Pre-Substitution Notice: • exposure, better positioned to provide commissions, will be paid by TC LIFE. States that the Applicants filed the consistent above-average performance, In addition, the Substitution will not application to seek approval of the and with greater expectations for Substitution; impose any tax liability on Contract • growth. Moreover, TC LIFE maintains owners. The Substitution will not cause Sets forth the anticipated Effective that the investment objective and the Contract fees and charges currently Date; • Explains that contract values policies of the Replacement Portfolio are paid by existing Contract owners to be attributable to investments in the sufficiently similar to those of the greater after the Substitution than before Substituted Portfolio would be Substituted Portfolio so that Contract the Substitution. TC LIFE will not transferred to the Replacement Portfolio owners will have reasonable continuity exercise any right it may have under the on the Effective Date; and in investment expectations. Contracts to impose a transfer charge or 18. Applicants seek the Commission’s • States that, from the date the initial restrictions on transfers under the approval under Section 26(c) to engage application was filed with the Contracts for the period beginning on in the substitution transaction described Commission through the date thirty (30) below. Pursuant to its authority under the date the initial application was filed days after the Substitution, Contract the respective Contracts and the with the Commission through at least owners may transfer contract value from prospectuses describing the same, and thirty (30) days following the Effective the subaccount investing in the subject to the approval of the Date for transfers of contract value from Substituted Portfolio (before the Commission under Section 26(c) of the the subaccount investing in the Substitution) or the Replacement Act, TC LIFE proposes to substitute Substituted Portfolio (before the Portfolio (after the Substitution) to one shares of the Commodity Return Substitution) or the Replacement or more other subaccount(s) without a Strategy Portfolio of the Credit Suisse Portfolio (after the Substitution) to one 7 transfer charge and without that transfer Trust for Class II Shares of the Natural or more other subaccount(s). counting against their contractual 21. The Applicants represent that they Resources Portfolio of The Prudential transfer limitations. Series Fund. will not receive, for three years from the Further, all Contract owners will have 19. Applicants represent that TC LIFE date of the Substitution, any direct or received a copy of the most recent will effect the Substitution as soon as indirect benefits from the Replacement prospectus for the Replacement practicable following the issuance of the Portfolio, its advisors or underwriters Portfolio prior to the Substitution. requested order as follows. As of the (or their affiliates), in connection with 24. Finally, the Applicants represent effective date of the Substitution (the that within five (5) days following the ‘‘ ’’ 7 One exception to this would be restrictions that Effective Date ), shares of the TIAA–CREF may impose to prevent or restrict Substitution, Contract owners affected Substituted Portfolio will be redeemed ‘‘market timing’’ activities by Contract owners or by the Substitution will be notified in for cash and that cash will be used to their agents. writing that the Substitution was carried

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out. This notice will restate the 27. The Applicants assert that the believe the same is true with a portfolio information set forth in the Pre- investment objective and principal comprised of structured notes tied to Substitution Notice, and will also investment strategies of the commodities futures. Accordingly, the explain that the contract values Replacement Portfolio are substantially Applicants believe that the close attributable to investments in the similar to those of the Substituted approximation of the Natural Resources Substituted Portfolio were transferred to Portfolio. The Commodity Return Portfolio to the commodities sector the Replacement Portfolio without Strategy Portfolio seeks total return exposure supports a determination that charge (including sales charges or relative to the performance of the DJ– the Natural Resources Portfolio will surrender charges) and without UBS Index, and the Natural Resources provide Contract owners currently counting toward the number of transfers Portfolio seeks long-term growth of invested in the Commodity Return that may be permitted without charge. capital. Applicants submit that these are Strategy Portfolio an acceptable level of 25. Applicants represent that Section substantially similar investment exposure to the commodities sector and 26(c) of the Act prohibits any depositor objectives and, while the Portfolios’ is a reasonable substitution for the or trustee of a unit investment trust that principal investment strategies are Commodity Return Strategy Portfolio. invests exclusively in the securities of a somewhat different, there is nonetheless 28. The Applicants represent that, single issuer from substituting the a high correlation between the two sets although not identical, the principal securities of another issuer without the of investment strategies. The investment risks of the Natural approval of the Commission. Section Commodity Return Strategy Portfolio is Resources Portfolio are comparable to 26(c) provides that such approval shall designed to achieve positive total return those of the Commodity Return Strategy be granted by order of the Commission, relative to the performance of the DJ– Portfolio. Both Portfolios use if the evidence establishes that the UBS Index by investing in commodity- derivatives, exposing each Portfolio to a substitution is consistent with the linked derivative instruments and fixed number of specific derivative-related protection of investors and the purposes income securities, whereas the Natural risks such as the possibility that the of the Act. Section 26(c) was intended Resources Portfolio normally invests at counterparty to the transaction is unable to provide for Commission scrutiny of least 80% of its net assets in common to honor its financial obligation; using proposed substitutions which could, in stocks and convertible securities of derivatives may also subject each effect, force shareholders dissatisfied natural resource companies and Portfolio to other more general risks with the substitute security to redeem securities that are related to the market including commodity risk, correlation their shares, thereby possibly incurring value of some natural resource. risk, liquidity risk, interest-rate risk, a loss of the sales load deducted from However, the companies in which the market risk, and credit risk. Because initial premium, an additional sales Natural Resources Portfolio invests both Portfolios may invest in foreign load upon reinvestment of the proceeds derive the vast majority of their securities, they also are subject to of redemption, or both.8 The section respective revenue from commodities. increased risk relating to currency was designed to forestall the ability of In other words, the valuation of the exchange rate fluctuations, price a depositor to present holders of interest companies in which the Natural volatility, adverse political in a unit investment trust with Resources Portfolio invests move developments, etc. Both Portfolios also situations in which a holder’s only directly with the underlying are subject to market risk relating to choice would be to continue an commodities that represent these firms’ increased and/or unpredictable investment in an unsuitable underlying primary businesses. As such, there is a fluctuations in the market value of the security, or to elect a costly and, in high correlation between the Natural securities in which they invest, as well effect, forced redemption. For the Resources Portfolio’s performance to the as to liquidity risk. Finally, both the reasons described below, the Applicants price changes in the DJ–UBS Index Natural Resources Portfolio and the submit that the Substitution meets the which underlies the Commodity Return Commodity Return Strategy Portfolio standards set forth in Section 26(c) and Strategy Portfolio’s investment strategy. are non-diversified investment that, if implemented, the Substitution This high correlation is demonstrated by companies, and therefore may invest in would not raise any of the comparing the performance of fewer issuers and be more greatly aforementioned concerns that Congress investments in natural resources affected by the performance of relatively intended to address when the Act was companies (as measured by the S&P few securities. Further, the Applicants amended to include this provision. In North American Natural Resources do not believe that overall the Natural addition, the Applicants submit that the Index) and commodities (as measured Resources Portfolio is exposed to greater proposed Substitution meets the by DJ–UBS Index), for which the risk than the Commodity Return standards that the Commission and its correlation (as reported by Morningstar) Strategy Portfolio, despite the fact that Staff have applied to substitutions that exceeds 80% over both the trailing certain enumerated risks of the Natural have been approved in the past. three-year and five-year periods. Given Resources Portfolio are not explicitly 26. Applicants represent that the the high correlation between the detailed as principal investment risks in replacement of the Substituted Portfolio performance of the Natural Resources the prospectus for the Commodity with the Replacement Portfolio is Portfolio and the Commodity Return Return Strategy Portfolio. For example, consistent with the protection of Strategy Portfolio, the Applicants the Applicants believe that the Contract owners and the purposes fairly believe that the Natural Resources Commodity Return Strategy Portfolio, intended by the policy and provisions of Portfolio is a suitable replacement for like the Natural Resources Portfolio, is the Act and, thus, meets the standards the Commodity Return Strategy subject to commodity price risk, necessary to support an order pursuant Portfolio. While the holdings of expense risk, industry/sector risk, and to Section 26(c) of the Act. companies in which the Natural valuation risk—all typical risks that are Resources Portfolio invests, with their generally present for most portfolios 8 House Comm. Interstate Commerce, Report of resultant capital structures, tax that invest in the commodity and the Securities and Exchange Commission on the exposures, and idiosyncratic risks, do natural resources asset categories. Public Policy Implications of Investment Company Growth, H.R. Rep. No. 2337, 89th Cong. 2d Session not provide a perfect correlation to a Moreover, the Natural Resources 337 (1966). spot commodities index, Applicants Portfolio is not subject to the specific

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derivative, tax, and focus risks the • The Applicants have satisfied I. Self-Regulatory Organization’s Commodity Return Strategy Portfolio is themselves that (i) the Contracts allow Statement of the Terms of the Substance exposed to as a result of the latter’s the substitution of the Portfolios in the of the Proposed Rule Change primary investment in commodity- manner contemplated by the BX proposes to make a correction to linked instruments. Lastly, because the Substitution and related transactions the definition of ‘‘Direct Access’’ in Commodity Return Strategy Portfolio described herein, (ii) the transactions Exchange Rule 7019(c). The Exchange invests in the Credit Suisse Cayman can be consummated as described in the proposes to implement the proposed Commodity Fund II, Ltd., the Portfolio Application under applicable insurance rule change immediately. also is indirectly exposed to the risks laws, and (iii) any applicable regulatory The text of the proposed rule change associated with that portfolio’s requirements in each jurisdiction where is available from the principal office of investments. the Contracts are qualified for sale have the Exchange, at the Commission’s 29. The Applicants represent that the been complied with to the extent Public Reference Room and also on the investment management fee of the necessary to complete the transaction. Exchange’s Internet Web site at http:// Natural Resources Portfolio is lower 32. The Applicants acknowledge that nasdaqomxbx.cchwallstreet.com/ than that of the Commodity Return reliance on exemptive relief, if granted, NASDAQOMXBX/Filings/. Strategy Portfolio, and each Portfolio depends upon compliance with all of imposes a 12b–1 fee of 0.25%. the representations and conditions set II. Self-Regulatory Organization’s Moreover, total operating expenses of forth in the Application. Statement of the Purpose of, and the Natural Resources Portfolio were Statutory Basis for, the Proposed Rule lower than those of the Commodity Conclusion Change Return Strategy Portfolio as of December Applicants assert that, for all the In its filing with the Commission, BX 31, 2010. reasons stated in the Applicant, the included statements concerning the 30. The Applicants represent that the Substitution is consistent with the purpose of and basis for the proposed Natural Resources Portfolio protection of investors and the purposes rule change and discussed any outperformed the Commodity Return fairly intended by the policy of the comments it received on the proposed Strategy Portfolio for the one-year Contracts and provisions of the Act and rule change. The text of these statements period ending December 31, 2010 and that the requested order should be may be examined at the places specified since inception. In addition, the assets granted. in Item IV below. BX has prepared of the Natural Resources Portfolio have For the Commission, by the Division of summaries, set forth in Sections A, B, been consistently (and significantly) Investment Management pursuant to and C below, of the most significant higher than those of the Commodity delegated authority. aspects of such statements. Return Strategy Portfolio as of December Cathy H. Ahn, A. Self-Regulatory Organization’s 31, 2010 and for each of the prior four Deputy Secretary. calendar years. Statement of the Purpose of, and [FR Doc. 2011–13995 Filed 6–6–11; 8:45 am] 31. For purposes of the approval Statutory Basis for, the Proposed Rule sought pursuant to Section 26(c) of the BILLING CODE 8011–01–P Change Act, the Applicants represent that the 1. Purpose Substitution will not be completed SECURITIES AND EXCHANGE The Exchange proposes to make a unless all of the following conditions COMMISSION are met. correction to Exchange Rule 7019(c) of its Market Data Distributor Fees rule to • The Commission shall have issued [Release No. 34–64577; File No. SR–BX– correct an inadvertent error in the an order approving the Substitution 2011–028] definition of ‘‘Direct Access’’ contained under Section 26(c) of the Act as in a recent filing (‘‘previous filing’’).3 necessary to carry out the transactions Self-Regulatory Organizations; The The previous filing intended to amend described in the Application. NASDAQ OMX BX Inc. LLC; Notice of the fee schedule to correct an anomaly • Each Contract owner will have been Filing and Immediate Effectiveness of that effectively exempted certain sent (i) prior to the Effective Date, a Proposed Rule Change Regarding the customers residing within the copy of the effective prospectus for the Correction of an Inadvertent Error in Exchange’s co-location facility from Replacement Portfolio, (ii) prior to the Exchange Rule 7019(c) paying a monthly fee for direct access to Effective Date, a Pre-Substitution Notice Exchange data, while customers that describing the terms of the Substitution June 1, 2011. received data from an extranet and and the rights of the Contract owners in Pursuant to Section 19(b)(1) of the resided outside the co-location facility connection with the Substitution, and Securities Exchange Act of 1934 were assessed the fee. The previous (iii) within five (5) days after the (‘‘Act’’),1 and Rule 19b–4 thereunder,2 filing also deleted outdated verbiage in Substitution occurs, a notice informing notice is hereby given that on May 20, the fee schedule in order to eliminate Contract owners affected by the 2011, The NASDAQ BX OMX, Inc. LLC confusion regarding application of the Substitution that the Substitution was (‘‘BX’’ or ‘‘Exchange’’) filed with the fees. However, the rule language carried out (this notice will restate the Securities and Exchange Commission contained an inadvertent error that information set forth in the Pre- (‘‘Commission’’) the proposed rule effectively still exempts certain co- Substitution Notice, and also explain change as described in Items I, II, and located customers receiving Exchange that the contract values attributable to III below, which Items have been data feeds from paying a direct access investments in the Substituted Portfolio prepared by BX. The Commission is fee. were transferred to the Replacement publishing this notice to solicit The definition should be corrected to Portfolio without charge (including comments on the proposed rule change make clear that the definition of ‘‘Direct sales charges or surrender charges) and from interested persons. without counting toward the number of 3 Securities Exchange Act Release No. 63442 transfers that may be permitted without 1 15 U.S.C. 78s(b)(1). (December 6, 2010), 75 FR 77029, (December 10, charge). 2 17 CFR 240.19b-4. 2010) (SR–BX–2010–081).

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Access’’ is also applicable to a temporarily suspend such rule change if information that you wish to make telecommunications interface with the it appears to the Commission that such available publicly. All submissions Exchange for receiving Exchange data action is: (i) Necessary or appropriate in should refer to File Number SR–BX– feeds (and not Exchange data) within the public interest; (ii) for the protection 2011–028, and should be submitted on the Exchange co-location facility as of investors; or (iii) otherwise in or before June 28, 2011. well. The Exchange is making this furtherance of the purposes of the Act. For the Commission, by the Division of change due to an inadvertent clerical If the Commission takes such action, the Trading and Markets, pursuant to delegated error in the previous filing and is Commission shall institute proceedings authority.8 making no other changes to Exchange to determine whether the proposed rule Cathy Ahn, Rule 7019. should be approved or disapproved. Deputy Secretary. 2. Statutory Basis IV. Solicitation of Comments [FR Doc. 2011–13926 Filed 6–6–11; 8:45 am] BILLING CODE 8011–01–P The Exchange believes that the Interested persons are invited to proposed rule change is consistent with submit written data, views, and 4 arguments concerning the foregoing, the provisions of Section 6 of the Act, SECURITIES AND EXCHANGE including whether the proposed rule in general, and with Sections 6(b)(5) of COMMISSION the Act,5 in particular. The proposal is change, as amended, is consistent with designed to prevent fraudulent and the Act. Comments may be submitted by [Release No. 34–64578; File No. SR–Phlx– manipulative acts and practices, to any of the following methods: 2011–71] promote just and equitable principles of Electronic Comments Self-Regulatory Organizations; trade, to foster cooperation and • Use the Commission’s Internet NASDAQ OMX PHLX LLC; Notice of coordination with persons engaged in comment form (http://www.sec.gov/ Filing and Immediate Effectiveness of regulating, clearing, settling, processing rules/sro.shtml); or Proposed Rule Change Regarding the information with respect to, and • Send an e-mail to rule- Correction of an Inadvertent Error in facilitating transactions in securities, to [email protected]. Please include File the Fee Schedule remove impediments to and perfect the Number SR–BX–2011–028 on the mechanism of a free and open market subject line. June 1, 2011. and a national market system, and, in Pursuant to Section 19(b)(1) of the general, to protect investors and the Paper Comments Securities Exchange Act of 1934 public interest. The proposed rule • Send paper comments in triplicate (‘‘Act’’),1 and Rule 19b–4 thereunder,2 change is to correct an inadvertent error to Elizabeth M. Murphy, Secretary, notice is hereby given that on May 20, in the definition of ‘‘Direct Access’’ in Securities and Exchange Commission, 2011, NASDAQ OMX PHLX LLC (‘‘Phlx’’ Exchange Rule 7019(d) of its Market 100 F Street, NE., Washington, DC or the ‘‘Exchange’’) filed with the Data Distributor Fees rule. 20549–1090. Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed B. Self-Regulatory Organization’s All submissions should refer to File rule change as described in Items I, II, Statement on Burden on Competition Number SR–BX–2011–028. This file number should be included on the and III, below, which Items have been The Exchange does not believe that subject line if e-mail is used. To help the prepared by the Exchange. The the proposed rule change will result in Commission process and review your Commission is publishing this notice to any burden on competition that is not comments more efficiently, please use solicit comments on the proposed rule necessary or appropriate in furtherance only one method. The Commission will change from interested persons. of the purposes of the Act, as amended. post all comments on the Commission’s I. Self-Regulatory Organization’s C. Self-Regulatory Organization’s Internet Web site (http://www.sec.gov/ Statement of the Terms of Substance of Statement on Comments on the rules/sro.shtml). Copies of the the Proposed Rule Change submission, all subsequent Proposed Rule Change Received From The Exchange proposes to make a amendments, all written statements Members, Participants, or Others correction to the definition of ‘‘Direct with respect to the proposed rule Written comments were neither Access’’ in the fee schedule. The change that are filed with the solicited nor received. Exchange shall implement this rule Commission, and all written proposal immediately. III. Date of Effectiveness of the communications relating to the The text of the proposed rule change Proposed Rule Change and Timing for proposed rule change between the is available on the Exchange’s Web site Commission Action Commission and any person, other than at http:// Pursuant to Section 19(b)(3)(A) of the those that may be withheld from the nasdaqomxphlx.cchwallstreet.com/ Act 6 and Rule 19b–4(f)(3) thereunder,7 public in accordance with the NASDAQOMXPHLX/Filings/, at the the Exchange has designated this provisions of 5 U.S.C. 552, will be principal office of the Exchange, and at proposal as one that is concerned solely available for Web site viewing and the Commission’s Public Reference with the administration of the self- printing in the Commission’s Public Room. regulatory organization. Accordingly, Reference Room, 100 F Street, NE., II. Self-Regulatory Organization’s the Exchange believes that its proposal Washington, DC 20549, on official Statement of the Purpose of, and should become immediately effective. business days between the hours of 10 Statutory Basis for, the Proposed Rule At any time within 60 days of the a.m. and 3 p.m. Copies of such filing Change filing of the proposed rule change, the also will be available for inspection and Commission summarily may copying at the principal office of the In its filing with the Commission, the Exchange. All comments received will Exchange included statements 4 15 U.S.C. 78f. be posted without change; the 5 15 U.S.C. 78f(b)(5). Commission does not edit personal 8 17 CFR 200.30–3(a)(12). 6 15 U.S.C. 78s(b)(3)(A). identifying information from 1 15 U.S.C. 78s(b)(1). 7 17 CFR 240.19b 4(f)(3). submissions. You should submit only 2 17 CFR 240.19b–4.

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concerning the purpose of and basis for trade, to foster cooperation and • Send an e-mail to rule- the proposed rule change and discussed coordination with persons engaged in [email protected]. Please include File any comments it received on the regulating, clearing, settling, processing Number SR–Phlx–2011–71 on the proposed rule change. The text of these information with respect to, and subject line. statements may be examined at the facilitating transactions in securities, to places specified in Item IV below. The remove impediments to and perfect the Paper Comments Exchange has prepared summaries, set mechanism of a free and open market • Send paper comments in triplicate forth in sections A, B, and C below, of and a national market system, and, in to Elizabeth M. Murphy, Secretary, the most significant aspects of such general, to protect investors and the statements. public interest. The proposed rule Securities and Exchange Commission, change is to correct an inadvertent error 100 F Street, NE., Washington, DC A. Self-Regulatory Organization’s in the definition of ‘‘Direct Access’’ in 20549–1090. Statement of the Purpose of, and Section IX of its Fee Schedule. Statutory Basis for, the Proposed Rule All submissions should refer to File Change B. Self-Regulatory Organization’s Number SR–Phlx–2011–71. This file Statement on Burden on Competition number should be included on the 1. Purpose subject line if e-mail is used. To help the The Exchange does not believe that The Exchange proposes to make a the proposed rule change will impose Commission process and review your correction to the PHLX Fee Schedule, any burden on competition not comments more efficiently, please use Section IX, entitled ‘‘NASDAQ OMX necessary or appropriate in furtherance only one method. The Commission will PSX FEES’’ under the ‘‘Market Data of the purposes of the Act, as amended. post all comments on the Commission’s Distributor Fees’’ section to correct an Internet Web site (http://www.sec.gov/ inadvertent error in the definition of C. Self-Regulatory Organization’s rules/sro.shtml). Copies of the ‘‘Direct Access’’ contained in a recent Statement on Comments on the submission, all subsequent ‘‘ ’’ 3 filing ( previous filing ). The previous Proposed Rule Change Received From amendments, all written statements Members, Participants, or Others filing intended to amend the fee with respect to the proposed rule schedule to correct an anomaly that No written comments were either change that are filed with the effectively exempted certain customers solicited or received. Commission, and all written residing within the Exchange’s co- location facility from paying a monthly III. Date of Effectiveness of the communications relating to the fee for direct access to Exchange data, Proposed Rule Change and Timing for proposed rule change between the while customers that received data from Commission Action Commission and any person, other than an extranet and resided outside the co- Pursuant to Section 19(b)(3)(A) of the those that may be withheld from the location facility were assessed the fee. Act 6 and Rule 19b–4(f)(3) thereunder,7 public in accordance with the The previous filing also deleted the Exchange has designated this provisions of 5 U.S.C. 552, will be outdated verbiage in the fee schedule in proposal as one that is concerned solely available for Web site viewing and order to eliminate confusion regarding with the administration of the self- printing in the Commission’s Public application of the fees. However, the regulatory organization. Accordingly, Reference Room, 100 F Street, NE., rule language contained an inadvertent the Exchange believes that its proposal Washington, DC 20549, on official error that effectively still exempts should become immediately effective. business days between the hours of 10 certain co-located customers receiving At any time within 60 days of the a.m. and 3 p.m. Copies of such filing Exchange data feeds from paying a filing of the proposed rule change, the also will be available for inspection and direct access fee. Commission summarily may copying at the principal office of the The definition should be corrected to temporarily suspend such rule change if Exchange. All comments received will make clear that the definition of ‘‘Direct it appears to the Commission that such be posted without change; the Access’’ is also applicable to a action is: (i) Necessary or appropriate in Commission does not edit personal telecommunications interface with the the public interest; (ii) for the protection identifying information from of investors; or (iii) otherwise in Exchange for receiving Exchange data submissions. You should submit only furtherance of the purposes of the Act. feeds (and not Exchange data) within information that you wish to make the Exchange co-location facility as If the Commission takes such action, the available publicly. All submissions well. The Exchange is making this Commission shall institute proceedings should refer to File Number SR–Phlx– change due to an inadvertent clerical to determine whether the proposed rule 2011–71 and should be submitted on or error in the previous filing and is should be approved or disapproved. before June 28, 2011. making no other changes to Section IX. IV. Solicitation of Comments For the Commission, by the Division of 2. Statutory Basis Interested persons are invited to Trading and Markets, pursuant to delegated The Exchange believes that the submit written data, views, and authority.8 arguments concerning the foregoing, proposed rule change is consistent with Cathy H. Ahn, the provisions of Section 6 of the Act,4 including whether the proposed rule Deputy Secretary. in general, and with Sections 6(b)(5) of change is consistent with the Act. the Act,5 in particular. The proposal is Comments may be submitted by any of [FR Doc. 2011–13939 Filed 6–6–11; 8:45 am] designed to prevent fraudulent and the following methods: BILLING CODE 8011–01–P manipulative acts and practices, to Electronic Comments promote just and equitable principles of • Use the Commission’s Internet 3 Securities Exchange Act Release No. 63443 comment form (http://www.sec.gov/ (December 6, 2010), 75 FR 77028, (December 10, rules/sro.shtml); or 2010) (SR–Phlx–2010–170). 4 15 U.S.C. 78f. 6 15 U.S.C. 78s(b)(3)(A). 5 15 U.S.C. 78f(b)(5). 7 17 CFR 240.19b–4(f)(3). 8 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE The self-regulatory organization has because the order routing fee structure COMMISSION prepared summaries, set forth in applies to all BOX Participants. Sections A, B, and C below, of the most Further, the Exchange believes the [Release No. 34–64583; File No. SR–BX– proposed change and its resulting order 2011–031] significant aspects of such statements. routing fees are fair and reasonable and A. Self-Regulatory Organization’s must be competitive with similar fees in Self-Regulatory Organizations; Notice Statement of the Purpose of, and place on other exchanges. BOX operates of Filing and Immediate Effectiveness Statutory Basis for, the Proposed Rule within a highly competitive market in of Proposed Rule Change by NASDAQ Change OMX BX, Inc. To Amend the Fee which market participants can readily Schedule of BOX 1. Purpose direct order flow to any of eight other The Exchange proposes an competing venues if they deem fee June 2, 2011. amendment to the BOX Fee Schedule to levels at a particular venue to be Pursuant to Section 19(b)(1) of the increase the number of contracts per excessive. The change to allow BOX Securities Exchange Act of 1934 month of Eligible Orders that BOX will Participants to have more orders routed ‘‘ ’’ 1 2 ( Act ) , and Rule 19b–4 thereunder, route to Away Exchanges before away at no cost is intended to attract notice is hereby given that on May 31, assessing a $0.50 per contract fee. BOX order flow to BOX and provide BOX 2011, NASDAQ OMX BX, Inc. (the currently exempts outbound Eligible Participants additional flexibility in ‘‘ ’’ Exchange ) filed with the Securities Orders routed to Away Exchanges, up to their execution decisions. The Exchange and Exchange Commission a maximum of 4,000 contracts per believes all market participants can ‘‘ ’’ ( Commission ) the proposed rule month, from the fees and credits of benefit from greater liquidity on BOX change as described in Items I and II, Section 7 of the BOX Fee Schedule, as and that it is appropriate to provide a below, which Items have been prepared these transactions are deemed to neither fee structure intended to attract by the self-regulatory organization. The ‘add’ nor ‘take’ liquidity from the BOX additional order flow. In particular, the Exchange filed the proposed rule change Book.6 Additionally, Section 8 of the proposed change will allow BOX to pursuant to Section 19(b)(3)(A)(ii) of the BOX Fee Schedule currently imposes a remain competitive with other Act,3 and Rule 19b–4(f)(2) thereunder,4 fee of $0.50 per contract for all Eligible exchanges, allow BOX to assess the which renders the proposal effective Orders routed to Away Exchanges in appropriate fees with respect to orders upon filing with the Commission. The excess of 4,000 contracts per month for routed to away exchanges, and to apply Commission is publishing this notice to an individual BOX Options Participant.7 such fees in a manner which is solicit comments on the proposed rule The Exchange proposes to raise this equitable among all BOX Participants. change from interested persons. maximum for the exemption in Section The Exchange believes that this I. Self-Regulatory Organization’s 7 and the fee assessment in Section 8 to competitive marketplace impacts the Statement of the Terms of Substance of 10,000 contracts per month, per Options fees present on BOX today and the Proposed Rule Change Participant. influences this proposal. The Exchange proposes to amend the 2. Statutory Basis B. Self-Regulatory Organization’s Fee Schedule of the Boston Options The Exchange believes that the Statement on Burden on Competition Exchange Group, LLC (‘‘BOX’’).5 While proposal is consistent with the The Exchange does not believe that changes to the BOX Fee Schedule requirements of Section 6(b) of the Act,8 the proposed rule change will impose pursuant to this proposal will be in general, and Section 6(b)(4) of the any burden on competition not effective upon filing, the changes will Act,9 in particular, in that it provides for necessary or appropriate in furtherance become operative on June 1, 2011. The the equitable allocation of reasonable of the purposes of the Act. text of the proposed rule change is available from the principal office of the dues, fees, and other charges among C. Self-Regulatory Organization’s Exchange, at the Commission’s Public BOX Participants and other persons Statement on Comments on the Reference Room, and also on the using its facilities. Proposed Rule Change Received From The Exchange believes that it is Exchange’s Internet Web site at http:// Members, Participants, or Others equitable to permit BOX Participants to nasdaqomxbx.cchwallstreet.com/ have orders routed to away exchanges The Exchange has neither solicited NASDAQOMXBX/Filings. without being assessed a fee, up to a nor received comments on the proposed II. Self-Regulatory Organization’s maximum of 10,000 contracts per rule change. Statement of the Purpose of, and month. Each BOX Participant will then III. Date of Effectiveness of the Statutory Basis for, the Proposed Rule be assessed a $0.50 per contract fee for Proposed Rule Change and Timing for Change orders routed to away exchanges beyond Commission Action 10,000 contracts per month. The In its filing with the Commission, the The foregoing rule change has become self-regulatory organization included Exchange believes that increasing this maximum will attract additional order effective pursuant to Section statements concerning the purpose of, 10 flow to BOX to the benefit of all market 19(b)(3)(A)(ii) of the Act and Rule and basis for, the proposed rule change 19b–4(f)(2) thereunder,11 because it and discussed any comments it received participants. The Exchange believes that it is an equitable allocation of the fees establishes or changes a due, fee, or on the proposed rule change. The text other charge applicable only to a of these statements may be examined at 6 member. the places specified in Item IV below. See Securities Exchange Act Release No. 60504 (August 14, 2009), 74 FR 42724 (August 24, 2009) At any time within 60 days of the (SR–BX–2009–047). filing of the proposed rule change, the 1 15 U.S.C. 78s(b)(1). 7 See Securities Exchange Act Release No. 60610 Commission summarily may 2 17 CFR 240.19b–4. (September 1, 2009), 74 FR 46285 (September 8, temporarily suspend such rule change if 3 15 U.S.C. 78s(b)(3)(A)(ii). 2009) (SR–BX–2009–058). The proposed change 4 17 CFR 240.19b–4(f)(2). will have no effect on the billing of orders of non- it appears to the Commission that such 5 The BOX Fee Schedule can be found on the BOX Options Participants. BOX Web site at http://bostonoptions.com/pdf/ 8 15 U.S.C. 78f(b). 10 15 U.S.C. 78s(b)(3)(A)(ii). BOX_Fee _Schedule.pdf. 9 15 U.S.C. 78f(b)(4). 11 17 CFR 240.19b–4(f)(2).

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action is necessary or appropriate in the 2011–031 and should be submitted on micro.aspx?id=PHLXfilings, at the public interest, for the protection of or before June 28, 2011. principal office of the Exchange, at the investors, or otherwise in furtherance of For the Commission, by the Division of Commission’s Public Reference Room, the purposes of the Act. Trading and Markets, pursuant to delegated and on the Commission’s Web site at 12 http://www.sec.gov. IV. Solicitation of Comments authority. Cathy H. Ahn, Interested persons are invited to II. Self-Regulatory Organization’s submit written data, views, and Deputy Secretary. Statement of the Purpose of, and arguments concerning the foregoing, [FR Doc. 2011–13994 Filed 6–6–11; 8:45 am] Statutory Basis for, the Proposed Rule including whether the proposed rule BILLING CODE 8011–01–P Change change is consistent with the Act. In its filing with the Commission, the Comments may be submitted by any of Exchange included statements the following methods: SECURITIES AND EXCHANGE concerning the purpose of and basis for COMMISSION the proposed rule change and discussed Electronic Comments [Release No. 34–64580; File No. SR–Phlx– any comments it received on the • Use the Commission’s Internet 2011–73] proposed rule change. The text of these comment form (http://www.sec.gov/ statements may be examined at the rules/sro.shtml); or Self-Regulatory Organizations; Notice places specified in Item IV below. The • Send an e-mail to rule- of Filing and Immediate Effectiveness Exchange has prepared summaries, set [email protected]. Please include File of Proposed Rule Change by NASDAQ forth in sections A, B, and C below, of Number SR–BX–2011–031 on the OMX PHLX LLC Relating to Customer the most significant aspects of such subject line. Complex Orders statements. Paper Comments June 1, 2011. A. Self-Regulatory Organization’s • Send paper comments in triplicate Pursuant to Section 19(b)(1) of the Statement of the Purpose of, and to Elizabeth M. Murphy, Secretary, Securities Exchange Act of 1934 Statutory Basis for, the Proposed Rule Securities and Exchange Commission, (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Change notice is hereby given that on May 24, 100 F Street, NE., Washington, DC 1. Purpose 20549–1090. 2011, NASDAQ OMX PHLX LLC (‘‘Phlx’’ All submissions should refer to File or ‘‘Exchange’’) filed with the Securities The purpose of the proposed rule Number SR–BX–2011–031. This file and Exchange Commission (‘‘SEC’’ or change is to amend certain Complex number should be included on the ‘‘Commission’’) the proposed rule Order Fees in Section I, Part C of the 4 subject line if e-mail is used. To help the change as described in Items I, II, and Exchange’s Fee Schedule as well as in Commission process and review your III, below, which Items have been Section II. The Exchange proposes the comments more efficiently, please use prepared by the Exchange. The fee changes to create additional only one method. The Commission will Commission is publishing this notice to incentives for market participants to post all comments on the Commission’s solicit comments on the proposed rule execute Customer Complex Orders on Internet Web site (http://www.sec.gov/ change from interested persons. the Exchange. The Exchange proposes to amend rules/sro.shtml). Copies of the I. Self-Regulatory Organization’s submission, all subsequent Section I, Part C which currently Statement of the Terms of Substance of provides, ‘‘[a] Customer Complex Order amendments, all written statements the Proposed Rule Change with respect to the proposed rule will receive a Rebate for Adding change that are filed with the The Exchange proposes to amend its Liquidity (as set forth in Part B) in an Commission, and all written Complex Order 3 Fees in Section I of its electronic auction and during the communications relating to the Fee Schedule entitled ‘‘Rebates and Fees Exchange’s opening process, except proposed rule change between the for Adding and Removing Liquidity in when such Customer order is contra to Commission and any person, other than Select Symbols’’ and Section II entitled another Customer order.’’ The Exchange those that may be withheld from the ‘‘Equity Options Fees.’’ is proposing to amend this provision as public in accordance with the While changes to the Fee Schedule it relates to electronic auctions, provisions of 5 U.S.C. 552, will be pursuant to this proposal are effective specifically a Complex Order Live 5 available for Web site viewing and upon filing, the Exchange has Auction (‘‘COLA’’). The Exchange is not printing in the Commission’s Public designated these changes to be operative amending the Rebate for Adding Reference Room, 100 F Street, NW., on June 1, 2011. Liquidity as it applies to all other Washington, DC 20549, on official The text of the proposed rule change electronic auctions, including the business days between the hours of 10 is available on the Exchange’s Web site Exchange’s opening process a.m. and 3 p.m. The text of the proposed at http://nasdaqtrader.com/ (collectively ‘‘Other Auctions’’). rule change is available on the First, the Exchange would offer a 12 17 CFR 200.30–3(a)(12). Rebate for Adding Liquidity for a Commission’s Web site at http:// 1 15 U.S.C. 78s(b)(1). www.sec.gov. Copies of such filing also Customer Complex Order in a COLA, 2 17 CFR 240.19b–4. regardless of the contra-party. The will be available for inspection and 3 A Complex Order is any order involving the contra-party restriction is being copying at the principal office of the simultaneous purchase and/or sale of two or more Exchange. All comments received will different options series in the same underlying security, priced at a net debit or credit based on the 4 Section I applies to certain symbols defined in be posted without change; the relative prices of the individual components, for the Section I as ‘‘Select Symbols.’’ Commission does not edit personal same account, for the purpose of executing a 5 COLA is the automated Complex Order Live identifying information from particular investment strategy. Furthermore, a Auction process. A COLA may take place upon submissions. You should submit only Complex Order can also be a stock-option order, identification of the existence of a COLA-eligible which is an order to buy or sell a stated number order either: (1) Following a COOP, or (2) during information that you wish to make of units of an underlying stock or ETF coupled with normal trading if the Phlx XL system receives a available publicly. All submissions the purchase or sale of options contract(s). See Complex Order that improves the cPBBO. See should refer to File Number SR–BX– Exchange Rule 1080, Commentary .08(a)(i). Exchange Rule 1080.

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removed except with regard to Other Customer Complex Order is contra to 2. Statutory Basis 6 Auctions, including the opening another Customer order. The Exchange believes that its process. Specifically, the Exchange is Additionally, the Exchange is proposal to amend its Fee Schedule is proposing to pay a Rebate for Adding proposing to amend Section II of the Fee consistent with Section 6(b) of the Act 17 Liquidity on Customer Complex Orders Schedule which currently states, ‘‘[a] in general, and furthers the objectives of in a COLA, notwithstanding whether rebate of $0.05 per contract will be paid Section 6(b)(4) of the Act 18 in the Customer order is contra to another for Customer complex orders that are particular, in that it is an equitable Customer order. The Exchange would electronically-delivered and executed allocation of reasonable fees and other continue to pay a Rebate for Adding against a non-Customer (Specialist, charges among Exchange members. The Liquidity on Customer Complex Orders ROT, SQT, RSQT, Professional, Firm or Exchange believes that its proposal during Other Auctions, including the Broker-Dealer) contra-side complex should continue to attract Customer Exchange’s opening process,7 in certain order, or a non-Customer individual order flow to the Exchange for the circumstances. The Exchange is not amending the order or quote.’’ The Exchange is benefit of all market participants [sic]. Rebate for Adding Liquidity as it applies proposing to pay a $0.05 per contract The Exchange believes that its to Other Auctions, including the rebate for Customer Complex Orders proposal is reasonable because the Exchange’s opening process. For Other that are electronically delivered Exchange is continuing to pay the same Auctions, the Exchange would continue regardless of the contra-party (‘‘Nickel Rebate for Adding Liquidity in a COLA to pay a Rebate for Adding Liquidity (as Rebate’’). The contra-party restriction is electronic auction. The Exchange is set forth in Part B) when a Customer being removed. The Exchange would seeking to increase the incentives for Complex Order is executed against a continue to pay a rebate on Customer member organizations to send Customer non-Customer (Specialist,8 Registered Complex Orders notwithstanding Complex Order flow to the Exchange for Options Trader,9 SQT,10 RSQT,11 whether the Customer order is executed execution by expanding the opportunity Professional,12 Firm or Broker-Dealer) against a non-Customer contra-side to earn a rebate. The Exchange believes contra-side Complex Order, or a non- Complex Order or a non-Customer that offering the Nickel Rebate on all Customer individual order or quote. In individual order or quote. Section II Customer Complex Orders, executed in other words, for Other Auctions, the applies to options overlying equities, a non-Select Symbol, and electronically- Exchange would continue to not pay a exchange-traded note (‘‘ETN’’) 13 options, delivered, regardless of the contra-party, Rebate for Adding Liquidity when such exchange-traded fund (‘‘ETF’’) options,14 is reasonable because the Nickel Rebate indexes and HOLDRS,15 which are should incentivize additional Customer 6 For purposes of this filing, Other Auctions Multiply-Listed.16 Complex Orders to be sent to the include Quote and Market Exhaust auctions. Market Exchange for execution. The Exchange is proposing to make a Exhaust occurs when there are no Phlx XL II The Exchange believes that the participant (specialist, SQT or RSQT) quotations in grammatical change in Section II to proposal is equitable because the the Exchange’s disseminated market for a particular capitalize the words ‘‘complex order.’’ Exchange is seeking to expand the series and an initiating order in the series is The Exchange is also proposing to received. In such a circumstance, the Phlx XL II opportunity to earn a Rebate for Adding amend the definition of electronic system, using Market Exhaust, will initiate a Market Liquidity during a COLA, which the Exhaust auction for the initiating order. Under auctions in the Fee Schedule to Exchange believes acts as an incentive Market Exhaust, any order volume that is routed to reference Rule 1082 for additional away markets will be marked as an Intermarket to increase Customer Complex Orders to clarity. Sweep Order or ‘‘ISO.’’ See Exchange Rule 1082. be delivered to the Exchange for COLA auctions are discussed above and not While changes to the Fee Schedule execution, which in turn benefits all included in the Other Auctions reference. pursuant to this proposal are effective 7 See Exchange Rule 1017. market participants. The Exchange 8 A Specialist is an Exchange member who is upon filing, the Exchange has believes the same rationale applies to registered as an options specialist pursuant to Rule designated these changes to be operative the Nickel Rebate. As stated above, the 1020(a). on June 1, 2011. Exchange believes market participants 9 A Registered Options Trader (‘‘ROT’’) includes a Streaming Quote Trader (‘‘SQT’’), a Remote benefit from improved liquidity and 13 Streaming Quote Trader (‘‘RSQT’’) and a Non-SQT ETNs are also known as ‘‘Index-Linked trading opportunities. ROT, which by definition is neither a SQT or a Securities,’’ which are designed for investors who The Exchange operates in a highly desire to participate in a specific market segment RSQT. A ROT is defined in Exchange Rule 1014(b) competitive market comprised of nine as a regular member or a foreign currency options by providing exposure to one or more identifiable participant of the Exchange located on the trading underlying securities, commodities, currencies, U.S. options exchanges in which floor who has received permission from the derivative instruments or market indexes of the knowledgeable and sophisticated Exchange to trade in options for his own account. foregoing. Index-Linked Securities are the non- market participants readily can, and do, convertible debt of an issuer that have a term of at See Exchange Rule 1014 (b)(i) and (ii). send order flow to competing exchanges 10 An SQT is defined in Exchange Rule least one (1) year but not greater than thirty (30) 1014(b)(ii)(A) as an ROT who has received years. Despite the fact that Index-Linked Securities if they deem fee levels at a particular permission from the Exchange to generate and are linked to an underlying index, each trade as a exchange to be excessive or submit option quotations electronically in options single, exchange-listed security. Accordingly, rules economically unfavorable. The pertaining to the listing and trading of standard to which such SQT is assigned. Exchange believes that the proposed 11 An RSQT is defined in Exchange Rule equity options apply to Index-Linked Securities. 14 modifications to the rebates paid for 1014(b)(ii)(B) as an ROT that is a member or An ETF is an open-ended registered investment member organization with no physical trading floor company under the Investment Company Act of Customer Complex Orders must be presence who has received permission from the 1940 that has received certain exemptive relief from competitive with rebates available on Exchange to generate and submit option quotations the Commission to allow secondary market trading other options exchanges. The Exchange electronically in options to which such RSQT has in the ETF shares. ETFs are generally index-based been assigned. An RSQT may only submit such products, in that each ETF holds a portfolio of strongly believes that this competitive quotations electronically from off the floor of the securities that is intended to provide investment options marketplace impacts and Exchange. results that, before fees and expenses, generally influences the fees and rebates present 12 The Exchange defines a ‘‘professional’’ as any correspond to the price and yield performance of the underlying benchmark index. on the Exchange today and affects the person or entity that (i) Is not a broker or dealer in proposals set forth above. securities, and (ii) places more than 390 orders in 15 HOLDRS are Holding Company Depository listed options per day on average during a calendar Receipts. month for its own beneficial account(s) (hereinafter 16 A Multiply Listed security means an option 17 15 U.S.C. 78f(b). ‘‘Professional’’). that is listed on more than one exchange. 18 15 U.S.C. 78f(b)(4).

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B. Self-Regulatory Organization’s Internet Web site (http://www.sec.gov/ proposed rule change from interested Statement on Burden on Competition rules/sro.shtml). Copies of the persons. submission, all subsequent The Exchange does not believe that I. Self-Regulatory Organization’s amendments, all written statements the proposed rule change will impose Statement of the Terms of the Substance with respect to the proposed rule any burden on competition not of the Proposed Rule Change necessary or appropriate in furtherance change that are filed with the of the purposes of the Act. Commission, and all written NASDAQ proposes to make a communications relating to the correction to the definition of ‘‘Direct C. Self-Regulatory Organization’s proposed rule change between the Access’’ in NASDAQ Rule 7019(d). Statement on Comments on the Commission and any person, other than NASDAQ proposes to implement the Proposed Rule Change Received From those that may be withheld from the proposed rule change immediately. Members, Participants, or Others public in accordance with the The text of the proposed rule change No written comments were either provisions of 5 U.S.C. 552, will be is available on NASDAQ Web site solicited or received. available for Web site viewing and http://nasdaq.cchwallstreet.com, at printing in the Commission’s Public NASDAQ’s principal office, and at the III. Date of Effectiveness of the Reference Room on official business Proposed Rule Change and Timing for Commission’s Public Reference Room. days between the hours of 10 a.m. and Commission Action 3 p.m. Copies of such filing also will be II. Self-Regulatory Organization’s The foregoing rule change has become available for inspection and copying at Statement of the Purpose of, and effective pursuant to Section the principal office of the Exchange. All Statutory Basis for, the Proposed Rule 19(b)(3)(A)(ii) of the Act.19 At any time comments received will be posted Change within 60 days of the filing of the without change; the Commission does In its filing with the Commission, proposed rule change, the Commission not edit personal identifying NASDAQ included statements summarily may temporarily suspend information from submissions. You concerning the purpose of and basis for such rule change if it appears to the should submit only information that the proposed rule change and discussed Commission that such action is you wish to make available publicly. All any comments it received on the necessary or appropriate in the public submissions should refer to File proposed rule change. The text of these interest, for the protection of investors, Number SR–Phlx–2011–73 and should statements may be examined at the or otherwise in furtherance of the be submitted on or before June 28, 2011. places specified in Item IV below. purposes of the Act. If the Commission For the Commission, by the Division of NASDAQ has prepared summaries, set takes such action, the Commission shall Trading and Markets, pursuant to delegated forth in Sections A, B, and C below, of institute proceedings to determine authority.20 the most significant aspects of such whether the proposed rule should be Cathy H. Ahn, statements. approved or disapproved. Deputy Secretary. A. Self-Regulatory Organization’s IV. Solicitation of Comments [FR Doc. 2011–13940 Filed 6–6–11; 8:45 am] Statement of the Purpose of, and Interested persons are invited to BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule submit written data, views, and Change arguments concerning the foregoing, 1. Purpose including whether the proposed rule SECURITIES AND EXCHANGE change is consistent with the Act. COMMISSION NASDAQ proposes to make a Comments may be submitted by any of [Release No. 34–64579; File No. SR– correction to NASDAQ Rule 7019(d) of the following methods: NASDAQ–2011–071] its Market Data Distributor Fees rule to correct an inadvertent error in the Electronic Comments Self-Regulatory Organizations; The definition of ‘‘Direct Access’’ contained • Use the Commission’s Internet NASDAQ Stock Market LLC; Notice of in a recent filing (‘‘previous filing’’).3 comment form (http://www.sec.gov/ Filing and Immediate Effectiveness of The previous filing intended to amend rules/sro.shtml); or Proposed Rule Change Regarding the the fee schedule to correct an anomaly • Send an e-mail to rule- Correction of an Inadvertent Error in that effectively exempted certain [email protected]. Please include File NASDAQ Rule 7019(d) customers residing within NASDAQ’s Number SR–Phlx–2011–73 on the co-location facility from paying a subject line. June 1, 2011. monthly fee for direct access to Pursuant to Section 19(b)(1) of the Paper Comments NASDAQ data, while customers that Securities Exchange Act of 1934 • received data from an extranet and Send paper comments in triplicate (‘‘Act’’),1 and Rule 19b-4 thereunder,2 resided outside the co-location facility to Elizabeth M. Murphy, Secretary, notice is hereby given that on May 20, were assessed the fee. The previous Securities and Exchange Commission, 2011, The NASDAQ Stock Market LLC filing also deleted outdated verbiage in 100 F Street, NE., Washington, DC (‘‘NASDAQ’’) filed with the Securities the fee schedule in order to eliminate 20549–1090. and Exchange Commission confusion regarding application of the All submissions should refer to File (‘‘Commission’’) the proposed rule fees. However, the rule language Number SR–Phlx–2011–73. This file change as described in Items I, II, and contained an inadvertent error that number should be included on the III below, which Items have been effectively still exempts certain co- subject line if e-mail is used. To help the substantially prepared by NASDAQ. located customers receiving NASDAQ Commission process and review your The Commission is publishing this data feeds from paying a direct access comments more efficiently, please use notice to solicit comments on the fee. only one method. The Commission will post all comments on the Commission’s 20 17 CFR 200.30–3(a)(12). 3 Securities Exchange Act Release No. 63441 1 15 U.S.C. 78s(b)(1). (December 6, 2010), 75 FR 77022, (December 10, 19 15 U.S.C. 78s(b)(3)(A)(ii). 2 17 CFR 240.19b–4. 2010) (SR–NASDAQ–2010–152).

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The definition should be corrected to Commission summarily may submissions. You should submit only make clear that the definition of ‘‘Direct temporarily suspend such rule change if information that you wish to make Access’’ is also applicable to a it appears to the Commission that such available publicly. All submissions telecommunications interface with action is: (i) Necessary or appropriate in should refer to File Number SR– NASDAQ for receiving NASDAQ data the public interest; (ii) for the protection NASDAQ–2011–071 and should be feeds (and not NASDAQ data) within of investors; or (iii) otherwise in submitted on or before June 28, 2011. the NASDAQ co-location facility as furtherance of the purposes of the Act. For the Commission, by the Division of well. NASDAQ is making this change If the Commission takes such action, the Trading & Markets, pursuant to delegated due to an inadvertent clerical error in Commission shall institute proceedings authority.8 the previous filing and is making no to determine whether the proposed rule Cathy H. Ahn, other changes to NASDAQ Rule 7019. should be approved or disapproved. Deputy Secretary. 2. Statutory Basis IV. Solicitation of Comments [FR Doc. 2011–13949 Filed 6–6–11; 8:45 am] BILLING CODE 8011–01–P The Exchange believes that the Interested persons are invited to proposed rule change is consistent with submit written data, views, and the provisions of Section 6 of the Act,4 arguments concerning the foregoing, SECURITIES AND EXCHANGE in general, and with Sections 6(b)(5) of including whether the proposed rule COMMISSION the Act,5 in particular. The proposal is change is consistent with the Act. designed to prevent fraudulent and Comments may be submitted by any of Sunshine Act Meeting manipulative acts and practices, to the following methods: Notice is hereby given, pursuant to promote just and equitable principles of Electronic Comments the provisions of the Government in the trade, to foster cooperation and • Use the Commission’s Internet Sunshine Act, Public Law 94–409, that coordination with persons engaged in comment form (http://www.sec.gov/ the Securities and Exchange regulating, clearing, settling, processing rules/sro.shtml); or Commission will hold a Closed Meeting information with respect to, and • Send an e-mail to rule- on Thursday, June 9, 2011 at 2 p.m. facilitating transactions in securities, to [email protected]. Please include File Commissioners, Counsel to the remove impediments to and perfect the Number SR–NASDAQ–2011–071 on the Commissioners, the Secretary to the mechanism of a free and open market subject line. Commission, and recording secretaries and a national market system, and, in will attend the Closed Meeting. Certain general, to protect investors and the Paper Comments staff members who have an interest in public interest. The proposed rule • Send paper comments in triplicate the matters also may be present. change is to correct an inadvertent error to Elizabeth Murphy, Secretary, The General Counsel of the in the definition of ‘‘Direct Access’’ in Securities and Exchange Commission, Commission, or his designee, has NASDAQ Rule 7019(d) of its Market 100 F Street, NE., Washington, DC certified that, in his opinion, one or Data Distributor Fees rule. 20549–1090. more of the exemptions set forth in 5 B. Self-Regulatory Organization’s All submissions should refer to File U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) Statement on Burden on Competition Number SR–NASDAQ–2011–071. This and 17 CFR 200.402(a)(3), (5), (7), 9(ii) file number should be included on the and (10), permit consideration of the NASDAQ does not believe that the subject line if e-mail is used. To help the scheduled matters at the Closed proposed rule change will result in any Commission process and review your Meeting. burden on competition that is not comments more efficiently, please use Commissioner Walter, as duty officer, necessary or appropriate in furtherance only one method. The Commission will voted to consider the items listed for the of the purposes of the Act, as amended. post all comments on the Commission’s Closed Meeting in a closed session. C. Self-Regulatory Organization’s Internet Web site (http://www.sec.gov/ The subject matter of the Closed Statement on Comments on the rules/sro.shtml). Copies of the Meeting scheduled for Thursday, June 9, Proposed Rule Change Received From submission, all subsequent 2011 will be: Members, Participants, or Others amendments, all written statements Institution and settlement of with respect to the proposed rule injunctive actions; Written comments were neither change that are filed with the institution and settlement of solicited nor received. Commission, and all written administrative proceedings; and III. Date of Effectiveness of the communications relating to the other matters relating to enforcement Proposed Rule Change and Timing for proposed rule change between the proceedings. Commission Action Commission and any person, other than At times, changes in Commission priorities require alterations in the Pursuant to Section 19(b)(3)(A) of the those that may be withheld from the public in accordance with the scheduling of meeting items. Act 6 and Rule 19b–4(f)(3) thereunder,7 For further information and to provisions of 5 U.S.C. 552, will be NASDAQ has designated this proposal ascertain what, if any, matters have been available for Web site viewing and as one that is concerned solely with the added, deleted or postponed, please printing in the Commission’s Public administration of the self-regulatory contact: organization. Accordingly, NASDAQ Reference Room, 100 F Street, NE., The Office of the Secretary at (202) believes that its proposal should become Washington, DC 20549, on official 551–5400. immediately effective. business days between the hours of 10 a.m. and 3 p.m. Copies of such filing Dated: June 2, 2011. At any time within 60 days of the Elizabeth M. Murphy, filing of the proposed rule change, the also will be available for inspection and copying at the principal office of the Secretary. 4 15 U.S.C. 78f. Exchange. All comments received will [FR Doc. 2011–14034 Filed 6–3–11; 11:15 am] 5 15 U.S.C. 78f(b)(5). be posted without change; the BILLING CODE 8011–01–P 6 15 U.S.C. 78s(b)(3)(A). Commission does not edit personal 7 17 CFR 240.19b–4(f)(3). identifying information from 8 17 CFR 200.30–3(a)(12).

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DEPARTMENT OF STATE and 18 CFR 806.22(f) for the time period Township, Wyoming County, Pa.; specified above: Consumptive Use of up to 7.500 mgd; [Public Notice: 7491] Approvals By Rule Issued Under 18 Approval Date: March 14, 2011. CFR 806.22(e): 12. Chesapeake Appalachia, LLC, Pad Waiver of Restriction on Assistance to 1. Hydro Recovery, LP, Treatment ID: Dziuba, ABR–201103012, Tuscarora the Royal Government of Cambodia Plant For High TDS Fluids, ABR– Township, Bradford County, Pa.; Pursuant to Section 7086(c)(2) of the 201103052, Lawrence Township, Consumptive Use of up to 7.500 mgd; Department of State, Foreign Clearfield County, Pa.; Consumptive Approval Date: March 14, 2011. Operations, and Related Programs Use of up to 0.200 mgd; Approval Date: 13. Chesapeake Appalachia, LLC, Pad Appropriations Act, 2010 (Division F, March 31, 2011. ID: Acton, ABR–201103013, Rome Pub. L. 111–117), as carried forward by Approvals By Rule Issued Under 18 Township, Bradford County, Pa.; the Full-Year Continuing CFR 806.22(f): Consumptive Use of up to 7.500 mgd; Appropriations Act 2011 (‘‘the Act’’), 1. EOG Resources, Inc., Pad ID: COP Approval Date: March 16, 2011. and Department of State Delegation of Pad N, ABR–201103001, Lawrence 14. Chief Oil & Gas LLC, Pad ID: W Authority Number 245–1, I hereby Township, Clearfield County, Pa.; & L Wilson Drilling Pad #1, ABR– determine that it is important to the Consumptive Use of up to 4.999 mgd; 201103014, Lemon Township, Wyoming national interest of the United States to Approval Date: March 4, 2011. County, Pa.; Consumptive Use of up to 2. Penn Virginia Oil & Gas waive the requirements of Section 2.000 mgd; Approval Date: March 16, Corporation, Pad ID: Hurler Pad, ABR– 7086(c)(1) of the Act with respect to the 2011. 201103002, Harrison Township, Potter Royal Government of Cambodia and I 15. Chief Oil & Gas LLC, Pad ID: PMG County, Pa.; Consumptive Use of up to hereby waive such restriction. Annie Drilling Pad #1, ABR–201103015, 4.000 mgd; Approval Date: March 7, This determination shall be reported Springville Township, Susquehanna 2011. to the Congress, and published in the County, Pa.; Consumptive Use of up to 3. Talisman Energy USA Inc., Pad ID: Federal Register. 2.000 mgd; Approval Date: March 17, 02 128 Brier Mountain Sportsmen, 2011. Dated: May 26, 2011. ABR–201103003, Liberty Township, 16. Chief Oil & Gas LLC, Pad ID: R & Thomas Nides, Tioga County, Pa.; Consumptive Use of A Harris Drilling Pad #1, ABR– Deputy Secretary of State for Management up to 6.000 mgd; Approval Date: March 201103016, Tunkhannock Township, and Resources. 9, 2011. Wyoming County, Pa.; Consumptive Use [FR Doc. 2011–14000 Filed 6–6–11; 8:45 am] 4. Talisman Energy USA Inc., Pad ID: of up to 2.000 mgd; Approval Date: BILLING CODE 4710–30–P 05 102 Wheeler E, ABR–201103004, March 17, 2011. Warren Township, Bradford County, 17. SWEPI LP, Pad ID: M L Mitchell Pa.; Consumptive Use of up to 6.000 Trust 554, ABR–201103017, Middlebury mgd; Approval Date: March 9, 2011. SUSQUEHANNA RIVER BASIN Township, Tioga County, Pa.; 5. Talisman Energy USA Inc., Pad ID: COMMISSION Consumptive Use of up to 4.000 mgd; 03 088 Andrews A, ABR–201103005, Approval Date: March 17, 2011. Notice of Projects Approved for Wells Township, Bradford County, Pa.; 18. EXCO Resources (PA), LLC, Pad Consumptive Uses of Water Consumptive Use of up to 6.000 mgd; ID: Arthur Pad, ABR–201103018, Approval Date: March 11, 2011. Franklin Township, Lycoming County, AGENCY: Susquehanna River Basin 6. Southwestern Energy Production Pa.; Consumptive Use of up to 8.000 Commission. Company, Pad ID: Mastri Pad, ABR– mgd; Approval Date: March 17, 2011. ACTION: Notice of approved projects. 201103006, Lenox Township, 19. Chesapeake Appalachia, LLC, Pad Susquehanna County, Pa.; Consumptive ID: Burke, ABR–201103019, Wilmot SUMMARY: This notice lists the projects Use of up to 4.990 mgd; Approval Date: Township, Bradford County, Pa.; approved by rule by the Susquehanna March 11, 2011. Consumptive Use of up to 7.500 mgd; River Basin Commission during the 7. Southwestern Energy Production Approval Date: March 17, 2011. period set forth in DATES. Company, Pad ID: Ransom Pad, ABR– 20. Cabot Oil & Gas Corporation, Pad DATES: March 1, 2011, through April 30, 201103007, Lenox Township, ID: ZickJ P1, ABR–201103020, Lenox 2011. Susquehanna County, Pa.; Consumptive Township, Susquehanna County, Pa.; Use of up to 4.990 mgd; Approval Date: ADDRESSES: Susquehanna River Basin Consumptive Use of up to 3.575 mgd; Commission, 1721 North Front Street, March 11, 2011. Approval Date: March 17, 2011. 8. Southwestern Energy Production Harrisburg, PA 17102–2391. 21. EOG Resources, Inc., Pad ID: SGL Company, Pad ID: Valentine.A Pad, 90D Pad, ABR–201103021, Lawrence FOR FURTHER INFORMATION CONTACT: ABR–201103008, Lenox Township, Township, Clearfield County, Pa.; Richard A. Cairo, General Counsel, Susquehanna County, Pa.; Consumptive Consumptive Use of up to 4.999 mgd; telephone: (717) 238–0423, ext. 306; fax: Use of up to 4.990 mgd; Approval Date: Approval Date: March 22, 2011. (717) 238–2436; e-mail: [email protected] March 11, 2011. 22. Chesapeake Appalachia, LLC, Pad or Stephanie L. Richardson, Secretary to 9. Cabot Oil & Gas Corporation, Pad ID: Jones Pad, ABR–201103022, the Commission, telephone: (717) 238– ID: HawleyJ P1, ABR–201103009, Forest Standing Stone Township, Bradford 0423, ext. 304; fax: (717) 238–2436; e- Lake Township, Susquehanna County, County, Pa.; Consumptive Use of up to mail: [email protected]. Regular Pa.; Consumptive Use of up to 3.575 7.500 mgd; Approval Date: March 22, mail inquiries may be sent to the above mgd; Approval Date: March 11, 2011. 2011. address. 10. Aruba Petroleum, Inc., Pad ID: 23. EOG Resources, Inc., Pad ID: SUPPLEMENTARY INFORMATION: This Lundy Well Pad, ABR–201103010, PPHC Pad B, ABR–201103023, notice lists the projects, described Gamble Township, Lycoming County, Lawrence Township, Clearfield County, below, receiving approval for the Pa.; Consumptive Use of up to 3.600 Pa.; Consumptive Use of up to 4.999 consumptive use of water pursuant to mgd; Approval Date: March 11, 2011. mgd; Approval Date: March 22, 2011. the Commission’s approval by rule 11. Chesapeake Appalachia, LLC, Pad 24. EOG Resources, Inc., Pad ID: PHC process set forth in 18 CFR 806.22(e) ID: DPH, ABR–201103011, Windham Pad Z, ABR–201103024, Lawrence

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Township, Clearfield County, Pa.; Consumptive Use of up to 4.000 mgd; 2.100 mgd; Approval Date: March 28, Consumptive Use of up to 4.999 mgd; Approval Date: March 23, 2011. 2011. Approval Date: March 22, 2011. 38. Anadarko E&P Company LP, Pad 50. Chesapeake Appalachia, LLC, Pad 25. EOG Resources, Inc., Pad ID: PHC ID: Cynthia M Knispel Pad A, ABR– ID: King, ABR–201103050, Sheshequin Pad DD, ABR–201103025, Lawrence 201103038, Cogan House Township, Township, Bradford County, Pa.; Township, Clearfield County, Pa.; Lycoming County, Pa.; Consumptive Consumptive Use of up to 7.500 mgd; Consumptive Use of up to 4.999 mgd; Use of up to 4.000 mgd; Approval Date: Approval Date: March 28, 2011. Approval Date: March 22, 2011. March 24, 2011. 51. Chesapeake Appalachia, LLC, Pad 26. Carrizo Marcellus, LLC, Pad ID: 39. EXCO Resources (PA), LLC, Pad ID: Hi-Lev, ABR–201103051, Troy Kile, ABR–201103026, Washington ID: Cadwalader Pad, ABR–201103039, Township, Bradford County, Pa.; Township, Wyoming County, Pa.; Cogan House Township, Lycoming Consumptive Use of up to 7.500 mgd; Consumptive Use of up to 2.100 mgd; County, Pa.; Consumptive Use of up to Approval Date: March 28, 2011. Approval Date: March 22, 2011. 8.000 mgd; Approval Date: March 24, 52. Anadarko E&P Company LP, Pad 27. EOG Resources, Inc., Pad ID: PHC 2011. ID: COP Tr 728 D, ABR–201104001, Pad CC, ABR–201103027, Lawrence 40. Chief Oil & Gas LLC, Pad ID: Cummings Township, Lycoming Township, Clearfield County, Pa.; Kerrick Drilling Pad #1, ABR– County, Pa.; Consumptive Use of up to Consumptive Use of up to 4.999 mgd; 201103040, Asylum Township, 4.000 mgd; Approval Date: April 4, Approval Date: March 22, 2011. Bradford County, Pa.; Consumptive Use 2011. 28. EOG Resources, Inc., Pad ID: PHC of up to 2.000 mgd; Approval Date: 53. Chesapeake Appalachia, LLC, Pad Pad BB, ABR–201103028, Lawrence March 24, 2011. ID: Sensinger, ABR–201104002, Township, Clearfield County, Pa.; 41. Chesapeake Appalachia, LLC, Pad Franklin Township, Bradford County, Consumptive Use of up to 4.999 mgd; ID: Sarah, ABR–201103041, Athens Pa.; Consumptive Use of up to 7.500 Approval Date: March 22, 2011. Township, Bradford County, Pa.; mgd; Approval Date: April 4, 2011. 29. EOG Resources, Inc., Pad ID: COP Consumptive Use of up to 7.500 mgd; 54. Ultra Resources, Inc., Pad ID: Pad S, ABR–201103029, Lawrence Approval Date: March 25, 2011. Geiser 907, ABR–201104003, Abbott Township, Clearfield County, Pa.; 42. Seneca Resources Corporation, Township, Potter County, Pa.; Consumptive Use of up to 4.999 mgd; Pad ID: DCNR 007 PAD C, ABR– Consumptive Use of up to 4.990 mgd; Approval Date: March 22, 2011. 201103042, Shippen Township, Tioga Approval Date: April 4, 2011. 30. EOG Resources, Inc., Pad ID: COP 55. Anadarko E&P Company LP, Pad County, Pa.; Consumptive Use of up to Pad O, ABR–201103030, Lawrence ID: COP Tr 728 C, ABR–201104004, 4.000 mgd; Approval Date: March 25, Township, Clearfield County, Pa.; Watson Township, Lycoming County, 2011. Consumptive Use of up to 4.999 mgd; Pa.; Consumptive Use of up to 4.000 43. Range Resources—Appalachia, Approval Date: March 22, 2011. mgd; Approval Date: April 5, 2011. LLC, Pad ID: Gulf USA #63H Drilling 31. Range Resources—Appalachia, 56. Range Resources—Appalachia, Pad, ABR–201103043, Snow Shoe LLC, Pad ID: Bobst Mountain Hunting LLC, Pad ID: Carmen III Unit #1H Township, Centre County, Pa.; Club #18H—#23H Drilling Pad, ABR– Drilling Pad, ABR–201104005, Rush Consumptive Use of up to 5.000 mgd; 201103031, Cogan House Township, Township, Centre County, Pa.; Approval Date: March 25, 2011. Lycoming County, Pa.; Consumptive Consumptive Use of up to 5.000 mgd; Use of up to 5.000 mgd; Approval Date: 44. Chesapeake Appalachia, LLC, Pad Approval Date: April 5, 2011. March 22, 2011. ID: Barclay, ABR–201103044, Franklin 57. Chief Oil & Gas LLC, Pad ID: 32. XTO Energy Incorporated, Pad ID: Township, Bradford County, Pa.; McVicker Drilling Pad #1, ABR– Litwhiler Unit A, ABR–201103032, Pine Consumptive Use of up to 7.500 mgd; 201104006, West St. Clair Township, Township, Columbia County, Pa.; Approval Date: March 28, 2011. Bedford County, Pa.; Consumptive Use Consumptive Use of up to 4.000 mgd; 45. SWEPI LP, Pad ID: Weiner 882, of up to 2.000 mgd; Approval Date: Approval Date: March 22, 2011. ABR–201103045, Farmington April 5, 2011. 33. XTO Energy Incorporated, Pad ID: Township, Tioga County, Pa.; 58. Carrizo Marcellus, LLC, Pad ID: Renn Unit A, ABR–201103033, Jordan Consumptive Use of up to 4.000 mgd; Armbruster, ABR–201101007, Jessup Township, Lycoming County, Pa.; Approval Date: March 25, 2011. Township, Susquehanna County, Pa.; Consumptive Use of up to 4.000 mgd; 46. SWEPI LP, Pad ID: Salevsky 335, Consumptive Use of up to 2.100 mgd; Approval Date: March 22, 2011. ABR–201103046, Charleston Township, Approval Date: April 6, 2011. 34. XTO Energy Incorporated, Pad ID: Tioga County, Pa.; Consumptive Use of 59. Talisman Energy USA Inc. Pad ID: Raymond Unit B, ABR–201103034, Pine up to 4.000 mgd; Approval Date: March 05 011 Alderson V, ABR–201104008, Township, Columbia County, Pa.; 25, 2011. Pike Township, Bradford County, Pa.; Consumptive Use of up to 4.000 mgd; 47. Seneca Resources Corporation, Consumptive Use of up to 6.000 mgd; Approval Date: March 22, 2011. Pad ID: DCNR 595 PAD C, ABR– Approval Date: April 8, 2011. 35. Carrizo Marcellus, LLC, Pad ID: 201103047, Bloss Township, Tioga 60. Chesapeake Appalachia, LLC, Pad Mazzara, ABR–201103035, Washington County, Pa.; Consumptive Use of up to ID: Beaver Dam, ABR–201104009, Township, Wyoming County, Pa.; 4.000 mgd; Approval Date: March 28, Cherry Township, Sullivan County, Pa.; Consumptive Use of up to 2.100 mgd; 2011. Consumptive Use of up to 7.500 mgd; Approval Date: March 22, 2011. 48. Chief Oil & Gas LLC, Pad ID: R & Approval Date: April 8, 2011. 36. Anadarko E&P Company LP, Pad L Wilson Drilling Pad #1, ABR– 61. Chesapeake Appalachia, LLC, Pad ID: Eugene P Nelson Pad A, ABR– 201103048, Eaton Township, Wyoming ID: WRW, ABR–201104010, Cherry 201103036, Cascade Township, County, Pa.; Consumptive Use of up to Township, Sullivan County, Pa.; Lycoming County, Pa.; Consumptive 2.000 mgd; Approval Date: March 28, Consumptive Use of up to 7.500 mgd; Use of up to 4.000 mgd; Approval Date: 2011. Approval Date: April 8, 2011. March 23, 2011. 49. Carrizo Marcellus, LLC, Pad ID: 62. Range Resources—Appalachia, 37. SWEPI LP, Pad ID: Butler 853, Baker West (Brothers), ABR–201103049, LLC, Pad ID: Null, Eugene Unit #2H— ABR–201103037, Middlebury Forest Lake Township, Susquehanna #7H Drilling Pad, ABR–201104011, Township, Tioga County, Pa.; County, Pa.; Consumptive Use of up to Lewis Township, Lycoming County, Pa.;

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Consumptive Use of up to 5.000 mgd; 74. XTO Energy Incorporated, Pad ID: DEPARTMENT OF TRANSPORTATION Approval Date: April 8, 2011. PA TRACT 8524H, ABR–201104023, 63. Range Resources—Appalachia, Chapman Township, Clinton County, Federal Aviation Administration LLC, Pad ID: Ritzenthaler Living Trust Pa.; Consumptive Use of up to 4.000 Agency Information Collection Unit #1H—#4H Drilling Pad, ABR– mgd; Approval Date: April 22, 2011. 201104012, Gamble Township, Activities: Requests for Comments; 75. Chief Oil & Gas LLC, Pad ID: Lycoming County, Pa.; Consumptive Clearance of Renewed Approval of Taylor Drilling Pad #1, ABR– Use of up to 5.000 mgd; Approval Date: Information Collection: FAA Entry 201104024, Lenox Township, April 8, 2011. Point Filing Form—International 64. Range Resources—Appalachia, Susquehanna County, Pa.; Consumptive Registry Use of up to 2.000 mgd; Approval Date: LLC, Pad ID: Bidlespacher Unit #1H— AGENCY: April 25, 2011. Federal Aviation #4H Drilling Pad, ABR–201104013, Administration (FAA), DOT. Gamble Township, Lycoming County, 76. Chief Oil & Gas LLC, Pad ID: ACTION: Notice and request for Pa.; Consumptive Use of up to 5.000 Polovitch West Drilling Pad #1, ABR– comments. mgd; Approval Date: April 8, 2011. 201104025, Nicholson Township, 65. Range Resources—Appalachia, Wyoming County, Pa.; Consumptive Use SUMMARY: In accordance with the LLC, Pad ID: Shipman, James #1H & of up to 2.000 mgd; Approval Date: Paperwork Reduction Act of 1995, FAA #2H Drilling Pad, ABR–201104014, April 25, 2011. invites public comments about our Lewis Township, Lycoming County, Pa.; intention to request the Office of 77. Penn Virginia Oil & Gas Consumptive Use of up to 5.000 mgd; Management and Budget (OMB) Corporation, Pad ID: Kibbe Pad, ABR– Approval Date: April 8, 2011. approval for to renew an information 201104026, Harrison Township, Potter 66. Chief Oil & Gas LLC, Pad ID: collection. The Federal Register Notice Noble Drilling Pad #1, ABR–201104015, County, Pa.; Consumptive Use of up to with a 60-day comment period soliciting Brooklyn Township, Susquehanna 4.500 mgd; Approval Date: April 25, comments on the following collection of County, Pa.; Consumptive Use of up to 2011. information was published on March 2.000 mgd; Approval Date: April 12, 78. Chesapeake Appalachia, LLC, Pad 10, 2011, vol. 76, no. 47, pages 13263– 2011. ID: Moody, ABR–201104027, 13264. The respondents supply 67. Range Resources—Appalachia, Springfield Township, Bradford County, information through the AC 8050–135 to LLC, Pad ID: Shipman-Goodwill Unit Pa.; Consumptive Use of up to 7.500 the FAA Civil Aviation Registry’s #1H—#4H Drilling Pad, ABR– mgd; Approval Date: April 25, 2011. Aircraft Registration Branch in order to obtain an authorization code for access 201104016, Lewis Township, Lycoming 79. Chesapeake Appalachia, LLC, Pad County, Pa.; Consumptive Use of up to to the International Registry. ID: Crain, ABR–201104028, Rome 5.000 mgd; Approval Date: April 13, Township, Bradford County, Pa.; DATES: Written comments should be 2011. Consumptive Use of up to 7.500 mgd; submitted by July 7, 2011. 68. Southwestern Energy Production Approval Date: April 26, 2011. FOR FURTHER INFORMATION CONTACT: Company, Pad ID: Price Pad, ABR– Carla Scott on (202) 385–4293, or by e- 201104017, Lenox Township, 80. Chesapeake Appalachia, LLC, Pad mail at: [email protected]. ID: Kingsley, ABR–201104029, Susquehanna County, Pa.; Consumptive SUPPLEMENTARY INFORMATION: Use of up to 4.990 mgd; Approval Date: Smithfield Township, Bradford County, OMB Control Number: 2120–0697. April 13, 2011. Pa.; Consumptive Use of up to 7.500 Title: FAA Entry Point Filing Form— 69. Cabot Oil & Gas Corporation, Pad mgd; Approval Date: April 26, 2011. International Registry. ID: Lyman J P1, ABR–201104018, 81. Chesapeake Appalachia, LLC, Pad Form Numbers: AC Form 8050–135. Springville Township, Susquehanna ID: MPC New, ABR–201104030, Cherry Type of Review: Renewal of an County, Pa.; Consumptive Use of up to Township, Sullivan County, Pa.; information collection. 3.575 mgd; Approval Date: April 15, Consumptive Use of up to 7.500 mgd; Background: The information 2011. Approval Date: April 26, 2011 collected is necessary to obtain an 70. Southwestern Energy Production authorization code for transmission of Company, Pad ID: Valentine. F Pad, 82. SWEPI LP, Pad ID: Swan 1122, information to the International ABR–201104019, Lenox Township, ABR–201104031, Farmington Registry. To transmit certain types of Susquehanna County, Pa.; Consumptive Township, Tioga County, Pa.; interests or prospective interests to the Use of up to 4.990 mgd; Approval Date: Consumptive Use of up to 4.000 mgd; International Registry, interested parties April 15, 2011. Approval Date: April 28, 2011. must file a completed FAA Entry Point 71. Chesapeake Appalachia, LLC, Pad Authority: Public Law 91–575, 84 Stat. Filing Form—International Registry, AC ID: Stempel, ABR–201104020, Asylum 1509 et seq., 18 CFR parts 806, 807, and 808. Form 8050–135, with the FAA Civil Township, Bradford County, Pa.; Aviation Registry. Upon receipt of the Consumptive Use of up to 7.500 mgd; Dated: May 23, 2011. completed form, the FAA Civil Aviation Approval Date: April 20, 2011. Stephanie L. Richardson, Registry will issue the unique 72. Chesapeake Appalachia, LLC, Pad Secretary to the Commission. authorization code. ID: Hulslander, ABR–201104021, [FR Doc. 2011–14026 Filed 6–6–11; 8:45 am] Respondents: Approximately 12,750 Smithfield Township, Bradford County, BILLING CODE 7040–01–P applicants. Pa.; Consumptive Use of up to 7.500 Frequency: Information is collected mgd; Approval Date: April 20, 2011. on occasion. 73. Seneca Resources Corporation, Estimated Average Burden per Pad ID: DCNR 007 Pad L, ABR– Response: 30 minutes. 201104022, Shippen Township, Tioga Estimated Total Annual Burden: County, Pa.; Consumptive Use of up to 6,375 hours. 4.000 mgd; Approval Date: April 21, ADDRESSES: Interested persons are 2011. invited to submit written comments on

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the proposed information collection to DATES: Written comments should be Issued in Washington, DC, on May 25, the Office of Information and Regulatory submitted by July 7, 2011. 2011. Affairs, Office of Management and Carla Scott, FOR FURTHER INFORMATION CONTACT: Budget. Comments should be addressed FAA Information Collection Clearance to the attention of the Desk Officer, Carla Scott on (202) 385–4293, or by Officer, IT Enterprises Business Services Department of Transportation/FAA, and e-mail at: [email protected]. Division, AES–200. sent via electronic mail to SUPPLEMENTARY INFORMATION: [FR Doc. 2011–13947 Filed 6–6–11; 8:45 am] [email protected], or faxed BILLING CODE 4910–13–P OMB Control Number: 2120–0539. to (202) 395–6974, or mailed to the Office of Information and Regulatory Title: Implementation to the Equal Affairs, Office of Management and Access to Justice Act. DEPARTMENT OF TRANSPORTATION Budget, Docket Library, Room 10102, Form Numbers: There are no FAA Federal Aviation Administration 725 17th Street, NW., Washington, DC forms associated with this collection. 20503. Type of Review: Renewal of an Eighty-Sixth Meeting: RTCA Special Public Comments Invited: You are information collection. Committee 159: Global Positioning asked to comment on any aspect of this System (GPS) information collection, including (a) Background: The Equal Access to Whether the proposed collection of Justice Act provides for the award of AGENCY: Federal Aviation information is necessary for FAA’s attorney fees and other expenses to Administration (FAA), DOT. performance; (b) the accuracy of the eligible individuals and entities who are ACTION: Notice of RTCA Special estimated burden; (c) ways for FAA to prevailing parties in administrative Committee 159 meeting: Global enhance the quality, utility and clarity proceedings before government Positioning System (GPS). of the information collection; and (d) agencies. Certain information must be ways that the burden could be obtained from the applicant in order to SUMMARY: The FAA is issuing this notice minimized without reducing the quality determine such applicant’s eligibility to advise the public of a meeting of of the collected information. The agency for the EAJA award. RTCA Special Committee 159: Global Positioning System (GPS). will summarize and/or include your Respondents: Approximately 17 comments in the request for OMB’s DATES: The meeting will be held June applicants. clearance of this information collection. 13–17, 2011, from 9 a.m. to 4:30 p.m. Frequency: Information is collected Issued in Washington, DC, on May 25, ADDRESSES: The meeting will be held at 2011. on occasion. RTCA, Inc., Conference Rooms, 1828 L Carla Scott, Estimated Average Burden per Street, NW., Suite 805, Washington, DC FAA Information Collection Clearance Response: 40 hours. 20036. Officer, IT Enterprises Business Services Estimated Total Annual Burden: 680 FOR FURTHER INFORMATION CONTACT: Division, AES–200. hours. RTCA Secretariat, 1828 L Street, NW., [FR Doc. 2011–13946 Filed 6–6–11; 8:45 am] Suite 805, Washington, DC 20036; ADDRESSES BILLING CODE 4910–13–P : Interested persons are telephone (202) 833–9339; fax (202) invited to submit written comments on 833–9434; Web site http://www.rtca.org. the proposed information collection to SUPPLEMENTARY INFORMATION: Pursuant DEPARTMENT OF TRANSPORTATION the Office of Information and Regulatory to section 10(a)(2) of the Federal Affairs, Office of Management and Advisory Committee Act (Pub. L. 92– Federal Aviation Administration Budget. Comments should be addressed 463, 5 U.S.C., App. 2), notice is hereby to the attention of the Desk Officer, Agency Information Collection given for a Special Committee 159: Department of Transportation/FAA, and Activities, Requests for Comments; Global Positioning System (GPS) sent via electronic mail to Clearance of Renewed Approval of meeting. The agenda will include: [email protected], or faxed Information Collection; Implementation Specific Working Group Sessions to the Equal Access to Justice Act to (202) 395–6974, or mailed to the Office of Information and Regulatory Monday, June 13, 2011 AGENCY: Federal Aviation Affairs, Office of Management and • All Day, Working Group 2C, GPS/ Administration (FAA), DOT. Budget, Docket Library, Room 10102, Inertial, Colson Board Room. ACTION: Notice and request for 725 17th Street, NW., Washington, DC comments. 20503. Tuesday, June 14, 2011 Public Comments Invited: You are • All Day, Working Group 2, GPS/ SUMMARY: In accordance with the WAAS, Colson Board Room. Paperwork Reduction Act of 1995, FAA asked to comment on any aspect of this invites public comments about our information collection, including (a) Wednesday, June 15, 2011 Whether the proposed collection of intention to request the Office of • All Day, Working Group 2, GPS/ information is necessary for FAA’s Management and Budget (OMB) WAAS, Colson Board Room. approval for to renew an information performance; (b) the accuracy of the collection. The Federal Register Notice estimated burden; (c) ways for FAA to Thursday, June 16, 2011 with a 60-day comment period soliciting enhance the quality, utility and clarity • All Day, Working Group 4—Precision comments on the following collection of of the information collection; and (d) Landing Guidance (GPS/LAAS), information was published on March ways that the burden could be MacIntosh—NBAA Room and 10, 2011, vol. 76, no. 47, page 13265. minimized without reducing the quality Hilton—ATA Room: The information is needed to determine of the collected information. The agency • 9 a.m.–12 p.m.—Working Group 6, an applicant’s eligibility for an award of will summarize and/or include your Interference (GPS/Interface), Colson attorney’s fees and other expenses under comments in the request for OMB’s Board Room. the Equal Access to Justice Act. clearance of this information collection. • 12 p.m.–4:30 p.m.—Working Group

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7, Antenna (GPS Antenna), Colson (aluminum) cylinders were improperly manufacturing as part of its official Board Room. marked and represented as DOT mark. specification 3AL cylinders. The If the cylinder is identified as marked Plenary Session—See Agenda Below cylinders were neither marked nor with a period (.) between the month and Friday, June 17, 2011 certified by an authorized independent year, in lieu of the authorized • Chairman’s Introductory Remarks. inspection agency (IIA) with its official Arrowhead mark, the person in • Approval of Summary of the Eighty- mark and date, in accordance with the possession of the cylinder is advised to Fourth and Eighty-Fifth Meetings applicable regulatory requirements. remove that cylinder from service and held February 11, 2011 and May 26, Therefore, the cylinders are contact Qingpu’s U.S. Agent at the 2011, RTCA Paper No. 082–11/ unauthorized for hazardous materials address in this notice. SC159–991 and RTCA Paper No. service. Prior to filling these cylinders, Issued in Washington, DC, on June 1, 2011. 099–11/SC159–995, respectively. a person must verify that the IIA’s Magdy El-Sibaie, • Review Working Group (WG) Progress official mark is stamped between the Associate Administrator for Hazardous and Identify Issues for Resolution. month and year manufactured. The Materials Safety. • GPS/3rd Civil Frequency (WG–1). evidence suggests that if the cylinder is [FR Doc. 2011–13952 Filed 6–6–11; 8:45 am] marked with a period (.) rather than the • GPS/WAAS (WG–2). BILLING CODE 4910–60–P • GPS/GLONASS (WG–2A). official IIA mark, the cylinder did not • GPS/Inertial (WG–2C). undergo the complete series of safety tests and inspections required by the • GPS/Precision Landing Guidance DEPARTMENT OF THE TREASURY (WG–4). Hazardous Materials Regulations (HMR) • GPS/Airport Surface Surveillance and may not possess the structural Internal Revenue Service (WG–5). integrity to safely contain its contents • GPS/Interference (WG–6). under pressure during normal Agency Information Collection • GPS/Antennas (WG–7). transportation and use. Extensive Activity; Proposed Collection • property damage, serious personal Review of EUROCAE Activities. AGENCY: Internal Revenue Service (IRS), • injury, or death could result from a ADS–B GAP Analysis Ad Hoc— Treasury. Report. rupture of the cylinder. Individuals who • identify a cylinder marked with only a ACTION: Notice and request for Assignment/Review of Future Work. comments. • Other Business. period (.) between the month and year • Date and Place of Next Meeting. are advised to remove these cylinders SUMMARY: The Department of the • Adjourn. from service and contact PHMSA Treasury, as part of its continuing effort Attendance is open to the interested directly at the below address for further to reduce paperwork and respondent public but limited to space availability. instructions. burden, invites the general public and With the approval of the chairman, FOR FURTHER INFORMATION CONTACT: Ms. other Federal agencies to take this members of the public may present oral Yuying Chen, U.S. Agent for Shanghai opportunity to comment on proposed statements at the meeting. Persons Qingpu Fire Fighting Equipment and/or continuing information wishing to present statements or obtain Company, Ltd., 1005 Mirror Street, collections, as required by the information should contact the person Pittsburgh, PA 15217, Telephone (412) Paperwork Reduction Act of 1995, listed in the FOR FURTHER INFORMATION 235–7880, E-mail: Public Law 104–13 (44 U.S.C. CONTACT section. Members of the public [email protected]. 3506(c)(2)(A)). may present a written statement to the DATES: Written comments should be committee at any time. SUPPLEMENTARY INFORMATION: An undetermined number of the cylinders received on or before August 8, 2011 to Issued in Washington, DC, on May 26, (typically used for home kegerators), be assured of consideration. 2011. were manufactured between 2009 ADDRESSES: Direct all written comments Robert L. Bostiga, through 2011 and improperly marked to Yvette Lawrence, Internal Revenue RTCA Advisory Committee. with the manufacturer’s symbol Service, Room 6129, 1111 Constitution [FR Doc. 2011–13945 Filed 6–6–11; 8:45 am] ‘‘M0306.’’ The cylinders have been Avenue, NW., Washington, DC 20224. BILLING CODE 4910–13–P stamped with a period (.) between the FOR FURTHER INFORMATION CONTACT: month and year of manufacture, i.e., Requests for additional information or ‘‘8.10.’’ PHMSA issued the copies of the regulation should be DEPARTMENT OF TRANSPORTATION manufacturing symbol ‘‘M0306’’ to directed to R. Joseph Durbala, at (202) Shanghai Qingpu Fire Fighting 622–3634, or at Internal Revenue Pipeline and Hazardous Materials Equipment Company, Ltd. (Qingpu), Service, Room 6129, 1111 Constitution Safety Administration located in Shanghai, China. Arrowhead Avenue, NW., Washington, DC 20224, [Docket No. PHMSA–2011–0122, Notice No. Industrial Services, Inc. (Arrowhead), as or through the Internet, at 11–4] Qingpu’s authorized independent [email protected]. inspection agency, would have marked SUPPLEMENTARY INFORMATION: Title: Safety Advisory; Unauthorized Marking the cylinders that passed inspection of Compressed Gas Cylinders General Revision of Regulations with its official mark (the letter ‘‘A’’ Relating to Withholding of Tax on AGENCY: Pipeline and Hazardous inside of an arrowhead) between the Certain U.S. Source Income Paid to Materials Safety Administration month and year of manufacture. Foreign Persons and Related Collection, (PHMSA), DOT. Prior to filling these cylinders, a Refunds and Credits; Revision of ACTION: Safety Advisory Notice. person must verify that Arrowhead’s Information Reporting and Backup official mark is stamped between the Withholding Regulations; and Removal SUMMARY: This notice advises the public month and year manufactured. of Regulations Under part 35a and of that PHMSA has recently confirmed an Arrowhead does not use a period (.) Certain Regulations Under Income Tax undetermined number of certain between the month and year of Treaties.

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OMB Number: 1545–1484. collection of information; (c) ways to reinstatement and requesting retroactive Regulation Project Number: REG– enhance the quality, utility, and clarity reinstatement and establishing 242282–97 (TD 8881-final). of the information to be collected; (d) reasonable cause under section Abstract: This regulation prescribes ways to minimize the burden of the 6033(j)(2) and (3) of the Internal collections of information for foreign collection of information on Revenue Code (the Code) for an persons that received payments subject respondents, including through the use organization that has had its tax-exempt to withholding under sections 1441, of automated collection techniques or status automatically revoked under 1442, 1443, or 6114 of the Internal other forms of information technology; section 6033(j)(1) of the Code. The Revenue Code. This information is used and (e) estimates of capital or start-up Treasury Department (Treasury) and the to claim foreign person status and, in costs and costs of operation, Internal Revenue Service (IRS) intend to appropriate cases, to claim residence in maintenance, and purchase of services issue regulations under section 6033(j) a country with which the United States to provide information. that will prescribe rules, including rules has an income tax treaty in effect, so Approved: May 25, 2011. relating to the application for that withholding at a reduced rate of tax Yvette Lawrence, reinstatement of tax-exempt status may be obtained at source. The IRS Reports Clearance Officer. under section 6033(j)(2) and the request regulation also prescribes collections of for retroactive reinstatement under [FR Doc. 2011–13858 Filed 6–6–11; 8:45 am] information for withholding agents. section 6033(j)(3). This information is used by withholding BILLING CODE 4830–01–P Simultaneously, and in conjunction agents to report to the IRS income paid with the publication of Notice 2011–44, to a foreign person that is subject to DEPARTMENT OF THE TREASURY Treasury and the Internal Revenue withholding under Code sections 1441, Service (IRS) will publish Notice 2011– 1442, and 1443. The regulation also Internal Revenue Service 43, Transitional Relief under Section requires that a foreign taxpayer claiming 6033(j) for Small Organizations. This a reduced amount of withholding tax Notice and Request for Comments relief will apply to small organizations under the provisions of an income tax that have lost their tax-exempt status AGENCY: Internal Revenue Service (IRS), treaty must disclose its reliance upon a because they failed to file an annual Treasury. treaty provision by filing Form 8833 electronic notice for taxable years with its U.S. income tax return. ACTION: Notice and request for beginning in 2007, 2008 and 2009. The Current Actions: There is no change to comments. IRS will treat a small organization that this existing regulation. SUMMARY: The Department of the qualifies for the transitional relief as Type of Review: Extension of a Treasury, as part of its continuing effort having established reasonable cause for currently approved collection. to reduce paperwork and respondent its filing failures and will reinstate the Affected Public: Business or other for- organization’s tax-exempt status profit organizations, individuals or burden, invites the general public and other Federal agencies to take this retroactive to the date it was revoked. In households, not-for-profit institutions, order to qualify for the transitional farms, and Federal, state, local or tribal opportunity to comment on proposed and/or continuing information relief, a small organization’s application governments. for reinstatement of its tax-exempt The burden for the reporting collections, as required by the status must be postmarked on or before requirements is reflected in the burden Paperwork Reduction Act of 1995, Public Law 104–13 (44 U.S.C. December 31, 2012. of Forms W–8BEN, W08ECI, W–8EXP, Current Actions: There are no changes W–8IMY, 1042, 1042S, 8233, 8833, and 3506(c)(2)(A)). The IRS is soliciting comments concerning information being made to the burden previously the income tax return of a foreign requested, at this time. person filed for purposes of claiming a collection requirements related to Application Requirements, Retroactive Type of Review: Extension of a refund of tax. currently approved collection. An agency may not conduct or Reinstatement and Reasonable Cause under Section 6033(j). Affected Public: Not-for-profit sponsor, and a person is not required to institutions. DATES: respond to, a collection of information Written comments should be Estimated Number of Respondents: unless the collection of information received on or before August 8, 2011 to 2,917. displays a valid OMB control number. be assured of consideration. Estimated Average Time per Books or records relating to a collection ADDRESSES: Direct all written comments Respondent: 1 hour. of information must be retained as long to Yvette B. Lawrence, Internal Revenue Estimated Total Annual Burden as their contents may become material Service, Room 6129, 1111 Constitution Hours: 2,917. in the administration of any internal Avenue, NW., Washington, DC 20224. The following paragraph applies to all revenue law. Generally, tax returns and FOR FURTHER INFORMATION CONTACT: of the collections of information covered tax return information are confidential, Requests for additional information or by this notice: as required by 26 U.S.C. 6103. copies of notice should be directed to An agency may not conduct or Request for Comments: Comments Joel Goldberger, at (202) 927–9368, or at sponsor, and a person is not required to submitted in response to this notice will Internal Revenue Service, Room 6129, respond to a collection of information be summarized and/or included in the 1111 Constitution Avenue, NW., unless the collection displays a valid request for OMB approval. All Washington, DC 20224, or through the OMB control number. Books or records comments will become a matter of Internet, at [email protected]. relating to a collection of information public record. SUPPLEMENTARY INFORMATION: must be retained as long as their Comments are invited on: (a) Whether Title: Application Requirements, contents may become material in the the collection of information is Retroactive Reinstatement and administration of any internal revenue necessary for the proper performance of Reasonable Cause under Section 6033(j). law. Generally, tax returns and tax the functions of the agency, including OMB Number: 1545–2206. return information are confidential, as whether the information shall have Notice Number: Notice 2011–44. required by 26 U.S.C. 6103. practical utility; (b) the accuracy of the Abstract: This notice provides Request for Comments: Comments agency’s estimate of the burden of the guidance with respect to applying for submitted in response to this notice will

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be summarized and/or included in the SUPPLEMENTARY INFORMATION: Approved: May 31, 2011. request for OMB approval. All Title: Split-Dollar Life Insurance Yvette B. Lawrence, comments will become a matter of Arrangements. IRS Reports Clearance Officer. public record. Comments are invited on: OMB Number: 1545–1792. [FR Doc. 2011–13930 Filed 6–6–11; 8:45 am] (a) Whether the collection of BILLING CODE 4830–01–P information is necessary for the proper Regulation Project Number: REG– performance of the functions of the 164754–01 (Final). agency, including whether the Abstract: The regulations relate to the DEPARTMENT OF THE TREASURY information shall have practical utility; income, employment, and gift taxation (b) the accuracy of the agency’s estimate of split-dollar life insurance Internal Revenue Service of the burden of the collection of arrangements. The final regulations information; (c) ways to enhance the provide needed guidance to persons Proposed Collection; Comment quality, utility, and clarity of the who enter into split-dollar life insurance Request for Form 720X information to be collected; (d) ways to arrangements. AGENCY: Internal Revenue Service (IRS), minimize the burden of the collection of Current Actions: There is no change to Treasury. information on respondents, including this existing regulation. ACTION: Notice and request for through the use of automated collection comments. techniques or other forms of information Type of Review: Extension of a currently approved collection. technology; and (e) estimates of capital SUMMARY: The Department of the or start-up costs and costs of operation, Affected Public: Not-for-profit Treasury, as part of its continuing effort maintenance, and purchase of services institutions. to reduce paperwork and respondent to provide information. Estimated Number of Respondents: burden, invites the general public and Approved: June 1, 2011. 115,000. other Federal agencies to take this Yvette B. Lawrence, Estimated Time per Respondent: 17 opportunity to comment on proposed IRS Reports Clearance Officer. minutes. and/or continuing information [FR Doc. 2011–13929 Filed 6–6–11; 8:45 am] Estimated Total Annual Burden collections, as required by the Paperwork Reduction Act of 1995, BILLING CODE 4830–01–P Hours: 32,500. Public Law 104–13 (44 U.S.C. The following paragraph applies to all 3506(c)(2)(A)). Currently, the IRS is of the collections of information covered soliciting comments concerning Form DEPARTMENT OF THE TREASURY by this notice: 720X, Amended Quarterly Federal Internal Revenue Service An agency may not conduct or Excise Tax Return. sponsor, and a person is not required to DATES: Written comments should be Proposed Collection; Comment respond to, a collection of information received on or before August 8, 2011 to Request for Regulation Project unless the collection of information be assured of consideration. displays a valid OMB control number. AGENCY: Internal Revenue Service (IRS), ADDRESSES: Direct all written comments Books or records relating to a collection Treasury. to Yvette B. Lawrence, Internal Revenue of information must be retained as long Service, room 6129, 1111 Constitution ACTION: Notice and request for as their contents may become material Avenue, NW., Washington, DC 20224. comments. in the administration of any internal revenue law. Generally, tax returns and FOR FURTHER INFORMATION CONTACT: SUMMARY: The Department of the Requests for additional information or Treasury, as part of its continuing effort tax return information are confidential, as required by 26 U.S.C. 6103. copies of the form and instructions to reduce paperwork and respondent should be directed to Evelyn J. Mack at burden, invites the general public and Request for Comments: Comments Internal Revenue Service, room 6231, other Federal agencies to take this submitted in response to this notice will 1111 Constitution Avenue, NW., opportunity to comment on proposed be summarized and/or included in the Washington, DC 20224, or at (202) 622– and/or continuing information request for OMB approval. All 7381, or through the Internet at collections, as required by the comments will become a matter of [email protected]. Paperwork Reduction Act of 1995, public record. SUPPLEMENTARY INFORMATION: Public Law 104–13 (44 U.S.C. Comments are invited on: (a) Whether 3506(c)(2)(A)). Currently, the IRS is Title: Amended Quarterly Federal the collection of information is Excise Tax Return. soliciting comments concerning split- necessary for the proper performance of dollar life insurance arrangements. OMB Number: 1545–1759. the functions of the agency, including Form Number: 720X. DATES: Written comments should be whether the information shall have Abstract: Form 720X is used to make received on or before August 8, 2011 to practical utility; (b) the accuracy of the adjustments to correct errors on form be assured of consideration. agency’s estimate of the burden of the 720 filed for previous quarters. It can be ADDRESSES: Direct all written comments collection of information; (c) ways to filed by itself or it can be attached to to Yvette B. Lawrence, Internal Revenue enhance the quality, utility, and clarity any subsequent Form 720. Code section Service, room 6129, 1111 Constitution of the information to be collected; (d) 6416(d) allows taxpayers to take a credit Avenue, NW., Washington, DC 20224. ways to minimize the burden of the on a subsequent return rather than filing FOR FURTHER INFORMATION CONTACT: collection of information on a refund claim. The creation of Form Requests for additional information or respondents, including through the use 720X is the result of a project to provide copies of regulations should be directed of automated collection techniques or a uniform standard for trust fund to Evelyn J. Mack, (202) 622–7381, other forms of information technology; accounting. Internal Revenue Service, room 6231, and (e) estimates of capital or start-up Current Actions: There are no changes 1111 Constitution Avenue, NW., costs and costs of operation, being made to Form 720X at this time. Washington, DC 20224, or through the maintenance, and purchase of services Type of Review: Extension of a Internet at [email protected]. to provide information. currently approved collection.

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Affected Public: Businesses or other burden, invites the general public and respond to, a collection of information for-profit organizations. other Federal agencies to take this unless the collection of information Estimated Number of Responses: opportunity to comment on proposed displays a valid OMB control number. 22,000. and/or continuing information Books or records relating to a collection Estimated Time per Response: 6 hrs, collections, as required by the of information must be retained as long 56 minutes. Paperwork Reduction Act of 1995, as their contents may become material Estimated Total Annual Burden Public Law 104–13 (44 U.S.C. in the administration of any internal Hours: 152,460. 3506(c)(2)(A)). revenue law. Generally, tax returns and The following paragraph applies to all tax return information are confidential, of the collections of information covered DATES: Written comments should be by this notice: received on or before August 8, 2011 to as required by 26 U.S.C. 6103. An agency may not conduct or be assured of consideration. Request for Comments: Comments sponsor, and a person is not required to ADDRESSES: Direct all written comments submitted in response to this notice will respond to, a collection of information to Yvette Lawrence, Revenue Service, be summarized and/or included in the unless the collection of information Room 6129, 1111 Constitution Avenue, request for OMB approval. All displays a valid OMB control number. NW., Washington, DC 20224. comments will become a matter of Books or records relating to a collection FOR FURTHER INFORMATION CONTACT: public record. of information must be retained as long Requests for copies of the regulations Comments are invited on: (a) Whether as their contents may become material should be directed to R. Joseph Durbala, the collection of information is in the administration of any internal at Internal Revenue Service, Room 6129, necessary for the proper performance of revenue law. Generally, tax returns and 1111 Constitution Avenue, NW., the functions of the agency, including tax return information are confidential, Washington, DC 20224, or at (202) 622– whether the information shall have as required by 26 U.S.C. 6103. 3634, or through the Internet at Request for Comments: Comments [email protected]. practical utility; (b) the accuracy of the submitted in response to this notice will agency’s estimate of the burden of the SUPPLEMENTARY INFORMATION: be summarized and/or included in the collection of information; (c) ways to Title: Federal Insurance Contributions request for OMB approval. All enhance the quality, utility, and clarity Act (FICA) Taxation of Amounts Under comments will become a matter of of the information to be collected; (d) Employee Benefits Plan. public record. Comments are invited on: ways to minimize the burden of the OMB Number: 1545–1643. (a) Whether the collection of collection of information on Regulation Project Number: REG– information is necessary for the proper respondents, including through the use 209484–87 (TD 8814-final). performance of the functions of the of automated collection techniques or Abstract: This document contains agency, including whether the other forms of information technology; final regulations under section information shall have practical utility; and (e) estimates of capital or start-up 3121(v)(2) of the Internal Revenue Code (b) the accuracy of the agency’s estimate costs and costs of operation, (Code) that provide guidance as to when of the burden of the collection of maintenance, and purchase of services amounts deferred under or paid from a information; (c) ways to enhance the to provide information. nonqualified deferred compensation quality, utility, and clarity of the plan are taken into account as wages for Approved: May 24, 2011. information to be collected; (d) ways to purposes of the employment taxes minimize the burden of the collection of Yvette Lawrence, imposed by the Federal Insurance information on respondents, including IRS Reports Clearance Officer. Contributions Act (FICA). Section through the use of automated collection [FR Doc. 2011–13861 Filed 6–6–11; 8:45 am] 3121(v)(2), relating to treatment of techniques or other forms of information BILLING CODE 4830–01–P certain nonqualified deferred technology; and (e) estimates of capital compensation, was added to the Code or start-up costs and costs of operation, by section 324 of the Social Security maintenance, and purchase of services DEPARTMENT OF THE TREASURY Amendments of 1983. These regulations to provide information. provide guidance to employers who United States Mint Approved: May 31, 2011. maintain nonqualified deferred Yvette B. Lawrence, compensation plans and to participants Pricing for the 2011 American Eagle IRS Reports Clearance Officer. in those plans. Silver Proof Coin [FR Doc. 2011–13931 Filed 6–6–11; 8:45 am] Current Actions: There is no change to BILLING CODE 4830–01–P this existing regulation. AGENCY: United States Mint, Department Type of Review: Extension of of the Treasury. currently approved collection. DEPARTMENT OF THE TREASURY Affected Public: Business or other for- ACTION: Notice. profit organizations and not-for-profit Internal Revenue Service institutions. SUMMARY: The United States Mint is Estimated Number of Respondents: announcing the price of the 2011 Agency Information Collection 2,500. American Eagle Silver Proof Coin. The Activity; Proposed Collection Estimated Time per Respondent: 5 coin will be offered for sale at a price AGENCY: Internal Revenue Service (IRS), hours. of $59.95. Estimated Total Annual Burden Treasury. FOR FURTHER INFORMATION CONTACT: B.B. Hours: 12,500. ACTION: Notice and request for Craig, Associate Director for Sales and comments. The following paragraph applies to all of the collections of information covered Marketing; United States Mint; 801 9th Street, NW.; Washington, DC 20220; or SUMMARY: The Department of the by this notice: Treasury, as part of its continuing effort An agency may not conduct or call 202–354–7500. to reduce paperwork and respondent sponsor, and a person is not required to Authority: 31 U.S.C. 5111, 5112 & 9701.

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Dated: June 1, 2011. the parties resided at the time of the FOR FURTHER INFORMATION CONTACT: Richard A. Peterson, marriage or under the law of the place Denise McLamb, Enterprise Records Acting Director, United States Mint. where the parties resided when the right Service (005R1B), Department of [FR Doc. 2011–13954 Filed 6–6–11; 8:45 am] to benefits accrued. Veterans Affairs, 810 Vermont Avenue, BILLING CODE P An agency may not conduct or NW., Washington, DC 20420, (202) 461– sponsor, and a person is not required to 7485, Fax (202) 461–0966 or e-mail respond to a collection of information [email protected]. Please refer to unless it displays a currently valid OMB ‘‘OMB Control No. 2900–0668.’’ DEPARTMENT OF VETERANS control number. The Federal Register AFFAIRS SUPPLEMENTARY INFORMATION: Notice with a 60-day comment period Title: Supplemental Income [OMB Control No. 2900–0114] soliciting comments on this collection Questionnaire (For Philippine Claims of information was published on March Only), VA Form 21–0784. Agency Information Collection 25, 2011, at pages 16858–16859. OMB Control Number: 2900–0668. (Statement of Marital Relationship) Affected Public: Individuals or Type of Review: Extension of a Activity Under OMB Review households. currently approved collection. Estimated Annual Burden: 2,708 Abstract: Claimants residing in the AGENCY: Veterans Benefits hours. Philippines complete VA Form 21–0784 Administration, Department of Veterans Estimated Average Burden per Affairs. to report their countable family income Respondent: 25 minutes. and net worth. VA uses the information ACTION: Notice. Frequency of Response: One time. to determine the claimant’s entitlement Estimated Number of Respondents: to pension benefits. SUMMARY: In compliance with the 6,500. Paperwork Reduction Act (PRA) of 1995 An agency may not conduct or (44 U.S.C. 3501–3521), this notice Dated: June 2, 2011. sponsor, and a person is not required to announces that the Veterans Benefits By direction of the Secretary. respond to a collection of information Administration (VBA), Department of Denise McLamb, unless it displays a currently valid OMB Veterans Affairs, will submit the Program Analyst, Enterprise Records Service. control number. The Federal Register collection of information abstracted [FR Doc. 2011–13956 Filed 6–6–11; 8:45 am] Notice with a 60-day comment period soliciting comments on this collection below to the Office of Management and BILLING CODE 8320–01–P Budget (OMB) for review and comment. of information was published on March The PRA submission describes the 25, 2011, at page 16858. nature of the information collection and DEPARTMENT OF VETERANS Affected Public: Individuals or its expected cost and burden; it includes AFFAIRS households. the actual data collection instrument. Estimated Annual Burden: 30 hours. [OMB Control No. 2900–0668] Estimated Average Burden per DATES: Comments must be submitted on Respondent: 15 minutes. or before July 7, 2011. Agency Information Collection Frequency of Response: One time. ADDRESSES: Submit written comments (Supplemental Income Questionnaire Estimated Number of Respondents: on the collection of information through (For Philippine Claims Only)) Activity 120. Under OMB Review http://www.Regulations.gov or to VA’s Dated: June 2, 2011. OMB Desk Officer, OMB Human AGENCY: Veterans Benefits By direction of the Secretary. Resources and Housing Branch, New Administration, Department of Veterans Denise McLamb, Executive Office Building, Room 10235, Affairs. Washington, DC 20503 (202) 395–7316. Program Analyst, Enterprise Records Service. ACTION: Notice. Please refer to ‘‘OMB Control No. 2900– [FR Doc. 2011–13957 Filed 6–6–11; 8:45 am] 0114’’ in any correspondence. SUMMARY: In compliance with the BILLING CODE 8320–01–P FOR FURTHER INFORMATION CONTACT: Paperwork Reduction Act (PRA) of 1995 Denise McLamb, Enterprise Records (44 U.S.C. 3501–3521), this notice DEPARTMENT OF VETERANS Service (005R1B), Department of announces that the Veterans Benefits AFFAIRS Veterans Affairs, 810 Vermont Avenue, Administration (VBA), Department of NW., Washington, DC 20420, (202) 461– Veterans Affairs, will submit the [OMB Control No. 2900–0458] 7485, FAX (202) 461–0966 or e-mail collection of information abstracted [email protected]. Please refer to below to the Office of Management and Agency Information Collection ‘‘OMB Control No. 2900–0114.’’ Budget (OMB) for review and comment. (Certification of School Attendance or Termination) Activity Under OMB SUPPLEMENTARY INFORMATION: The PRA submission describes the Review Title: Statement of Marital nature of the information collection and its expected cost and burden; it includes Relationship, VA Form 21–4170. AGENCY: Veterans Benefits OMB Control Number: 2900–0114. the actual data collection instrument. Administration, Department of Veterans Type of Review: Extension of a DATES: Comments must be submitted on Affairs. or before July 7, 2011. currently approved collection. ACTION: Notice. Abstract: VA Form 21–4170 is ADDRESSES: Submit written comments completed by individuals claiming to be on the collection of information through SUMMARY: In compliance with the common law widows/widowers of http://www.Regulations.gov or to VA’s Paperwork Reduction Act (PRA) of 1995 deceased veterans and by veterans and OMB Desk Officer, OMB Human (44 U.S.C. 3501–3521), this notice their claimed common law spouses to Resources and Housing Branch, New announces that the Veterans Benefits establish marital status. VA uses the Executive Office Building, Room 10235, Administration (VBA), Department of information collected to determine Washington, DC 20503 (202) 395–7316. Veterans Affairs, will submit the whether a common law marriage was Please refer to ‘‘OMB Control No. 2900– collection of information abstracted valid under the law of the place where 0668’’ in any correspondence. below to the Office of Management and

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Budget (OMB) for review and comment. DEPARTMENT OF VETERANS control number. The Federal Register The PRA submission describes the AFFAIRS Notice with a 60-day comment period nature of the information collection and soliciting comments on this collection [OMB Control No. 2900–0510] its expected cost and burden; it includes of information was published on March the actual data collection instrument. Agency Information Collection 18, 2011, at page 15052. DATES: Comments must be submitted on (Application for Exclusion of Affected Public: Individuals or or before July 7, 2011. Children’s Income) Activity Under OMB households. Estimated Annual Burden: 2,025 Review ADDRESSES: Submit written comments hours. on the collection of information through AGENCY: Veterans Benefits Estimated Average Burden per http://www.Regulations.gov or to VA’s Administration, Department of Veterans Respondent: 45 minutes. OMB Desk Officer, OMB Human Affairs. Frequency of Response: One-time. Estimated Number of Respondents: Resources and Housing Branch, New ACTION: Notice. Executive Office Building, Room 10235, 2,700. Washington, DC 20503 (202) 395–7316. SUMMARY: In compliance with the Dated: June 2, 2011. Please refer to ‘‘OMB Control No. 2900– Paperwork Reduction Act (PRA) of 1995 By direction of the Secretary. 0458’’ in any correspondence. (44 U.S.C. 3501–3521), this notice Denise McLamb, announces that the Veterans Benefits FOR FURTHER INFORMATION CONTACT: Program Analyst, Enterprise Records Service. Administration (VBA), Department of Denise McLamb, Enterprise Records [FR Doc. 2011–13959 Filed 6–6–11; 8:45 am] Service (005R1B), Department of Veterans Affairs, will submit the BILLING CODE 8320–01–P Veterans Affairs, 810 Vermont Avenue, collection of information abstracted NW., Washington, DC 20420, (202) 461– below to the Office of Management and Budget (OMB) for review and comment. 7485, Fax (202) 461–0966 or e-mail DEPARTMENT OF VETERANS The PRA submission describes the [email protected]. Please refer to AFFAIRS ‘‘OMB Control No. 2900–0458.’’ nature of the information collection and its expected cost and burden; it includes [OMB Control No. 2900–0601] SUPPLEMENTARY INFORMATION: the actual data collection instrument. Title: Certification of School Agency Information Collection DATES: Comments must be submitted on Attendance or Termination, VA Forms or before July 7, 2011. (Requirements for Interest Rate 21–8960 and 21–8960–1. Reduction Refinancing Loans) Activity ADDRESSES: Submit written comments OMB Control Number: 2900–0458. Under OMB Review on the collection of information through Type of Review: Extension of a http://www.Regulations.gov or to VA’s AGENCY: Veterans Benefits currently approved collection. OMB Desk Officer, OMB Human Administration, Department of Veterans Abstract: Claimants complete VA Resources and Housing Branch, New Affairs. Form 21–8960 and VA Form 21–8960– Executive Office Building, Room 10235, ACTION: Notice. 1 to certify that a child between the ages Washington, DC 20503, (202) 395–7316. of 18 and 23 years old is attending Please refer to ‘‘OMB Control No. 2900– SUMMARY: In compliance with the school. VA uses the information 0510’’ in any correspondence. Paperwork Reduction Act (PRA) of 1995 collected to determine the child’s FOR FURTHER INFORMATION CONTACT: (44 U.S.C. 3501–3521), this notice continued entitlement to benefits. Denise McLamb, Enterprise Records announces that the Veterans Benefits Benefits are discontinued if the child Service (005R1B), Department of Administration (VBA), Department of marries, or is no longer attending Veterans Affairs, 810 Vermont Avenue, Veterans Affairs, will submit the school. NW., Washington, DC 20420, (202) 461– collection of information abstracted An agency may not conduct or 7485, Fax (202) 461–0966 or e-mail below to the Office of Management and sponsor, and a person is not required to [email protected]. Please refer to Budget (OMB) for review and comment. respond to a collection of information ‘‘OMB Control No. 2900–0510.’’ The PRA submission describes the unless it displays a currently valid OMB nature of the information collection and SUPPLEMENTARY INFORMATION: Title: control number. The Federal Register its expected cost and burden; it includes Application for Exclusion of Children’s Notice with a 60-day comment period the actual data collection instrument. Income, VA Form 21–0571. soliciting comments on this collection OMB Control Number: 2900–0510. DATES: Comments must be submitted on of information was published on March Type of Review: Extension of a or before July 7, 2011. 18, 2011, at pages 15050–15051. currently approved collection. ADDRESSES: Submit written comments Affected Public: Individuals or Abstract: The data collected on VA on the collection of information through households. Form 21–0571 is used to determine http://www.Regulations.gov or to VA’s Estimated Annual Burden: 11,667 whether children’s income can be OMB Desk Officer, OMB Human hours. excluded from consideration in Resources and Housing Branch, New Estimated Average Burden per determining a parent’s eligibility for Executive Office Building, Room 10235, Respondent: 10 minutes. non-service connected pension. A Washington, DC 20503 (202) 395–7316. Frequency of Response: Annually. veteran’s or surviving spouse’s rate of Please refer to ‘‘OMB Control No. 2900– Estimated Number of Respondents: improved pension is determined by 0601’’ in any correspondence. 70,000. family income. However, children’s FOR FURTHER INFORMATION CONTACT: income may be excluded if it is Denise McLamb, Enterprise Records Dated: June 2, 2011. unavailable or if including that income Service (005R1B), Department of By direction of the Secretary. would cause a hardship. Veterans Affairs, 810 Vermont Avenue, Denise McLamb, An agency may not conduct or NW., Washington, DC 20420, (202) 461– Program Analyst, Enterprise Records Service. sponsor, and a person is not required to 7485, FAX (202) 461–0966 or e-mail [FR Doc. 2011–13958 Filed 6–6–11; 8:45 am] respond to a collection of information [email protected]. Please refer to BILLING CODE 8320–01–P unless it displays a currently valid OMB ‘‘OMB Control No. 2900–0601.’’

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SUPPLEMENTARY INFORMATION: Budget (OMB) for review and comment. DEPARTMENT OF VETERANS Title: Requirements for Interest Rate The PRA submission describes the AFFAIRS Reduction Refinancing Loans. nature of the information collection and OMB Control Number: 2900–0601. its expected cost and burden; it includes [OMB Control No. 2900–New; DBQs—Group Type of Review: Extension of a the actual data collection instrument. 1] currently approved collection. Abstract: Veterans may refinance an DATES: Comments must be submitted on Agency Information Collection outstanding VA guaranteed, insured, or or before July 7, 2011. (Disability Benefits Questionnaires— Group 1) Under OMB Review direct loan with a new loan at a lower ADDRESSES: Submit written comments interest rate provided that the veteran on the collection of information through AGENCY: Veterans Benefits still owns the property used as security http://www.Regulations.gov or to VA’s Administration, Department of Veterans for the loan. The new loan will be OMB Desk Officer, OMB Human Affairs. guaranteed only if VA approves it in Resources and Housing Branch, New ACTION: Notice. advance after determining that the Executive Office Building, Room 10235, borrower, through the lender, has Washington, DC 20503 (202) 395–7316. SUMMARY: In compliance with the provided reasons for the loan Please refer to ‘‘OMB Control No. 2900– Paperwork Reduction Act (PRA) of 1995 deficiency, and has provided 0666’’ in any correspondence. (44 U.S.C. 3501–3521), this notice information to establish that the cause announces that the Veterans Benefits of the delinquency has been corrected, FOR FURTHER INFORMATION CONTACT: Denise McLamb, Enterprise Records Administration (VBA), Department of and qualifies for the loan under the Veterans Affairs, will submit the credit standard provisions. Service (005R1B), Department of Veterans Affairs, 810 Vermont Avenue, collection of information abstracted An agency may not conduct or below to the Office of Management and sponsor, and a person is not required to NW., Washington, DC 20420, (202) 461– 7485, Fax (202) 461–0966 or e-mail Budget (OMB) for review and comment. respond to a collection of information The PRA submission describes the unless it displays a currently valid OMB [email protected]. Please refer to ‘‘OMB Control No. 2900–0666.’’ nature of the information collection and control number. The Federal Register its expected cost and burden; it includes Notice with a 60-day comment period SUPPLEMENTARY INFORMATION: the actual data collection instrument. soliciting comments on this collection Title: Information Regarding DATES: Comments must be submitted on of information was published on March Apportionment of Beneficiary’s Award, or before July 7, 2011. 18, 2011, at page 15055. VA Form 21–0788. Affected Public: Business or other for ADDRESSES: Submit written comments profit. OMB Control Number: 2900–0666. on the collection of information through Estimated Annual Burden: 25 hours. Type of Review: Extension of a http://www.Regulations.gov or to VA’s Estimated Annual Burden per currently approved collection. OMB Desk Officer, OMB Human Respondent: 30 minutes. Resources and Housing Branch, New Abstract: Veterans and claimants Frequency of Response: On occasion. Executive Office Building, Room 10235, complete VA Form 21–0788 to report Estimated Number of Respondents: Washington, DC 20503, (202) 395–7316. their income information that is 50. Please refer to ‘‘OMB Control No. 2900– necessary for VA to determine whether New (DBQs—Group 1)’’ in any Dated: June 2, 2011. their compensation and pension correspondence. By direction of the Secretary. benefits can be apportioned to his or her Denise McLamb, dependents. FOR FURTHER INFORMATION CONTACT: Denise McLamb, Enterprise Records Program Analyst, Enterprise Records Service. An agency may not conduct or Service (005R1B), Department of [FR Doc. 2011–13960 Filed 6–6–11; 8:45 am] sponsor, and a person is not required to Veterans Affairs, 810 Vermont Avenue, BILLING CODE 8320–01–P respond to a collection of information NW., Washington, DC 20420, (202) 461– unless it displays a currently valid OMB 7485, Fax (202) 461–0966 or e-mail control number. The Federal Register DEPARTMENT OF VETERANS [email protected]. Please refer to Notice with a 60-day comment period ‘‘ AFFAIRS OMB Control No. 2900–New (DBQs— soliciting comments on this collection Group 1).’’ of information was published on March [OMB Control No. 2900–0666] SUPPLEMENTARY INFORMATION: 18, 2011, at page 15048. Titles: Agency Information Collection Affected Public: Individuals or a. Hematologic and Lymphatic (Information Regarding Apportionment households. Conditions, Including Leukemia of Beneficiary’s Award) Activity Under Disability Benefits Questionnaire, VA OMB Review Estimated Annual Burden: 12,500 hours. Form 21–0960B–2. AGENCY: Veterans Benefits Estimated Average Burden per b. Amyotrophic Lateral Sclerosis (Lou Administration, Department of Veterans Respondent: 30 minutes. Gehrig’s Disease) Disability Benefits Affairs. Questionnaire, VA Form 21–0960C–2. Frequency of Response: One time. ACTION: Notice. c. Peripheral Nerve Conditions (Not Estimated Number of Respondents: Including Diabetic Sensory-Motor SUMMARY: In compliance with the 25,000. Peripheral Neuropathy) Disability Paperwork Reduction Act (PRA) of 1995 Dated: June 2, 2011. Benefits Questionnaire, VA Form 21– (44 U.S.C. 3501–3521), this notice 0960C–10. announces that the Veterans Benefits By direction of the Secretary. d. Persian Gulf and Afghanistan Administration (VBA), Department of Denise McLamb, Infectious Diseases Disability Benefits Veterans Affairs, will submit the Program Analyst, Enterprise Records Service. Questionnaire, VA Form 21–0960I–1. collection of information abstracted [FR Doc. 2011–13961 Filed 6–6–11; 8:45 am] e. Tuberculosis Disability Benefits below to the Office of Management and BILLING CODE 8320–01–P Questionnaire, VA Form 21–0960I–6.

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f. Kidney Conditions (Nephrology) k. VA Form 21–0960P–1—15 minutes. NW., Washington, DC 20420, (202) 461– Disability Benefits Questionnaire, VA l. VA Form 21–0960P–2—30 minutes. 7485, Fax (202) 461–0966 or e-mail Form 21–0960J–1. m. VA Form 21–0960P–3—30 [email protected]. Please refer to g. Male Reproductive System minutes. ‘‘OMB Control No. 2900–0038.’’ Conditions Disability Benefits Frequency of Response: On occasion. SUPPLEMENTARY INFORMATION: Questionnaire, VA Form 21–0960J–2. Estimated Number of Respondents: Title: Information from Remarried h. Prostate Cancer Disability Benefits a. VA Form 21–0960B–2—10,000. Widow/er, VA Form 21–4103. Questionnaire, VA Form 21–0960J–3. b. VA Form 21–0960C–2—2,000. OMB Control Number: 2900–0038. i. Neck (Cervical Spine) Disability c. VA Form 21–0960C–10—55,000. Type of Review: Extension of a Benefits Questionnaire, VA Form 21– d. VA Form 21–0960I–1—50,000. currently approved collection. 0960M–13. e. VA Form 21–0960I–6—5,000. Abstract: VA Form 21–4103 is used to j. Back (Thoracolumbar Spine) f. VA Form 21–0960J–1—25,000. collected data necessary to determine g. VA Form 21–0960J–2—25,000. Conditions Disability Benefits whether a child or children of a h. VA Form 21–0960J–3—25,000. Questionnaire, VA Form 21–0960M–14. deceased veteran who served during a i. VA Form 21–0960M–13—50,000. k. Eating Disorders Disability Benefits wartime period are eligible to receive Questionnaire, VA Form 21–0960P–1. j. VA Form 21–0960M–14—50,000. k. VA Form 21–0960P–1—5,000. death pension benefits when the l. Mental Disorders (other than PTSD surviving spouse’s entitlement to death and Eating Disorders) Disability Benefits l. VA Form 21–0960P–2—50,000. m. VA Form 21–0960P–3—55,000. pension is permanently discontinued Questionnaire, VA Form 21–0960P–2. when he or she remarries. m. Review Post Traumatic Stress Dated: June 2, 2011. An agency may not conduct or Disorder (PTSD) Disability Benefits By direction of the Secretary. sponsor, and a person is not required to Questionnaire, VA Form 21–0960P–3. Denise McLamb, respond to a collection of information OMB Control Number: 2900–New Program Analyst, Enterprise Records Service. unless it displays a currently valid OMB (DBQs—Group 1). control number. The Federal Register Type of Review: New collection. [FR Doc. 2011–13962 Filed 6–6–11; 8:45 am] Notice with a 60-day comment period Abstract: Data collected on VA Form BILLING CODE 8320–01–P soliciting comments on this collection 21–0960 series will be used to obtain of information was published on March information from claimants treating DEPARTMENT OF VETERANS 18, 2011, at pages 15053–15054. physician that is necessary to adjudicate AFFAIRS Affected Public: Individuals or a claim for disability benefits. households. An agency may not conduct or [OMB Control No. 2900–0038] Estimated Annual Burden: 334 hours. sponsor, and a person is not required to Estimated Average Burden per respond to a collection of information Agency Information Collection Respondent: 20 minutes. unless it displays a currently valid OMB (Information From Remarried Widow/er) Activity Under OMB Review Frequency of Response: One-time. control number. The Federal Register Estimated Number of Respondents: Notice with a 60-day comment period AGENCY: Veterans Benefits 1,000. soliciting comments on this collection Administration, Department of Veterans Dated: June 2, 2011. of information was published on Affairs. February 15, 2011, at pages 8846–8847. By direction of the Secretary. ACTION: Affected Public: Individuals or Notice. Denise McLamb, households. SUMMARY: In compliance with the Program Analyst, Enterprise Records Service. Estimated Annual Burden: Paperwork Reduction Act (PRA) of 1995 [FR Doc. 2011–13963 Filed 6–6–11; 8:45 am] a. VA Form 21–0960B–2—2,500. (44 U.S.C. 3501–3521), this notice BILLING CODE 8320–01–P b. VA Form 21–0960C–2—1,000. announces that the Veterans Benefits c. VA Form 21–0960C–10—41,250. Administration (VBA), Department of d. VA Form 21–0960I–1—12,500. Veterans Affairs, will submit the DEPARTMENT OF VETERANS e. VA Form 21–0960I–6—2,500. AFFAIRS f. VA Form 21–0960J–1—12,500. collection of information abstracted g. VA Form 21–0960J–2—6,250. below to the Office of Management and [OMB Control No. 2900–0394] h. VA Form 21–0960J–3—6,250. Budget (OMB) for review and comment. i. VA Form 21–0960M–13—37,500. The PRA submission describes the Agency Information Collection j. VA Form 21–0960M–14—37,500. nature of the information collection and Activities (Certification of School k. VA Form 21–0960P–1—1,250. its expected cost and burden; it includes Attendance—REPS) Under OMB l. VA Form 21–0960P–2—25,000. the actual data collection instrument. Review m. VA Form 21–0960P–3—27,500. DATES: Comments must be submitted on AGENCY: Veterans Benefits Estimated Average Burden per or before July 7, 2011. Respondent: Administration, Department of Veterans ADDRESSES: Submit written comments Affairs. a. VA Form 21–0960B–2—15 minutes. on the collection of information through b. VA Form 21–0960C–2—30 minutes. ACTION: Notice. http://www.Regulations.gov or to VA’s c. VA Form 21–0960C–10—45 OMB Desk Officer, OMB Human minutes. SUMMARY: In compliance with the d. VA Form 21–0960I–1—15 minutes. Resources and Housing Branch, New Paperwork Reduction Act (PRA) of 1995 e. VA Form 21–0960I–6—30 minutes. Executive Office Building, Room 10235, (44 U.S.C. 3501–3521), this notice f. VA Form 21–0960J–1—30 minutes. Washington, DC 20503, (202) 395–7316. announces that the Veterans Benefits g. VA Form 21–0960J–2—15 minutes. Please refer to ‘‘OMB Control No. 2900– Administration (VBA), Department of h. VA Form 21–0960J–3—15 minutes. 0038’’ in any correspondence. Veterans Affairs, will submit the i. VA Form 21–0960M–13—45 FOR FURTHER INFORMATION CONTACT: collection of information abstracted minutes. Denise McLamb, Enterprise Records below to the Office of Management and j. VA Form 21–0960M–14—45 Service (005R1B), Department of Budget (OMB) for review and comment. minutes. Veterans Affairs, 810 Vermont Avenue, The PRA submission describes the

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nature of the information collection and DEPARTMENT OF VETERANS soliciting comments on this collection its expected cost and burden; it includes AFFAIRS of information was published on March the actual data collection instrument. 25, 2011, at pages 16857–16858. [OMB Control No. 2900–0660] DATES: Comments must be submitted on Affected Public: Individuals or or before July 7, 2011. Agency Information Collection households. Estimated Annual Burden: 1,250 ADDRESSES: Submit written comments (Request for Contact Information) hours. on the collection of information through Activity Under OMB Review http://www.Regulations.gov or to VA’s Estimated Average Burden per OMB Desk Officer, OMB Human AGENCY: Veterans Benefits Respondent: 30 minutes. Frequency of Response: One-time. Resources and Housing Branch, New Administration, Department of Veterans Affairs. Estimated Number of Respondents: Executive Office Building, Room 10235, 5,000. Washington, DC 20503, (202) 395–7316. ACTION: Notice. Please refer to ‘‘OMB Control No. 2900– Dated: June 2, 2011. 0394’’ in any correspondence. SUMMARY: In compliance with the By direction of the Secretary. Paperwork Reduction Act (PRA) of 1995 FOR FURTHER INFORMATION CONTACT: Denise McLamb, (44 U.S.C. 3501–3521), this notice Denise McLamb, Enterprise Records Program Analyst, Enterprise Records Service. announces that the Veterans Benefits Service (005R1B), Department of [FR Doc. 2011–13965 Filed 6–6–11; 8:45 am] Administration (VBA), Department of Veterans Affairs, 810 Vermont Avenue, Veterans Affairs, will submit the BILLING CODE 8320–01–P NW., Washington, DC 20420, (202) 461– collection of information abstracted 7485, Fax (202) 461–0966 or e-mail [email protected]. Please refer to below to the Office of Management and DEPARTMENT OF VETERANS ‘‘OMB Control No. 2900–0394.’’ Budget (OMB) for review and comment. AFFAIRS The PRA submission describes the SUPPLEMENTARY INFORMATION: nature of the information collection and [OMB Control No. 2900–0404] Title: Certification of School its expected cost and burden; it includes Attendance—REPS, VA Form 21–8926. the actual data collection instrument. Agency Information Collection OMB Control Number: 2900–0394. (Veteran’s Application for Increased DATES: Comments must be submitted on Type of Review: Extension of a Compensation Based on or before July 7, 2011. currently approved collection. Unemployability) Activity Under OMB Abstract: VA Form 21–8926 is used to ADDRESSES: Submit written comments Review verify beneficiaries receiving REPS on the collection of information through benefits based on schoolchild status are http://www.Regulations.gov or to VA’s AGENCY: Veterans Benefits in fact enrolled full-time in an approved OMB Desk Officer, OMB Human Administration, Department of Veterans school and is otherwise eligible for Resources and Housing Branch, New Affairs. continued benefits. The program pays Executive Office Building, Room 10235, ACTION: Notice. benefits to certain surviving spouses Washington, DC 20503 (202) 395–7316. and children of veterans who died in Please refer to ‘‘OMB Control No. 2900– SUMMARY: In compliance with the service prior to August 13, 1981 or who 0660’’ in any correspondence. Paperwork Reduction Act (PRA) of 1995 (44 U.S.C. 3501–3521), this notice died as a result of a service-connected FOR FURTHER INFORMATION CONTACT: announces that the Veterans Benefits disability incurred or aggravated prior to Denise McLamb, Enterprise Records Administration (VBA), Department of August 13, 1981. Beneficiaries over age Service (005R1B), Department of Veterans Affairs, will submit the 18 and under age 23 must be enrolled Veterans Affairs, 810 Vermont Avenue, collection of information abstracted full-time in an approved post-secondary NW., Washington, DC 20420, (202) 461– below to the Office of Management and school at the beginning of the school 7485, FAX (202) 461–0966 or e-mail Budget (OMB) for review and comment. year to continue receiving REPS [email protected]. Please refer to The PRA submission describes the benefits. ‘‘OMB Control No. 2900–0660.’’ An agency may not conduct or nature of the information collection and SUPPLEMENTARY INFORMATION: sponsor, and a person is not required to its expected cost and burden; it includes Title: Request for Contact Information, respond to a collection of information the actual data collection instrument. VA Form 21–30. DATES: Comments must be submitted on unless it displays a currently valid OMB OMB Control Number: 2900–0660. control number. The Federal Register Type of Review: Extension of a or before July 7, 2011. Notice with a 60-day comment period currently approved collection. ADDRESSES: Submit written comments soliciting comments on this collection Abstract: VA Form 21–30 is used to on the collection of information through of information was published on March locate individuals when contact http://www.Regulations.gov or to VA’s 25, 2011, at page 16859. information cannot be obtained by other OMB Desk Officer, OMB Human Affected Public: Individuals or means or when travel funds may be Resources and Housing Branch, New households. significantly impacted in cases where an Executive Office Building, Room 10235, Estimated Annual Burden: 300 hours. Washington, DC 20503, (202) 395–7316. Estimated Average Burden per individual resides in a remote location and is not home during the day or when Please refer to ‘‘OMB Control No. 2900– Respondent: 15 minutes. 0404’’ in any correspondence. Frequency of Response: Annually. visited. VA uses the data collected FOR FURTHER INFORMATION CONTACT: Estimated Number of Respondents: determine whether a fiduciary of a 1,200. beneficiary is properly executing his or Denise McLamb, Enterprise Records her duties. Service (005R1B), Department of Dated: June 2, 2011. An agency may not conduct or Veterans Affairs, 810 Vermont Avenue, By direction of the Secretary. sponsor, and a person is not required to NW., Washington, DC 20420, (202) 461– Denise McLamb, respond to a collection of information 7485, FAX (202) 461–0966 or e-mail Program Analyst, Enterprise Records Service. unless it displays a currently valid OMB [email protected]. Please refer to [FR Doc. 2011–13964 Filed 6–6–11; 8:45 am] control number. The Federal Register ‘‘OMB Control No. 2900–0404.’’ BILLING CODE 8320–01–P Notice with a 60-day comment period SUPPLEMENTARY INFORMATION:

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Title: Veteran’s Application for public comment in response to the The Act requires VA to obtain Increased Compensation Based on notice. This notice solicits comments on information from the Data Bank on Unemployability, VA Form 21–8940. information needed to determine health care providers who provide or OMB Control Number: 2900–0404. whether malpractice payments are seek to provide health care services at Type of Review: Extension of a related to substandard care, professional VA facilities and report information currently approved collection. incompetence or misconduct. regarding malpractice payments and Abstract: VA Form 21–8940 is used DATES: Written comments and adverse clinical privileges action to the by veterans to file a claim for increased recommendations on the proposed Data Bank. disability compensation based on collection of information should be Affected Public: Individuals or unemployability. Claimants are required received on or before August 8, 2011. households. Estimated Annual Burden: 1,750. to provide current medical, educational, ADDRESSES: Submit written comments and occupational history in order for Frequency of Response: On occasion. on the collection of information through Estimated Average Burden per VA to determine whether he or she is the Federal Docket Management System unable to secure or follow a Respondents: 5 hours. (FDMS) at http://www.Regulations.gov; Estimated Annual Responses: 350. substantially gainful employment due to or to Cynthia Harvey-Pryor, Veterans service-connected disabilities. Health Administration (193E1), Dated: June 2, 2011. An agency may not conduct or Department of Veterans Affairs, 810 By direction of the Secretary. sponsor, and a person is not required to Vermont Avenue, NW., Washington, DC Denise McLamb, respond to a collection of information 20420 or e-mail: cynthia.harvey- Program Analyst, Enterprise Records Service. unless it displays a currently valid OMB [email protected]. Please refer to ‘‘OMB [FR Doc. 2011–13967 Filed 6–6–11; 8:45 am] control number. The Federal Register Control No. 2900–0621’’ in any BILLING CODE 8320–01–P Notice with a 60-day comment period correspondence. During the comment soliciting comments on this collection period, comments may be viewed online of information was published on March through FDMS. DEPARTMENT OF VETERANS 18, 2011, at pages 15048–15049. FOR FURTHER INFORMATION CONTACT: AFFAIRS Affected Public: Individuals or Cynthia Harvey-Pryor (202) 461–5870 or households. [OMB Control No. 2900–0031] FAX (202) 273–9387. Estimated Annual Burden: 18,000 hours. SUPPLEMENTARY INFORMATION: Under the Agency Information Collection Estimated Average Burden per PRA of 1995 (Pub. L. 104–13; 44 U.S.C. (Veteran’s Supplemental Application Respondent: 45 minutes. 3501—3521), Federal agencies must for Assistance in Acquiring Specially Frequency of Response: One-time. obtain approval from OMB for each Adapted Housing) Activity Under OMB Estimated Number of Respondents: collection of information they conduct Review or sponsor. This request for comment is 24,000. AGENCY: Veterans Benefits being made pursuant to Section Administration, Department of Veterans Dated: June 2, 2011. 3506(c)(2)(A) of the PRA. By direction of the Secretary. With respect to the following Affairs. Denise McLamb, collection of information, VHA invites ACTION: Notice. Program Analyst, Enterprise Records Service. comments on: (1) Whether the proposed SUMMARY: In compliance with the [FR Doc. 2011–13966 Filed 6–6–11; 8:45 am] collection of information is necessary Paperwork Reduction Act (PRA) of 1995 BILLING CODE 8320–01–P for the proper performance of VHA’s (44 U.S.C. 3501–3521), this notice functions, including whether the announces that the Veterans Benefits information will have practical utility; Administration (VBA), Department of DEPARTMENT OF VETERANS (2) the accuracy of VHA’s estimate of Veterans Affairs, will submit the AFFAIRS the burden of the proposed collection of collection of information abstracted [OMB Control No. 2900–0621] information; (3) ways to enhance the below to the Office of Management and quality, utility, and clarity of the Budget (OMB) for review and comment. Proposed Information Collection information to be collected; and (4) The PRA submission describes the (National Practitioner Data Bank ways to minimize the burden of the nature of the information collection and (NPDB) Regulation) Activity: Comment collection of information on its expected cost and burden; it includes Request respondents, including through the use the actual data collection instrument. of automated collection techniques or DATES: Comments must be submitted on AGENCY: Veterans Health the use of other forms of information or before July 7, 2011. Administration, Department of Veterans technology. Affairs. Title: National Practitioner Data Bank ADDRESSES: Submit written comments on the collection of information through ACTION: Notice. Regulation (NPDB). OMB Control Number: OMB Control http://www.Regulations.gov or to VA’s SUMMARY: The Veterans Health No. 2900–0621. OMB Desk Officer, OMB Human Administration (VHA), Department of Type of Review: Extension of a Resources and Housing Branch, New Veterans Affairs (VA), is announcing an previously approved collection. Executive Office Building, Room 10235, opportunity for public comment on the Abstracts: The National Practitioner Washington, DC 20503 (202) 395–7316. proposed collection of certain Data Bank, authorized by the Health Please refer to ‘‘OMB Control No. 2900– information by the agency. Under the Care Quality Improvement Act of 1986 0031’’ in any correspondence. Paperwork Reduction Act (PRA) of and administered by the Department of FOR FURTHER INFORMATION CONTACT: 1995, Federal agencies are required to Health and Human Service, was Denise McLamb, Enterprise Records publish notice in the Federal Register established for the purpose of collecting Service (005R1B), Department of concerning each proposed collection of and releasing certain information Veterans Affairs, 810 Vermont Avenue, information, including each proposed concerning physicians, dentists, and NW., Washington, DC 20420, (202) 461– new collection and allow 60 days for other licensed health care practitioners. 7485, FAX (202) 461–0966 or e-mail

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[email protected]. Please refer to economically feasible for a veteran to Estimated Annual Burden: 350 hours. ‘‘OMB Control No. 2900–0031.’’ reside in specially adapted housing and Estimated Average Burden per SUPPLEMENTARY INFORMATION: to compute the proper grant amount. Respondent: 15 minutes. Title: Veteran’s Supplemental An agency may not conduct or Application for Assistance in Acquiring sponsor, and a person is not required to Frequency of Response: On occasion. Specially Adapted Housing, VA Form respond to a collection of information Estimated Number of Respondents: 26–4555c. unless it displays a currently valid OMB 1,400. OMB Control Number: 2900–0031. control number. The Federal Register Dated: June 2, 2011. Type of Review: Extension of a Notice with a 60-day comment period By direction of the Secretary. currently approved collection. soliciting comments on this collection Abstract: Veterans complete VA Form of information was published on March Denise McLamb, 26–4555c to apply for specially adapted 25, 2011, at pages 16859–16860. Program Analyst, Enterprise Records Service. housing grants. VA will use the data Affected Public: Individuals or [FR Doc. 2011–13968 Filed 6–6–11; 8:45 am] collected to determine if it is households. BILLING CODE 8320–01–P

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Part II

Department of the Interior

Fish and Wildlife Service

50 CFR Part 17 Endangered and Threatened Wildlife and Plants; Designation of Critical Habitat for Roswell Springsnail, Koster’s Springsnail, Noel’s Amphipod, and Pecos Assiminea; Final Rule

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DEPARTMENT OF THE INTERIOR springsnail (Juturnia kosteri), Noel’s springsnail, Koster’s springsnail, and amphipod (Gammarus desperatus), and Noel’s amphipod (75 FR 35375). The Fish and Wildlife Service Pecos assiminea (Assiminea pecos) (four comment period was open for 60 days invertebrates). For more information on and closed on August 23, 2010. 50 CFR Part 17 the biology and ecology of the four Information we received during that [Docket No. FWS–R2–ES–2009–0014; invertebrates, refer to the final listing comment period led to our 92210–1117–0000–B4] rule published in the Federal Register consideration of a new area for critical on August 9, 2005 (70 FR 46304). For habitat for the Noel’s amphipod along RIN 1018–AW50 information on the four invertebrates’ the Rio Hondo on the South Tract of the critical habitat, refer to the proposed Endangered and Threatened Wildlife Refuge and, therefore, led to our rule to designate critical habitat for the and Plants; Designation of Critical publication of an additional document four invertebrates, published in the Habitat for Roswell Springsnail, on February 17, 2011 (76 FR 9297), to Federal Register on June 22, 2010 (75 Koster’s Springsnail, Noel’s accept public comment on the proposed FR 35375), and February 17, 2011 (76 Amphipod, and Pecos Assiminea designation of this additional area. FR 9297). Summary of Comments and AGENCY: Fish and Wildlife Service, Previous Federal Actions Interior. Recommendations On February 12, 2002, we proposed ACTION: Final rule. listing the Roswell springsnail, Koster’s We requested written comments from the public on the proposed designation SUMMARY: We, the U.S. Fish and springsnail, Noel’s amphipod, and Wildlife Service, designate critical Pecos assiminea as endangered with of critical habitat for the four habitat for the Pecos assiminea critical habitat (67 FR 6459) under the invertebrates during the comment (Assiminea pecos), Roswell springsnail Endangered Species Act of 1973, as periods held from March 12 to May 11, (Pyrgulopsis roswellensis), Koster’s amended (Act) (16 U.S.C. 1531 et seq.). 2009; June 22 to August 23, 2010; and springsnail (Juturnia kosteri), and Noel’s Proposed critical habitat for the four February 17 to March 21, 2011. We did amphipod (Gammarus desperatus), species included portions of Bitter Lake not receive any requests for a public under the Endangered Species Act of National Wildlife Refuge (Refuge) in hearing, and none was held. We also 1973, as amended. In total, we are New Mexico, as well as two sites in contacted appropriate Federal, State, designating as critical habitat Texas for the Pecos assiminea. On May and local agencies; scientific approximately 521.3 acres (211.0 31, 2002, and again on May 4, 2005, we organizations; and other interested hectares) for the four species of aquatic reopened the comment period on our parties and invited them to comment on invertebrates. The critical habitat is February 12, 2002, proposed listing of the proposed rule, draft economic located in Chaves County, New Mexico, the four invertebrates with critical analysis, and draft environmental and Pecos and Reeves Counties, Texas. habitat (67 FR 38059 and 70 FR 23083, assessment during the last two comment periods. DATES: This rule becomes effective on respectively). July 7, 2011. On August 9, 2005, we listed Roswell During the comment periods, we springsnail, Koster’s springsnail, Noel’s ADDRESSES: received six comment letters directly This final rule and the amphipod, and Pecos assiminea as associated final economic analysis and addressing the proposed critical habitat endangered under the Act (70 FR designation. All substantive information final environmental assessment are 46304). In that rule, we also designated available on the Internet at http:// provided during comment periods has critical habitat for Pecos assiminea at either been incorporated directly into www.regulations.gov or http:// Diamond Y Springs Complex in Pecos www.fws.gov/southwest/es/NewMexico/. this final determination as appropriate County, Texas, and at East Sandia or addressed below. Comments and materials received, as Springs in Reeves County, Texas. We well as supporting documentation used excluded proposed areas on the Refuge Peer Review in preparing this final rule, are available from the final critical habitat In accordance with our peer review for public inspection, by appointment, designation because special policy published on July 1, 1994 (59 FR during normal business hours, at the management for the four invertebrates 34270), we solicited expert opinions U.S. Fish and Wildlife Service, New was already occurring there. As a result, from three knowledgeable individuals Mexico Ecological Services Field Office, only the Pecos assiminea had critical with scientific expertise that included 2105 Osuna Rd, NE, Albuquerque, NM habitat designated for two areas in familiarity with the species, the 87113; telephone 505–346–2525; Texas, and no critical habitat was geographic region in which the species facsimile 505–346–2542. designated for the other three species. FOR FURTHER INFORMATION CONTACT: On March 12, 2009, in response to a occur, and conservation biology Wally ‘‘J’’ Murphy, Field Supervisor, complaint filed by Forest Guardians principles. We received responses from U.S. Fish and Wildlife Service, New (now WildEarth Guardians) challenging two of the peer reviewers. Mexico Ecological Services Field Office, the exclusion of the Refuge from the We reviewed all comments received 2105 Osuna Rd, NE, Albuquerque, NM final critical habitat designation for the from the peer reviewers for substantive 87113; telephone 505–761–4781; four invertebrate species, we published issues and new information regarding facsimile 505–246–2542. If you use a an announcement reopening a 60-day critical habitat for the four invertebrates. telecommunications device for the deaf comment period on the proposed The peer reviewers generally concurred (TDD), call the Federal Information designation of lands of the Bitter Lake with our methods and conclusions and Relay Service (FIRS) at 800–877–8339. National Wildlife Refuge as critical provided additional information, SUPPLEMENTARY INFORMATION: It is our habitat for the four invertebrates (74 FR clarifications, and suggestions to intent to discuss in this final rule only 10701). improve the final critical habitat rule. those topics directly relevant to the On June 22, 2010, we published a Peer reviewer comments are addressed development and designation of critical proposed rule to revise critical habitat in the following summary and habitat for the Roswell springsnail for the Pecos assiminea and propose incorporated into the final rule as (Pyrgulopsis roswellensis), Koster’s new critical habitat for Roswell appropriate.

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Peer Reviewer Comments Comments From States Summary of Changes From the Proposed Rule (1) Comment: Both peer reviewers and Section 4(i) of the Act states, ‘‘the the State of New Mexico recommended Secretary shall submit to the State Since the publication of the June 22, 2010, proposed rule to revise critical the habitat supporting the Rio Hondo agency a written justification for his habitat for the Pecos assiminea and population of Noel’s amphipod on the failure to adopt regulations consistent propose new critical habitat for Roswell South Tract of the Refuge be included with the agency’s comments or springsnail, Koster’s springsnail, and in this critical habitat designation. petition.’’ We received two comment Noel’s amphipod (75 FR 35375), we Our response: We agree that the Rio letters from the State of New Mexico. have made the following changes: Hondo population of Noel’s amphipod The comments in the first letter are (1) Because the Pecos assiminea should be included in this designation addressed above (see (1), (2), and (4) occupies different habitats than the of critical habitat, and we published an under Peer Reviewer Comments). The Roswell springsnail, Koster’s additional document to request public second letter specifically addressed our springsnail, and Noel’s amphipod, we comments on the proposed designation February 17, 2011 (76 FR 9297), created separate critical habitat units for of the additional area on February 17, proposed rule, stating that the New the Pecos assiminea on the Refuge. 2011 (76 FR 9297). We have included Mexico Department of Game and Fish (2) Due to the discovery of a this area in this final critical habitat (NMDGF) supports the critical habitat population of Noel’s amphipod along designation. designation. the Rio Hondo on the South Tract of the (2) Comment: One peer reviewer and Refuge, we proposed an additional Public Comments the State of New Mexico requested we critical habitat area on February 17, clarify the language discussing the (5) Comment: One commenter 2011 (76 FR 9297). This area is included number of locations of Pecos assiminea suggested we include additional areas as critical habitat in this final rule. that occur on the Refuge, which stated surrounding depleted springs and ponds (3) Because of the addition of new disparate numbers of populations. as critical habitat. units for the Pecos assiminea and Noel’s Our response: We have revised the amphipod, the unit numbers have Our response: Much of the historic language accordingly in this final changed from those in the proposed habitat for these four invertebrates has critical habitat designation. rule. been degraded to such a degree that it (4) Due to a mapping error, the total (3) Comment: One peer reviewer no longer contains the physical and amount of critical habitat is 0.5 acres suggested we designate additional areas biological features necessary for (ac) (0.2 hectares (ha)) more than was of Hunter Marsh on the Refuge that may conservation of these species. Only proposed. No additional critical habitat likely contain additional habitat areas meeting the criteria for critical has been designated in this rule, as the occupied by the four invertebrates. habitat for the four invertebrates are error was purely mathematical. Our response: We considered all areas designated as critical habitat in this of Hunter Marsh for possible inclusion rule, as well as surrounding areas Critical Habitat as critical habitat. In doing so, we relied contiguous with occupied habitat that Background on species experts and Refuge staff to may be inhabited in the future. Because Critical habitat is defined in section 3 identify those areas occupied by any of the depleted springs and ponds the four invertebrates at the time of of the Act as: mentioned by the commenter are (1) The specific areas within the listing that contain the physical or dewatered due to groundwater loss in biological features essential to the geographical area occupied by the the area, it is not likely they could be species, at the time it is listed in conservation of the species and which rehabilitated in the future to restore the may require special management accordance with the Act, on which are necessary habitat features for the four found those physical or biological considerations or protection. Using invertebrates. Therefore, these areas are mapping techniques and field visits, we features unlikely to contribute to the recovery of (a) Essential to the conservation of the designated all areas within this tract on the species, are not considered essential the Refuge that meet the criteria for species and to their conservation, and are not (b) Which may require special critical habitat. For areas not occupied included in this critical habitat management considerations or by any of the four invertebrates at the designation. protection; and time they were listed, we found none (2) Specific areas outside the that would meet the criteria to be (6) Comment: One commenter geographical area occupied by the essential for the four invertebrates’ recommended limiting designation of species at the time it is listed, upon a conservation, and none of the four critical habitat to areas of the Refuge determination that such areas are invertebrates is likely to become where the four invertebrates can occur. essential for the conservation of the established in other areas. Our response: Updated geographic species. (4) Comment: One peer reviewer and information system (GIS) techniques Conservation, as defined under the State of New Mexico noted that the have allowed us to more closely map section 3 of the Act, means to use and Pecos assiminea proposed critical the wetlands, springs, and seeps on the the use of all methods and procedures habitat map does not show any of the Refuge in which the four invertebrates that are necessary to bring an property owned by the City of Roswell can occur; therefore, our designation is endangered or threatened species to the (City) as being proposed for critical refined from the 2002 proposal to point at which the measures provided habitat. designate critical habitat for the four pursuant to the Act are no longer Our response: In the proposal, we invertebrates (February 12, 2002; 67 FR necessary. Such methods and incorrectly identified the Refuge 6459) and no longer includes uplands or procedures include, but are not limited boundary. The revised map shows the other Refuge lands that do not contain to, all activities associated with correct boundary, accurately displaying the essential physical and biological scientific resources management such as portions of Units 2a and 2b as City features of critical habitat for these four research, census, law enforcement, property. invertebrates. habitat acquisition and maintenance,

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propagation, live trapping, and determination that such areas are critical habitat designation, will transplantation, and, in the essential for the conservation of the continue to be subject to: (1) extraordinary case where population species. We designate critical habitat in Conservation actions implemented pressures within a given ecosystem areas outside the geographical area under section 7(a)(1) of the Act, (2) cannot be otherwise relieved, may occupied by a species only when a regulatory protections afforded by the include regulated taking. designation limited to its range would requirement in section 7(a)(2) of the Act Critical habitat receives protection be inadequate to ensure the for Federal agencies to insure their under section 7 of the Act through the conservation of the species. When the actions are not likely to jeopardize the requirement that Federal agencies best available scientific data do not continued existence of any endangered ensure, in consultation with the U.S. demonstrate that the conservation needs or threatened species, and (3) the Fish and Wildlife Service (Service), that of the species require such additional prohibitions of section 9 of the Act if any action they authorize, fund, or carry areas, we will not designate critical actions occurring in these areas may out is not likely to result in the habitat in areas outside the geographical affect the species. Federally funded or destruction or adverse modification of area occupied by the species. An area permitted projects affecting listed critical habitat. The designation of currently occupied by the species but species outside their designated critical critical habitat does not affect land that was not occupied at the time of habitat areas may still result in jeopardy ownership or establish a refuge, listing may, however, be essential to the findings in some cases. These wilderness, reserve, preserve, or other conservation of the species and may be protections and conservation tools will conservation area. Such designation included in the critical habitat continue to contribute to recovery of does not allow the government or public designation. this species. Similarly, critical habitat to access private lands. Such Section 4 of the Act requires that we designations made on the basis of the designation does not require designate critical habitat on the basis of best available information at the time of implementation of restoration, recovery, the best scientific and commercial data designation will not control the or enhancement measures by non- available. Further, our Policy on direction and substance of future Federal landowners. Where a landowner Information Standards Under the recovery plans, habitat conservation seeks or requests Federal agency Endangered Species Act (published in plans (HCPs), or other species funding or authorization for an action the Federal Register on July 1, 1994 (59 conservation planning efforts, if new that may affect a listed species or FR 34271)), the Information Quality Act information available at the time of critical habitat, the consultation (section 515 of the Treasury and General these planning efforts calls for a requirements of section 7(a)(2) of the Government Appropriations Act for different outcome. Act would apply, but even in the event Fiscal Year 2001 (Pub. L. 106–554; H.R. of a destruction or adverse modification 5658)), and our associated Information Physical and Biological Features finding, the obligation of the Federal Quality Guidelines, provide criteria, In accordance with sections 3(5)(A)(i) action agency and the landowner is not establish procedures, and provide and 4(b)(1)(A) of the Act and the to restore or recover the species, but to guidance to ensure that our decisions regulations at 50 CFR 424.12, in implement reasonable and prudent are based on the best scientific data determining which areas within the alternatives to avoid destruction or available. They require our biologists, to geographical area occupied at the time adverse modification of critical habitat. the extent consistent with the Act and of listing to designate as critical habitat, For inclusion in a critical habitat with the use of the best scientific data we consider the physical and biological designation, the habitat within the available, to use primary and original features essential to the conservation of geographical area occupied by the sources of information as the basis for the species that may require special species at the time it was listed must recommendations to designate critical management considerations or contain physical and biological features habitat. protection. These include, but are not which are essential to the conservation When we are determining which areas limited to: of the species and which may require should be designated as critical habitat, (1) Space for individual and special management considerations or our primary source of information is population growth and for normal protection. Critical habitat designations generally the information developed behavior; identify, to the extent known using the during the listing process for the (2) Food, water, air, light, minerals, or best scientific and commercial data species. Additional information sources other nutritional or physiological available, those physical and biological may include the recovery plan for the requirements; features that are essential to the species, articles in peer-reviewed (3) Cover or shelter; conservation of the species (such as journals, conservation plans developed (4) Sites for breeding, reproduction, or space, food, cover, and protected by States and counties, scientific status rearing (or development) of offspring; habitat), focusing on the principal surveys and studies, biological and biological or physical constituent assessments, or other unpublished (5) Habitats that are protected from elements (primary constituent elements) materials and expert opinion or disturbance or are representative of the within an area that are essential to the personal knowledge. historic, geographical, and ecological conservation of the species (such as We recognize that critical habitat distributions of a species. roost sites, nesting grounds, seasonal designated at a particular point in time We derive the specific physical and wetlands, water quality, tide, soil type). may not include all of the habitat areas biological features required for the four Primary constituent elements are the that we may later determine are invertebrates from studies of these elements of physical and biological necessary for the recovery of the species’ habitat, ecology, and life history features that provide for a species’ life species. For these reasons, a critical as described in the Critical Habitat history processes and are essential to habitat designation does not signal that section of the proposed rule to designate the conservation of the species. habitat outside the designated area is critical habitat published in the Federal Under the Act, we can designate unimportant or may not be required for Register on June 22, 2010 (75 FR 35375) critical habitat in areas outside the recovery of the species. Areas that are and in the information presented below. geographical area occupied by the important to the conservation of the Additional information can be found in species at the time it is listed, upon a species, both inside and outside the the final listing rule published in the

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Federal Register on August 9, 2005 (70 Pecos Assiminea decaying organic matter (Holsinger FR 46304). We have determined that the The Pecos assiminea requires 1976, p. 28; Pennak 1989, p. 476). Noel’s following physical and biological saturated, moist soil at stream or spring- amphipod is often found in beds of features are required by the four run margins and is found in wet mud or submergent aquatic plants, indicating invertebrates. beneath mats of vegetation, usually that they probably feed on a surface film within 1 inch (in) (2 to 3 centimeters of algae, diatoms (single-celled algae Space for Individual and Population (cm)) of flowing water. Spring with high silica content), bacteria, and Growth and for Normal Behavior complexes that contain flowing water fungi (Smith 2001, p. 575; NMDGF Roswell Springsnail, Koster’s create saturated soils that provide the 2005, p. 14). Young amphipods depend Springsnail, Noel’s Amphipod specific habitat needed for population on microbial foods, such as algae and growth, sheltering, and normal behavior bacteria, associated with aquatic plants The aquatic environment provides of the species. Although this snail (Covich and Thorp 1991, p. 677). foraging and sheltering habitat for seldom occurs immersed in water, the Cannibalism may occur at high densities Roswell springsnail, Koster’s species cannot withstand permanent when food becomes limiting (Smith springsnail, and Noel’s amphipod, as drying of springs or spring complexes. 2001, p. 575; NMDGF 2005, p. 15). well as habitat structure necessary for Consequently, wetland plant species are Pecos Assiminea reproduction and survival of offspring. required to provide leaf litter (dead leaf These invertebrates are completely material), shade, and appropriate The Pecos assiminea has a file-like aquatic and require perennial, flowing microhabitat. Plant species such as radula (a ribbon of teeth) situated water for all of their life stages. The Scirpus americanus (American three- behind the mouth that it uses to graze springsnails can survive in seepage square), Eleocharis spp. (spike rush), or scrape food from the foraging surface. Saturated soils and wetland vegetation areas, as long as flows are perennial and Distichlis spicata (inland saltgrass), and adjacent to spring complexes contribute within the species’ physiological Juncus spp. (rushes) provide the to the necessary components to support tolerance limit; pool-like habitat is less appropriate cover and shelter required by Pecos assiminea (NMDGF 2005, p. the algae, detritus, and bacteria on suitable for these species, which prefer 13). which this species forages. flowing water. They inhabit springs and spring-fed wetland systems with Food Primary Constituent Elements variable water temperatures (50–68 Invertebrates in small spring Under the Act and its implementing ° degrees Fahrenheit ( F)) (10–20 degrees ecosystems depend on food from two regulations, we are required to identify Celsius (°C)). In general, the springsnails sources: that which grows in or on the the physical and biological features inhabit slow to moderate water substrate (aquatic and attached plants essential to the conservation of the velocities over compact substrate and algae) and that which falls or is Roswell springsnail, Koster’s (material on the bottom of the stream) blown into the system (primarily springsnail, Noel’s amphipod, and ranging from deep organic silts to leaves). Leaves from nonnative plants Pecos assiminea in areas occupied at the gypsum sands and gravel (NMDGF that fall into the water are often less time of listing, focusing on the features’ 2005, pp. 13, 16). Habitat of Koster’s suitable food sources for invertebrates primary constituent elements. We springsnail consists of soft substrates of because of either their resins or their consider primary constituent elements springs and seeps (Taylor 1987, p. 43). physical structure (Bailey et al. 2001, p. to be the elements of physical and Roswell springsnail, on the other hand, 445). Water is also the medium biological features that provide for a was found to be most abundant on hard, necessary to provide the algae, detritus species’ life-history processes and are gypsum substrate (NMDGF 2005, p. 16), (dead or partially decayed plant essential to the conservation of the materials or animals), bacteria, and which may make the species more species. submergent vegetation (vegetation susceptible to sedimentation. Noel’s submerged in water) on which the four Primary Constituent Elements for amphipod is found beneath stones and species depend as a food resource, Roswell Springsnail and Koster’s in aquatic vegetation (Cole 1988, p. 5; although submergent vegetation is less Springsnail Smith 2001, pp. 572–574). The addition important for the Pecos assiminea of stones, which increased current Based on the above needs and our because it inhabits the wet soils just current knowledge of the life history, velocity, appeared to improve habitat above the water’s edge. biology, and ecology of the species and for Noel’s amphipod along the Unit 6 the habitat requirements for sustaining spring-ditch on the Refuge (Lang 2002, Roswell Springsnail and Koster’s Springsnail the essential life history functions of the p. 2). species, we have determined that the The springsnails feed on algae, The two springsnails and Noel’s primary constituent element essential to bacteria, and decaying organic material amphipod are sensitive to water the conservation of Roswell springsnail (NMDGF 2005, p. 14). They will also contamination. Amphipods generally do and Koster’s springsnail is springs and incidentally ingest small invertebrates not tolerate habitat desiccation (drying), spring-fed wetland systems that: while grazing on algae and detritus. standing water, sedimentation, or other Submergent vegetation contributes the (1) Have permanent, flowing water adverse environmental conditions; they necessary nutrients, detritus, and with no or no more than low levels of are very sensitive to habitat degradation bacteria on which these species forage. pollutants; (NMDGF 1999, p. B3; Smith 2001, p. Resource abundance and productivity (2) Have slow to moderate water 575; NMDGF 2005, p. 15). Further, appears to be an important factor in velocities; Taylor (1985, p. 15) concluded that an regulating population size (NMDGF (3) Have substrates ranging from deep unidentified groundwater pollutant was 2005, p. 16). organic silts to limestone cobble and responsible for reduction in abundance gypsum; of springsnail species in the headspring Noel’s Amphipod (4) Have stable water levels with and outflow of Diamond Y Spring, in Amphipods are omnivorous, feeding natural diurnal (daily) and seasonal Pecos County, Texas. on algae, submergent vegetation, and variations;

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(5) Consist of fresh to moderately (2) That is within 1 in (2 to 3 cm) of Koster’s springsnails) are susceptible to saline water; flowing water; extirpation or extinction because they (6) Vary in temperature between 50– (3) That has native wetland plant often occur in isolated desert springs 68 °F (10–20 °C) with natural seasonal species, such as salt grass or sedges, that (Hershler 1989, p. 294; Hershler and and diurnal variations slightly above provide leaf litter, shade, cover, and Pratt 1990, p. 291; Hershler 1994, p. 1; and below that range; and appropriate microhabitat; Lydeard et al. 2004, p. 326). There is (7) Provide abundant food, consisting (4) That contains wetland vegetation evidence these habitats have been of: adjacent to spring complexes that historically reduced or eliminated by (a) Algae, bacteria, and decaying supports the algae, detritus, and bacteria aquifer depletion (Jones and Balleau organic material; and needed for foraging; and 1996, p. 4). The lowering of water tables (b) Submergent vegetation that (5) That has adjacent spring through aquifer withdrawals for contributes the necessary nutrients, complexes with: irrigation and municipal use has detritus, and bacteria on which these (a) Permanent, flowing, fresh to degraded desert spring habitats. At least species forage. moderately saline water with no or no two historical sites for the invertebrates more than low levels of pollutants; and (South Spring, Lander Spring) are Primary Constituent Elements for Noel’s (b) Stable water levels with natural currently dry due to aquifer depletion Amphipod diurnal and seasonal variations. (Cole 1981, p. 27; Jones and Balleau Based on the above needs and our With this designation of critical 1996, p. 5), and Berrendo Spring, current knowledge of the life history, habitat, we intend to identify the historical habitat for the Roswell biology, and ecology of the species and physical and biological features springsnail, is currently at 12 percent of the habitat requirements for sustaining essential to the conservation of the the original 1880s flow (Jones and the essential life history functions of the species, through the identification of the Balleau 1996, p. 13). However, during species, we have determined that the primary constituent elements sufficient the mid-1970s, when groundwater primary constituent element essential to to support the life-history processes of pumping was at its highest rate and the the conservation of Noel’s amphipod is the species. All units designated as area was experiencing extreme drought springs and spring-fed wetland systems critical habitat are currently occupied (McCord et al. 2005, p. 6), the springs that: by at least one of the four invertebrates currently inhabited by the species (1) Have permanent, flowing water and contain the primary constituent continued to flow. This suggests these with no or no more than low levels of elements sufficient to support the life springs and seeps may be somewhat pollutants; history needs of the species. resilient to reduced water levels, (2) Have slow to moderate water Special Management Considerations or although climate change may test that velocities; Protection resiliency. (3) Have substrates including Models suggest climate change may limestone cobble and aquatic vegetation; When designating critical habitat, we cause the southwestern United States to (4) Have stable water levels with assess whether the specific areas within experience the greatest temperature natural diurnal (daily) and seasonal the geographical area occupied by the increase of any area in the lower 48 variations; species at the time of listing contain States (IPCC 2007, p. 15). There is also (5) Consist of fresh to moderately features that are essential to the high confidence that many semi-arid saline water; conservation of the species and that may areas like the western United States will (6) Have minimal sedimentation; require special management suffer a decrease in water resources due (7) Vary in temperature between 50– considerations or protection. As stated to climate change (IPCC 2007, p. 16), as 68 °F (10–20 °C) with natural seasonal in the final listing rule (70 FR 46304; a result of less annual mean and diurnal variations slightly above August 9, 2005), threats to the four precipitation and reduced length of and below that range; and invertebrates include reducing or snow season and snow depth (8) Provide abundant food, consisting eliminating water in suitable or (Christensen et al. 2007, p. 850). These of: occupied habitat through drought or predictions underscore the importance (a) Submergent vegetation and pumping; introducing pollutants to of special management to maintain decaying organic matter; levels unsuitable for the species from aquifer levels to ensure survival of the (b) A surface film of algae, diatoms, urban areas, agriculture, release of four invertebrates. bacteria, and fungi; and chemicals, and oil and gas operations; The primary threat to Pecos assiminea (c) Microbial foods, such as algae and fires that reduce or eliminate available in Texas is the potential failure of spring bacteria, associated with aquatic plants, habitat; and introducing nonnative flow due to excessive groundwater algae, bacteria, and decaying organic species into the invertebrates’ inhabited pumping or drought or both, which material. spring systems such that suitable habitat would result in total habitat loss for the species. Diamond Y Spring is the last Primary Constituent Elements for Pecos is reduced or eliminated. Each of these threats is discussed below. major spring still flowing in Pecos Assiminea County, Texas (Veni 1991, p. 2). Based on the above needs and our Water Quantity Pumping of the regional aquifer system current knowledge of the life history, These four invertebrate species for agricultural production of crops has biology, and ecology of the species and depend on water for survival. Therefore, resulted in the drying of most other the habitat requirements for sustaining the loss or alteration of spring habitat springs in this region (Brune 1981, p. the essential life history functions of the continues to be the main threat to the 356). Other springs that have already species, we have determined that the four invertebrates. The scattered failed include Comanche Springs, primary constituent element essential to distribution of springs makes them which was once a large spring in Fort the conservation of Pecos assiminea is aquatic islands of unique habitat in an Stockton, Texas, about 8 miles (mi) moist or saturated soil at stream or arid-land matrix (Myers and Resh 1999, (12.9 kilometers (km)) from Diamond Y spring run margins: p. 815). Spring. Comanche Springs flowed at (1) That consists of wet mud or occurs Members of the snail family more than 142 cubic feet per second beneath mats of vegetation; Hydrobiidae (including Roswell and (cfs) (4.0 cubic meters per second (cms))

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(Scudday 1977, p. 515; Brune 1981, p. groundwater contamination in the 12- species are sensitive to contaminants, 358) and undoubtedly provided habitat township area encompassing the source- efforts to clean up pollution after the for rare species of fish and invertebrates, water capture zone for the springs aquifer has been contaminated may not including springsnails. The spring where the four invertebrates occur on be sufficient to protect these species and ceased flowing by 1962 (Brune 1981, p. the Refuge (Go-Tech 2010). Of these, 17 the aquatic habitat on which they 358), except for brief periods (Small and oil and gas leases are currently within depend. Ozuna 1993, p. 26). Leon Springs, the habitat protection zone designated Currently there are two active gas located upstream of Diamond Y Spring by the Department of the Interior’s wells on the Middle Tract of the Refuge in the Leon Creek watershed, was Bureau of Land Management (BLM) to that are upstream (within the measured at 18 cfs (0.5 cms) in the reduce risk to the endangered Pecos underground watershed) of occupied 1930s and was also known to contain gambusia (Gambusia nobilis) from habitat for the four invertebrates. In rare fish, but ceased flowing in the drilling operations. The BLM habitat 2006, Yates Petroleum applied for two 1950s following significant irrigation protection zone will also reduce risk to additional gas wells, one of which pumping (Brune 1981, p. 359). There the four invertebrates from drilling would have been just upstream of have been no continuous records of operations because it protects the same occupied habitat for the four spring flow discharge at Diamond Y source-water capture zone for the four invertebrates. The applications have Spring by which to determine trends in invertebrates. This habitat protection since been withdrawn due to ecological spring flow. zone encompasses 12,585 ac (5,093 ha) concerns of the proposal (including East Sandia Spring discharges at an of the Federal mineral estate within the possible effects on the four invertebrates elevation of 3,205 feet (ft) (977 meters water resource area for the Refuge (U.S. and the endangered fish, Pecos (m)) from alluvial sand and gravel Fish and Wildlife Service (Service) gambusia) and other issues, although (Schuster 1997, pp. 92–93). Brune 2005a, pp. 3–8). Twenty natural gas the potential for oil and gas (1981, pp. 385–386) noted that flows wells currently exist on these leases. development remains. from East Sandia Spring were declining. The BLM has estimated, according to The Diamond Y Springs Complex is East Sandia Spring may be very well spacing requirements established within an active oil and gas extraction susceptible to over-pumping in the area by the New Mexico Oil Conservation field. At this time there are still many of the local aquifer that supports the Division (Service 2005a, pp. 4–6), a active wells and pipelines located spring. Measured discharges in 1995 maximum potential development of 66 within 100 meters of the surface waters and 1996 ranged from 0.45 to 4.07 cfs additional wells within the habitat at the springs. In addition, a natural gas (0.013 to 0.11 cms) (Schuster 1997, p. protection zone. From 2002 to 2004, refinery is located within 0.5 mi (0.8 94). The small outflow channel from there were 200 notices of ‘‘intentions to km) upstream of Diamond Y Spring. There are also old brine pits, which can East Sandia Spring has not been drill’’ (59 on State, 33 on private, and contribute salt and other mineral significantly modified, and water flows 108 on Federal lands) filed for oil or pollutants to the groundwater, into an irrigation system approximately natural gas in Chaves County (Go-Tech associated with previous drilling within 328 to 656 ft (100 to 200 m) after 2010). surfacing. feet of surface waters. In addition, oil In summary, special management There are additional risks of and gas pipelines cross the spring considerations are needed to protect the groundwater contamination from outflow channels and marshes where habitats of the four invertebrates from accidental release of pollutants on State the Pecos assiminea occurs, creating a the loss or alteration of spring habitat as and private lands. Existing State constant potential for contamination a result of drought or pumping. regulations apply to all State and private from pollutants from leaks or spills. lands where oil and gas operations These activities pose a threat to the Water Contamination occur and are designed to minimize the habitat of the Pecos assiminea by Water contamination, particularly risk of spills and leaks. However, there creating the potential for pollutants to from oil and gas operations, is a are numerous examples in which oil enter underground aquifers that significant threat for these four and gas operations have met these contribute to spring flow or for invertebrates. In order to assess the regulatory standards within karst lands pollutants to contaminate the surface potential for contamination, a study was in New Mexico and other States, but through spills and leaks of petroleum completed in September 1999 to where these measures failed to protect products. delineate the area that serves as sources groundwater resources and prevent As an example of the likelihood of a of water for the springs on the Refuge aquifer drawdown (Quarles 1983, p. spill occurring, in 1992, approximately (Balleau et al. 1999, pp. 1–42). This 155; Richard and Boehm 1989, p. 1). 10,600 barrels of crude oil were released study reported that the sources of water Groundwater contamination can be a from a 6-in (15.2-cm) pipeline that that will reach the Refuge’s springs serious threat because to clean the traverses Leon Creek above its include a broad area beginning west of aquifer would be extremely difficult confluence with Diamond Y Draw. The Roswell near Eightmile Draw, extending should it become contaminated by oil, oil was from a ruptured pipeline at a to the northeast to Salt Creek, and chemicals, or organics, such as nitrates. point several hundred feet away from southeast to the Refuge. This area In most cases, contamination of an the Leon Creek channel. The site itself represents possible pathways that underground aquifer by agricultural, is about 1 mi (1.6 km) overland from contaminants may enter the industrial, or domestic sources is treated Diamond Y Spring. The distance that groundwater that feeds the springs on only at the source. When a surface runoff of oil residues must travel the Refuge. This broad area sits within contamination site is discovered, the is about 2 mi (3.2 km) down Leon Creek a portion of the Roswell Basin and source of the contamination is treated, to reach Diamond Y Draw. The pipeline contains a mosaic of Federal, State, and and rarely do remediation efforts pump was operated at the time of the spill by private lands with multiple land uses, water from the aquifer and treat it before the Texas-New Mexico Pipeline including expanding urban sending it back. This is largely because Company, but ownership has since been development. these techniques are very costly and transferred to several other companies. There are 378 natural gas and oil difficult to apply (S. McGrath, pers. The Texas Railroad Commission has wells that are potential sources of comm. 2001). Because these invertebrate been responsible for overseeing cleanup

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of the spill site. Remediation of the site environmental analysis is adopted, no Past analysis of water quality in the initially involved aboveground land future chemical application of fertilizers Rio Hondo has indicated some farming of contaminated soil and rock or pesticides would occur in the vicinity concerns. For example, sampling in the strata to allow microbial degradation. In of Noel’s amphipod populations, and past yielded that total dissolved solids recent years, remediation efforts have this source of potential water in Rio Hondo water averaged 935 focused on vacuuming oil residues from contamination would be eliminated. milligrams per liter (mg/L), sulfates the surface of groundwater exposed by Another potential source of water averaged 722 mg/L, and chlorides trenches dug at the spill site. No contamination in Noel’s amphipod averaged 40 mg/L (USACE 1974, p. V– impacts on the rare fauna of Diamond Y habitats on the South Tract is from 4) (both sulfates and chlorides are Springs Complex have been observed, periodic inundation by water from the components of salt). However, more but no specific monitoring of the effects Rio Hondo. The Rio Hondo is a recent sampling by the New Mexico of the spill was undertaken (Service perennial stream from Roswell to its Environment Department (NMED) 2005a, pp. 4–12). confluence with the Pecos River, and its (2006a, p. 13) found higher total Water contamination is a significant watershed extends eastward to the dissolved solids (average 7,321 mg/L), threat for Noel’s amphipod in the small Sacramento Mountains. The majority of including more chloride (average 2,640 spring vents (where the spring opens to the lower Rio Hondo valley is used for mg/L) and slightly more sulfate (average the surface) along the Rio Hondo on the extensive agricultural purposes, 776 mg/L) than reported by the U.S. South Tract of the Refuge. One possible including ranching, commercial Army Corps of Engineers (USACE 1974, source of water contamination is runoff livestock feeding, and crop production, p. V–4). In addition, the NMED (2006b, of agricultural fertilizers and pesticides as well as residential land use (USACE p. 32) identified water quality that are applied to the croplands on the 1974, p. 8). Stormwater runoff from parameters of nutrients, bacteria, South Tract of the Refuge. This tract areas with these land uses is one way salinity, and temperature as a concern encompasses approximately 1,400 ac contaminants can be transported into in the upper Rio Hondo watershed. (570 ha) that are closed to public access. the Rio Hondo and into Noel’s Potential sources of nutrients or bacteria About 330 ac (130 ha) are used as amphipod habitats. While we have no are municipal wastewater treatment agricultural cropland to provide food, specific information on the water facility effluents, onsite waste treatment habitat, and feeding areas for wintering quality of the stormwater entering the systems (septic tanks), residential areas, migratory bird populations (Service Rio Hondo, stormwater runoff from landscape maintenance, livestock 1998, p. 7). Alfalfa, corn, hegari, barley, other urban areas has been identified as feeding operations, rangeland grazing, winter wheat, sorghum, and other small potentially containing materials such as atmospheric deposition, stream grains are cultivated on this tract solids, plastics, sediment, nutrients, modification or destabilization, and (Service 2010, p. 14). Although crop metals, pathogens, salts, oils, fuels, and urban areas and construction sites rotation minimizes the need for various chemicals, including antifreeze, (NMED 2006b, p. 32). chemical fertilizers, both fertilizers and detergents, pesticides, and other Riverine conditions in the Rio Hondo pesticides are used on this tract, and pollutants that can be toxic to aquatic are not suitable for Noel’s amphipod; these chemicals have the potential to life (Burton and Pitt 2002, pp. 6–7; the amphipod is found only in the enter the springs inhabited by Noel’s Selbig 2009, p. 1). nearby springs. However, Noel’s amphipod. Chemicals used on the South Another way the Rio Hondo receives amphipod could be affected by river Tract in the past 10 years include contaminants is by wastewater effluent water entering the spring runs during Accent (Nicosulfuron), Banvel discharge (USACE 1974, p. 9; Smith periods of high flow by either flushing (Dicamba), Pounce (Permethrin), 2000, p. 65). At the present time, the the amphipods downstream or by river Roundup and equivalents (Glyphosate), average return flow from City of Roswell water mixing with spring water and Pursuit DG (Imazathapyr), Rhonox (2- Wastewater Treatment Facility is introducing contaminants or altered ethylhexyl ester of 2-methyl-4- approximately 6.2 cfs (0.18 cms). water chemistry to the spring habitats. chlorophenoxyacetic acid), Steadfast Effluent from the Roswell Wastewater The Rio Hondo has a base flow between (Nicosulfuron/Rimsulfuron), Malathion Treatment Facility is largely used for 2 and 6 cfs (0.06 to 0.17 cms) but 57 (Malathion), and Impact crop irrigation from February through exceeds 10 cfs (0.03 cms; a flow high (Topramezone) (Service 2010, pp. 43– November or is discharged to the North enough to inundate the springs) 44). To protect aquatic life in the Rio Spring River, which flows 5 mi (8 km) approximately 5 to 10 times per year for Hondo, the Refuge implements before entering the Rio Hondo (Smith short durations (USGS 2010, p. 1). chemical-specific buffers within which 2000, p. 65; USEPA 2006, p. 2), Under base flow conditions, the spring the chemicals cannot be used. upstream of the Noel’s amphipod runs that harbor Noel’s amphipod are Additionally, restrictions are in place on population. In 2010, the Roswell found along the riverbank at elevations Refuges prohibiting use of chemicals Wastewater Treatment Facility was higher than the stream, and, therefore, that dissolve and travel in groundwater. modified to provide a higher level of the water from the river does not mix These restrictions and buffers serve to water purification that should improve with the spring outflow water. However, minimize exposure of Noel’s amphipod the quality of the effluent discharge when Rio Hondo flows are elevated, to these chemicals. Nevertheless, there (USEPA 2007, p. 5; J. Anderson, City of these springs become inundated with remains a potential for contamination Roswell, pers. comm. December 9, water from the river, and the amphipods and negative effects to Noel’s amphipod 2010). However, some nutrients, may be exposed to contaminants from and its habitat. bacteria, metals, pesticides, oxygen- the Rio Hondo. The impacts of any such The Refuge is in the process of demanding substances, organic contaminants would be lessened due to reviewing the farming program on the chemicals, surfactants (materials that the high dilution rate of any treated South Tract. A draft environmental remove surface tension of water, such as wastewater discharge during a flood analysis (Service 2010, pp. 1–55) soaps and detergents), flame retardants, event. evaluates the effects of several levels of personal care products, steroids, Groundwater that supplies the farming on this tract. The current hormones, and pharmaceuticals are outflow to the springs where the preferred alternative is to eliminate expected to remain in the Rio Hondo amphipod occurs is an additional farming on the South Tract; if the draft (USEPA 2009, pp. 26–39). potential source of spring water

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contamination. This water is clearly (Lang 2002, p. 3; NMDGF 2005, p. 15). invasive terrestrial plant species that distinct from the water of the nearby Rio This resulted in the formation of dense may affect the invertebrates are present Hondo based on very different algal mats, increased water temperature on the Refuge, including Tamarix spp. temperatures and low dissolved oxygen fluctuations, increased maximum water (saltcedar), common reed, and Salsola measurements (Lusk 2010, p. 1). Low temperatures, and decreased dissolved spp. (Russian thistle). Saltcedar, found dissolved oxygen is typical of spring oxygen levels (Lang 2002, pp. 5–6). The on the Refuge and at Diamond Y Spring water conditions, as oxygen enters the pre-fire dominant vegetation of Complex and East Sandia Spring, water mainly through the atmosphere submergent aquatic plants and mixed threatens spring habitats primarily (White et al. 1990, p. 584), and spring native grasses within the burned area through the amount of water it water temperatures remain much more has also been replaced by the invasive consumes and from the chemical constant throughout the year due to the common reed (Phragmites australis) composition of the leaves that drop to insulating effect of soil and rock on (NMDGF 2005, p. 15; 2008, p. 8). the ground and into the springs. groundwater (Constantz 1998, p. 1610). Following the fire at Dragonfly Spring, Saltcedar leaves that fall to the ground The South Tract of the Refuge lies a dramatic reduction in Noel’s and into the water add salt to the within the same groundwater source amphipod was observed, and Koster’s system, as their leaves contain salt area as the Middle Tract, where the springsnail presently occurs at lower glands (DiTomaso 1998, p. 333). other Noel’s amphipod populations are densities than were observed prior to Additionally, dense stands of common found and is, therefore, subject to the the fire (Lang 2002, p. 7; NMDGF 2006a, reed choke the stream channel, slowing same threat of contamination from oil p. 9). Strategically timed prescribed water velocity and creating more pool- and gas activities as discussed above. burns throughout the range of the like habitat; this habitat is less suitable There has been no research on the species would significantly reduce fuel for Roswell and Koster’s springsnails, specific effects on Noel’s amphipod of loads, limiting the risk of detrimental which prefer flowing water. Finally, contaminants such as metals, pesticides, wildfires. Russian thistle (tumbleweed) can create fertilizers, nutrients, or bacteria. Removal of vegetative cover by problems in spring systems by being However, there is some evidence that burning in habitats occupied by Pecos blown into the channel, slowing flow freshwater amphipods in the family assiminea may be an important factor in and overloading the system with organic Gammaridae (in particular, Gammarus) decline or loss of populations (Taylor material (Service 2005b, p. 2). In one may require higher oxygen levels and 1987, p. 5, NMDGF 2005, p. 16). It is case, even efforts to control nonnative less polluted water than some other likely that Pecos assiminea may survive vegetation by physical removal of the amphipods such as Crangonyx (e.g., fire or other vegetation reduction if plants inadvertently caused local MacNeil et al. 1997, pp. 350, 356; sufficient litter and ground cover remain extirpations of populations of Pecos MacNeil et al. 2000, p. 2). Gammarid to sustain appropriate soil moisture and assiminea in New Mexico due to amphipods (such as Noel’s amphipod) humidity at a microhabitat scale vegetation removal that resulted in soil may be considered an indicator of (Service 2004, pp. 4–5; NMDGF 2005, p. and litter drying, thereby making the relatively unpolluted waters (MacNeil et 16). Complete combustion of vegetation habitat unsuitable (Taylor 1987, p. 9; al. 1997, p. 356; MacNeil et al. 2000, p. and litter, high soil temperatures during NMDGF 2005, p. 16). 6). Additionally, bacteria in high levels fire, or extensive vegetation removal can affect amphipods directly through resulting in soil and litter drying may Nonnative mollusks have affected the infections, or indirectly by depleting the create unsuitable habitat conditions and distribution and abundance of native dissolved oxygen in the water column loss of populations (NMDGF 2005, p. mollusks in the United States. Of through respiration or decomposition 16). Pecos assiminea was discovered at particular concern for three of the (Boylen and Brock 1973, p. 631). Dragonfly Spring following the burning invertebrates (Noel’s amphipod, Roswell In summary, special management of habitat there during the Sandhill fire springsnail, and Koster’s springsnail) is efforts are needed to protect habitats of (NMDGF 2005, p. 16). Season of the red-rim melania (Melanoides the four invertebrates from the potential burning, intensity of the fire, and tuberculata), a snail that can reach effects of water contamination from oil frequency of fire likely determine the tremendous population sizes and has and gas operations, agricultural magnitude of the fire’s effects on Pecos been found in isolated springs in the activities, wastewater effluent, and assiminea population persistence and west. The red-rim melania has caused stormwater runoff. abundance (NMDGF 2005, p. 16), as the the decline and local extirpation of native snail species, and it is considered Wildfire species has been found to persist in areas following fires (Lang 2002, p. B8). a threat to endemic aquatic snails that Fire suppression efforts on the Refuge Pecos assiminea is relatively vulnerable occupy springs and streams in the are largely restricted to established to fires because the assiminea resides at Bonneville Basin of Utah (Rader et al. roads due to the safety hazards of or near the surface of the water. 2003, p. 655). It is easily transported on transporting equipment over karst In summary, special management fishing boats and gear or aquatic plants, terrain. This severely limits the ability efforts are needed to correctly plan and because it reproduces asexually to quickly suppress fires that threaten prescribed fires in order to protect (individuals can develop from fragile aquatic habitats on the Refuge. habitats of the four invertebrates from unfertilized eggs), a single individual is On March 5, 2000, the Sandhill wildfire the potential effects of wildfire. capable of founding a new population. burned 1,000 ac (405 ha) of the western It has become established in isolated portion of the Refuge, including Introduced Species desert spring ecosystems such as Ash portions of Bitter Creek. The fire burned Introduced species are one of the most Meadows, Nevada, and Cuatro Cie´negas, through Dragonfly Spring, a spring in serious threats to native aquatic species Mexico, and in the 1990s, the red-rim the headwaters of Bitter Creek, which is (Williams et al. 1989, p. 18; Lodge et al. melania became established in Diamond occupied habitat for Noel’s amphipod 2000, p. 7). Because the distribution of Y Springs Complex (Echelle 2001, p. and Koster’s springsnail. The fire the four invertebrates is so limited, and 18). It has become the most abundant eliminated vegetation shading the their habitat so restricted, introduction snail in the upper watercourse of the spring, and generated a substantial of certain nonnative species into their Diamond Y Springs Complex (Echelle amount of ash in the spring system habitat could be devastating. Several 2001, p. 14). In many locations, this

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exotic snail is so numerous that it years of the listing in 2005, and no (Cole 1988, p. 2; NMDGF 2005, p. 18). essentially is the substrate in the small major habitat modification has occurred The brick wall at North Spring has since stream channel. The effect the species is that would preclude their presence. Five been removed and the spring outflow having on native snails is not known; years is an appropriate time period has been widened, allowing a nearby however, it probably has less effect on because surveys may not occur in all pond to back into the spring, Pecos assiminea than on the other areas in all years. The species would be introducing carp to the system (B. Lang, endemic aquatic snails present in the likely to persist in an area over multiple NMDGF, pers. comm., 2010). spring because it is aquatic. years unless major habitat modification Springsnails have not been found at In summary, special management occurred. We are designating as critical North Spring since 1995, and suitable efforts are needed to protect the four habitat all sites occupied by at least one habitat is not present there. invertebrates from the potential effects of the four invertebrates at the time of Because these formerly occupied sites of invasive, nonnative terrestrial plants listing because all of these areas contain have been so severely impacted in the and invasive, nonnative snails. the physical and biological features past (particularly due to the decline of groundwater and subsequent loss of Criteria Used To Identify Critical essential for the conservation of the spring flows), it is not likely that they Habitat species and require special management. could be rehabilitated in the future or be As required by section 4(b) of the Act, Since the June 22, 2010, critical restored to contain the physical and we used the best scientific and habitat proposal (75 FR 35375), we biological features necessary to support commercial data available in identified an additional site along the habitat for the four invertebrates. This is determining which areas should be Rio Hondo on the South Tract of the because there are currently no designated as critical habitat for the four Refuge that is occupied only by Noel’s mechanisms to restore the spring flow to invertebrates. We relied on information amphipod. We believe this site was these historic sites. As a result, these from knowledgeable biologists and occupied by Noel’s amphipod at the areas are unlikely to contribute to the recommendations contained in State time of listing because amphipods were recovery of the species and are not wildlife resource reports (Cole 1985, p. first found at this site in 2006, one year considered essential to the conservation 102; Jones and Balleau 1996, pp. 1–16; after listing (Warrick 2006, p. 1). of the species. Therefore, they are not Boghici 1997, pp. 1–120; Balleau et al. However, they were not taxonomically included in the designation of critical 1999, pp. 1–42; NMDGF 1999, pp. A1– confirmed to be Noel’s amphipod until habitat. In addition, the four B46; NMDGF 2006b, pp. 1–16; NMDGF 2010 (Berg 2010, p. 1; Lang 2010, p. 1). invertebrates currently exist throughout 2007, pp. 1–20; NMDGF 2008, pp. 1–28) Because this spring area is isolated from their ranges in a spatial arrangement and the State recovery plan (NMDGF other occupied areas and no that provides sufficient areas for their 2005, pp. 1–80) in making this reintroduction efforts have taken place, long-term conservation. Therefore, we determination. We also reviewed the it has likely been occupied for a very are not currently designating any areas available literature pertaining to habitat long time, but appropriate surveys had outside the geographical area presently requirements, historical localities, and not been previously conducted to verify occupied by the species, because the current localities for these species. This it. We reasonably assume, therefore, that unoccupied areas within the historic includes data submitted during section the site was occupied at the time of range are not restorable and the 7 consultations and regional geographic listing in 2005. occupied areas are sufficient for the information system (GIS) coverages. conservation of the species. In accordance with the Act and its Essential Areas implementing regulation at 50 CFR For areas not occupied by the species Summary 424.12(e), we considered whether at the time of listing, the Service must When determining revised critical designating additional areas—outside demonstrate that these areas are habitat boundaries within this rule, we those currently occupied as well as essential to the conservation of the made every effort to avoid including those occupied at the time of listing— species in order to include them in a structures such as culverts and roads, is necessary to ensure the conservation critical habitat designation. because areas with such structures lack of the species. In revising critical habitat There are several locations within the PCEs for Roswell springsnail, Koster’s for the Pecos assiminea, and designating historical range of the four invertebrates springsnail, Noel’s amphipod, and critical habitat for Roswell springsnail, where the species no longer occur and Pecos assiminea. The scale of the maps Koster’s springsnail, and Noel’s that were not occupied at the time of we prepared under the parameters for amphipod, we selected areas within the listing. These areas include the South publication within the Code of Federal geographical area occupied at the time Spring River, Lander Springbrook, Regulations may not reflect the of listing that contain the features Berrendo Spring, and North Spring in exclusion of such areas. Any such essential to their conservation that may New Mexico. These areas no longer structures inadvertently left inside require special management contain the physical and biological critical habitat boundaries shown on the considerations or protection. We also features to support any of the four maps of this final rule are excluded considered areas outside of the invertebrates. South Spring and Lander from this rule by text and are not geographical area occupied at the time Spring are both dry due to aquifer designated as critical habitat. Therefore, of listing to designate critical habitat for depletion (Cole 1981, p. 27; Jones and Federal actions involving these areas the four invertebrates, if the areas were Balleau 1996, p. 5), and reaches of would not trigger section 7 consultation considered essential to the conservation Berrendo Creek (the springbrook from with respect to critical habitat and the of the species. Berrendo Spring) remain dry and unable requirement of no adverse modification to support the invertebrates (NMDGF unless the specific action would affect Occupancy 2005, p. 18). North Spring, located on the PCEs in the adjacent critical habitat. We consider an area to be occupied at the grounds of the Roswell Country We are designating as critical habitat the time of listing if Roswell springsnail, Club, was enclosed by a brick wall, lands that we have determined are Koster’s springsnail, Pecos assiminea, or native vegetation was removed from the occupied at the time of listing and Noel’s amphipod were found to be margins of the springhead and contain sufficient physical and present by species experts within 5 springbrook, and the banks were sodded biological features to support life-

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history processes essential for the populations of rare species, such as the Final Critical Habitat Designation conservation of the species and may four invertebrates, lowers the risk of require special management. All of the extinction due to an event that We are designating approximately critical habitat units are designated negatively affects one population. In 70.2 ac (28.4 ha) in two units in New based on the finding that they contain addition, the four invertebrates are not Mexico as critical habitat for the all of the essential physical and migratory, nor is there regular gene Roswell springsnail and Koster’s springsnail (Table 1). We are biological features necessary to support exchange between populations or designating approximately 75.9 ac (30.7 the life processes of one or more of the critical habitat units. As a result, all of ha) in three units in New Mexico as four invertebrates. the currently occupied areas are The Act’s definition of critical habitat critical habitat for Noel’s amphipod important to the conservation of the includes a provision that except under (Table 2). We are designating circumstances determined by the species because they allow for the approximately 494.7 ac (200.2 ha) in Secretary, critical habitat shall not maintenance of the existing genetic four units in New Mexico and Texas as include the entire geographic area diversity of the four invertebrates. The critical habitat for the Pecos assiminea which can be occupied by the species areas we have designated meet the (Table 3). The critical habitat areas we (section 3(5)(C)). We have designated as definition of critical habitat for the four describe below constitute our current critical habitat all of the areas that are invertebrates and include all best assessment of areas that meet the currently occupied by one or more of populations necessary for conserving definition of critical habitat for each of the four invertebrates. All of these areas the species and maintaining all of the the four invertebrates. All areas being are needed for the conservation of these known remaining genetic diversity designated as critical habitat were species because of their small within each species. Therefore, these occupied at the time of listing and are geographic ranges and to maintain circumstances support designating all of currently occupied by at least one of the genetic diversity. Conserving multiple the currently occupied habitat. four invertebrates.

TABLE 1—DESIGNATED CRITICAL HABITAT FOR ROSWELL SPRINGSNAIL AND KOSTER’S SPRINGSNAIL [Area estimates reflect all land within critical habitat unit boundaries]

Size of unit in Critical habitat unit Land ownership acres (hectares)

1. Sago/Bitter Creek Complex ...... Service ...... 31.9 (12.9) 2a. Springsnail/Amphipod Impoundment Complex ...... Service ...... 35.5 (14.3) City of Roswell ...... 2.8 (1.1)

Total ...... 70.2 (28.4) Note: Area sizes may not sum due to rounding.

TABLE 2—DESIGNATED CRITICAL HABITAT FOR NOEL’S AMPHIPOD [Area estimates reflect all land within critical habitat unit boundaries]

Size of unit in Critical habitat unit Land ownership acres (hectares)

1. Sago/Bitter Creek Complex ...... Service ...... 31.9 (12.9) 2a. Springsnail/Amphipod Impoundment Complex ...... Service ...... 35.5 (14.3) City of Roswell ...... 2.8 (1.1) 3. Rio Hondo ...... Service ...... 5.8 (2.3)

Total ...... 75.9 (30.7) Note: Area sizes may not sum due to rounding.

TABLE 3—REVISED CRITICAL HABITAT UNITS FOR PECOS ASSIMINEA [Area estimates reflect all land within critical habitat unit boundaries]

Size of unit in Critical habitat unit Land ownership acres (hectares)

1. Sago/Bitter Creek Complex ...... Service ...... 31.9 (12.9) 2b. Assiminea Impoundment Complex ...... Service ...... 15.5 (6.3) City of Roswell ...... 2.8 (1.1) 4. Diamond Y Springs Complex ...... The Nature Conservancy ...... 441.4 (178.6) 5. East Sandia Spring ...... The Nature Conservancy ...... 3.0 (1.2)

Total ...... 494.7 (200.2) Note: Area sizes may not sum due to rounding.

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We present brief descriptions of the threats. Land ownership in this unit physical and biological features in this units and reasons why the critical includes the Service and the City of unit may require special management habitat units meet the definition of Roswell, New Mexico. considerations or protection to critical habitat for the Roswell minimize impacts resulting from these Unit 2b: Assiminea Impoundment springsnail, Koster’s springsnail, Noel’s threats. The entire unit is owned by the Complex amphipod, and Pecos assiminea below. Service. Unit 2b consists of 18.4 ac (7.4 ha) of Unit 1: Sago/Bitter Creek Complex habitat that was occupied by the Pecos Unit 4: Diamond Y Springs Complex Unit 1 consists of 31.9 ac (12.9 ha) of assiminea at the time of listing and that Unit 4 consists of 441.4 ac (178.6 ha) habitat that was occupied by all four remains occupied at the present time. of habitat that is currently occupied by invertebrates at the time of listing and We designate this unit as critical habitat Pecos assiminea. We designate this unit that remains occupied at the present for Pecos assiminea; it contains all of for Pecos assiminea only. This unit time. We designate this unit as critical the features essential to the conservation contains all of the features essential to habitat for all four species; it contains of this species. Unit 2b is located on the the conservation of the Pecos assiminea all of the physical and biological southern portion of the Middle Tract of and was occupied by this species at the features essential to the conservation of Bitter Lake National Wildlife Refuge and time of listing. The designation includes these species. Unit 1 is located on the on property owned by the city of the Diamond Y Spring and northern portion of the Middle Tract of Roswell, Chaves County, New Mexico. approximately 4.2 mi (6.8 km) of its Bitter Lake National Wildlife Refuge, This unit includes portions of outflow, ending at approximately 0.5 mi Chaves County, New Mexico. The impoundments 7 and 15, and Hunter (0.8 km) downstream of the State designation includes all springs, seeps, Marsh. The designation includes all Highway 18 bridge crossing. Also sinkholes, and outflows surrounding springs, seeps, sinkholes, and outflows included in this unit is approximately Bitter Creek and the Sago Springs surrounding the Refuge impoundments. 0.5 mi (0.8 km) of Leon Creek upstream complex. Habitat in this unit is in need Habitat in this unit is threatened by of the confluence with Diamond Y of special management because of subsurface drilling for oil and gas or Draw. All surrounding riparian threats by subsurface oil and gas drilling similar activities that contaminate vegetation and mesic (wet) soil or similar activities that contaminate surface drainage or aquifer water; environments within the spring, surface drainage or aquifer water; wildfire; and nonnative fish, crayfish, outflow, and portion of Leon Creek are wildfire; and nonnative fish, crayfish, snails, and vegetation. Therefore, the also designated, as these areas are snails, and vegetation. Therefore, the essential physical and biological considered habitat for the Pecos essential physical and biological features in this unit may require special assiminea. This designation is features in this unit may require special management considerations or approximately 441.4 ac (178.6 ha) of management considerations or protection to minimize impacts aquatic and neighboring mesic habitat. protection to minimize impacts resulting from these threats. Land Habitat in this unit is threatened by resulting from these threats. The entire ownership in this unit includes the increased groundwater pumping; unit is owned by the Service. Service and the City of Roswell, New subsurface drilling for oil and gas or Mexico. similar activities that contaminate Unit 2a: Springsnail/Amphipod surface drainage or aquifer water; Impoundment Complex Unit 3: Rio Hondo wildfire; and nonnative fish, crayfish, Unit 2a consists of 38.3 ac (15.5 ha) Unit 3 consists of 5.8 ac (2.3 ha) of snails, and vegetation. Therefore, the of habitat that was occupied by three of habitat that is currently occupied by essential physical and biological the four invertebrates at the time of Noel’s amphipod. We designate this features in this unit may require special listing and that remains occupied at the unit as critical habitat for Noel’s management considerations or present time. We designate this unit as amphipod only. It contains all of the protection to minimize impacts critical habitat for Roswell springsnail, features essential to the conservation of resulting from these threats. This unit Koster’s springsnail, and Noel’s this species. We consider this site to be occurs entirely on private lands amphipod; it contains all of the physical occupied by Noel’s amphipod at the managed as a nature preserve by The and biological features essential to the time of listing. Although the amphipods Nature Conservancy. conservation of these species. Unit 2a is were first found at this site in 2006, one located on the southern portion of the year after listing (Warrick 2006, p. 1), Unit 5: East Sandia Spring Middle Tract of Bitter Lake National they were taxonomically confirmed to Unit 5 consists of 3.0 ac (1.2 ha) of Wildlife Refuge and on property owned be Noel’s amphipod in 2010 (Berg 2010, aquatic and mesic habitat that is by the City of Roswell, Chaves County, p. 1; Lang 2010, p. 1). Unit 3 is located currently occupied by Pecos assiminea. New Mexico. This unit includes on the South Tract of Bitter Lake We designate this unit for Pecos portions of impoundments 3, 6, 7, and National Wildlife Refuge, Chaves assiminea only. This unit contains all of 15, and Hunter Marsh. The designation County, New Mexico. The designation the features essential to the conservation includes all springs, seeps, sinkholes, includes all springs and seeps along of the Pecos assiminea and was and outflows surrounding the Refuge approximately 0.4 mi (0.64 km) of the occupied by this species at the time of impoundments. Habitat in this unit is Rio Hondo, including the river channel listing. East Sandia Spring is at the base threatened by subsurface drilling for oil and both banks. Habitat in this unit is of the Davis Mountains just east of and gas or similar activities that threatened by subsurface drilling for oil Balmorhea, Texas, and is part of the San contaminate surface drainage or aquifer and gas or similar activities that Solomon-Balmorhea Spring Complex, water; wildfire; and nonnative fish, contaminate surface drainage or aquifer the largest remaining desert spring crayfish, snails, and vegetation. water; nonnative fish, crayfish, snails, system in Texas where the Pecos Therefore, the essential physical and and vegetation; chemical fertilizers and assiminea is found. The designation biological features in this unit may pesticides applied to adjacent farmland; includes the springhead itself, require special management contaminants in the Rio Hondo from surrounding seeps, and all submergent considerations or protection to upstream of the amphipod populations; vegetation and moist soil habitat found minimize impacts resulting from these and fire. Therefore, the essential at the margins of these areas, comprising

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the physical and biological features for subject to the section 7 consultation actions in instances where we have the Pecos assiminea. Habitat in this unit process are actions on State, tribal, listed a new species or subsequently is threatened by increased groundwater local, or private lands that require a designated critical habitat that may be pumping; wildfire; and nonnative fish, Federal permit (such as a permit from affected and the Federal agency has crayfish, snails, and vegetation. the U.S. Army Corps of Engineers under retained discretionary involvement or Therefore, the essential physical and section 404 of the Clean Water Act (33 control over the action (or the agency’s biological features in this unit may U.S.C. 1251 et seq.) or a permit from the discretionary involvement or control is require special management Service under section 10 of the Act) or authorized by law). Consequently, considerations or protection to that involve some other Federal action Federal agencies sometimes may need to minimize impacts resulting from these (such as funding from the Federal request reinitiation of consultation with threats. This unit occurs entirely on Highway Administration, Federal us on actions for which formal private lands managed as a nature Aviation Administration, or the Federal consultation has been completed, if preserve by The Nature Conservancy. Emergency Management Agency). those actions with discretionary Our previous designation of critical Federal actions not affecting listed involvement or control may affect habitat for the Pecos assiminea (70 FR species or critical habitat, and actions subsequently listed species or 46304, August 9, 2005) included 16.5 ac on State, tribal, local, or private lands designated critical habitat. (6.7 ha) of critical habitat in this unit. that are not federally funded or Application of the ‘‘Adverse Updated GIS techniques have allowed authorized, do not require section 7 Modification’’ Standard us to more closely map the wetlands, consultation. springs, and seeps in this area, resulting As a result of section 7 consultation, The key factor related to the adverse in fewer acres proposed for critical we document compliance with the modification determination is whether, habitat, and 3.0 ac (1.2 ha) are being requirements of section 7(a)(2) through with implementation of the proposed designated in this rule. our issuance of: Federal action, the affected critical (1) A concurrence letter for Federal habitat would continue to serve its Effects of Critical Habitat Designation actions that may affect, but are not intended conservation role for the Section 7 Consultation likely to adversely affect, listed species species, or retain those physical and or critical habitat; or biological features that relate to the Section 7(a)(2) of the Act requires (2) A biological opinion for Federal ability of the area to periodically Federal agencies, including the Service, actions that may affect, or are likely to support the species. Activities that may to ensure that any action they fund, adversely affect, listed species or critical destroy or adversely modify critical authorize, or carry out is not likely to habitat. habitat are those that alter the physical jeopardize the continued existence of When we issue a biological opinion and biological features to an extent that any endangered species or threatened concluding that a project is likely to appreciably reduces the conservation species or result in the destruction or jeopardize the continued existence of a value of critical habitat for the Roswell adverse modification of designated listed species and/or destroy or springsnail, Koster’s springsnail, Noel’s critical habitat of such species. In adversely modify critical habitat, we amphipod, and Pecos assiminea. As addition, section 7(a)(4) of the Act provide reasonable and prudent discussed above, the role of critical requires Federal agencies to confer with alternatives to the project, if any are habitat is to support the life history the Service on any agency action which identifiable, that would avoid the needs of the species and provide for the is likely to jeopardize the continued likelihood of jeopardy and/or conservation of the species. existence of any species proposed to be destruction or adverse modification of Section 4(b)(8) of the Act requires us listed under the Act or result in the critical habitat. We define ‘‘reasonable to briefly evaluate and describe, in any destruction or adverse modification of and prudent alternatives’’ (at 50 CFR proposed or final regulation that proposed critical habitat. 402.02) as alternative actions identified designates critical habitat, activities Decisions by the 5th and 9th Circuit during consultation that: involving a Federal action that may Courts of Appeals have invalidated our (1) Can be implemented in a manner destroy or adversely modify such regulatory definition of ‘‘destruction or consistent with the intended purpose of habitat, or that may be affected by such adverse modification’’ (50 CFR 402.02) the action, designation. (see Gifford Pinchot Task Force v. U.S. (2) Can be implemented consistent Examples of activities that, when Fish and Wildlife Service, 378 F.3d 1059 with the scope of the Federal agency’s authorized, funded, or carried out by a (9th Cir. 2004) and Sierra Club v. U.S. legal authority and jurisdiction, Federal agency, may affect critical Fish and Wildlife Service et al., 245 F.3d (3) Are economically and habitat and therefore should result in 434, 442 (5th Cir. 2001)), and we do not technologically feasible, and section 7 consultation for the Roswell rely on this regulatory definition when (4) Would, in the Director’s opinion, springsnail, Koster’s springsnail, Noel’s analyzing whether an action is likely to avoid the likelihood of jeopardizing the amphipod, and Pecos assiminea destroy or adversely modify critical continued existence of the listed species include, but are not limited to: habitat. Under the statutory provisions and/or avoid the likelihood of (1) Actions that would contaminate or of the Act, we determine destruction or destroying or adversely modifying cause significant degradation of habitat adverse modification on the basis of critical habitat. occupied by these species, including whether, with implementation of the Reasonable and prudent alternatives surface drainage water or aquifer water proposed Federal action, the affected can vary from slight project quality. Such activities could include, critical habitat would continue to serve modifications to extensive redesign or but are not limited to, the use of its intended conservation role for the relocation of the project. Costs chemical insecticides or herbicides that species. associated with implementing a results in killing or injuring these If a Federal action may affect a listed reasonable and prudent alternative are species; subsurface drilling or similar species or its critical habitat, the similarly variable. activities within the 12,585-ac (5,093- responsible Federal agency (action Regulations at 50 CFR 402.16 require ha) Federal mineral estate and 9,945-ac agency) must enter into consultation Federal agencies to reinitiate (4,025-ha) habitat protection zone in with us. Examples of actions that are consultation on previously reviewed New Mexico (Balleau et al. 1999, p. 3;

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BLM 2002, p. 1) that contaminate or • A monitoring and adaptive In considering whether to exclude a cause significant degradation of water management plan. particular area from the designation, we quality in surface or aquifer waters Among other things, each INRMP identify the benefits of including the supporting the habitat occupied by must, to the extent appropriate and area in the designation, identify the these species; septic tank placement and applicable, provide for fish and wildlife benefits of excluding the area from the use where the groundwater is connected management; fish and wildlife habitat designation, and evaluate whether the to sinkhole or other aquatic habitats enhancement or modification; wetland benefits of exclusion outweigh the occupied by these species; and protection, enhancement, and benefits of inclusion. If the analysis unauthorized discharges or dumping of restoration where necessary to support indicates that the benefits of exclusion toxic chemicals or other pollutants into fish and wildlife; and enforcement of outweigh the benefits of inclusion, the the areas supporting the four applicable natural resource laws. Secretary may exercise his discretion to invertebrates. These activities could The National Defense Authorization exclude the area only if such exclusion alter water conditions to levels that are Act for Fiscal Year 2004 (Pub. L. 108– would not result in the extinction of the beyond the tolerances of the 136) amended the Act to limit areas species. invertebrates and result in degradation eligible for designation as critical Exclusions Based on Economic Impacts of their occupied habitat to an extent habitat. Specifically, section 4(a)(3)(B)(i) that individuals are killed or injured or of the Act (16 U.S.C. 1533(a)(3)(B)(i)) Under section 4(b)(2) of the Act, we essential behaviors such as breeding, now provides: ‘‘The Secretary shall not consider the economic impacts of feeding, and sheltering are impaired. designate as critical habitat any lands or specifying any particular area as critical (2) Actions that would destroy or alter other geographical areas owned or habitat. In order to consider economic habitat for the four invertebrates. Such controlled by the Department of impacts, we prepared a draft economic activities could include, but are not Defense, or designated for its use, that analysis, which we made available for limited to, discharging fill material into are subject to an integrated natural public review on June 22, 2010 (75 FR occupied sites, draining, ditching, resources management plan prepared 35375), based on the proposed rule tilling, channelizing, drilling, pumping, under section 101 of the Sikes Act (16 published concurrently. We accepted or other activities that interrupt surface U.S.C. 670a), if the Secretary determines comments on the draft analysis until or groundwater flow into or out of the in writing that such plan provides a August 23, 2010. We again accepted spring complexes and occupied habitats benefit to the species for which critical comments on the updated draft of these species. These activities could habitat is proposed for designation.’’ economic analysis from February 17, result in significant impairment of There are no Department of Defense 2011, to March 21, 2011 (76 FR 9297). essential life-sustaining requirements lands within the areas we are Following the close of the comment such as breeding, feeding, and designating as critical habitat for the periods, a final analysis of the potential economic effects of the designation was sheltering. four invertebrates; therefore, we are not (3) Actions that would introduce exempting lands from this final completed in April 2011 taking into nonnative species into occupied designation of critical habitat for the consideration the public comments and habitats for the four invertebrates. four invertebrates pursuant to section any new information. The intent of the final economic Potential nonnative species include, but 4(a)(3)(B)(i) of the Act. analysis (FEA) is to quantify the are not limited to, mosquitofish, Exclusions economic impacts of all potential crayfish, nonnative snails, or vegetation. conservation efforts for the four Application of Section 4(b)(2) of the Act These nonnative species compete for invertebrates; some of these costs will scarce resources and some may predate Section 4(b)(2) of the Act states that likely be incurred regardless of whether upon the four invertebrates. the Secretary shall designate and make we designate critical habitat (baseline). Exemptions revisions to critical habitat on the basis The economic impact of the final of the best available scientific data after critical habitat designation is analyzed Application of Section 4(a)(3) of the Act taking into consideration the economic by comparing scenarios both ‘‘with The Sikes Act Improvement Act of impact, national security impact, and critical habitat’’ and ‘‘without critical 1997 (Sikes Act) (16 U.S.C. 670a) any other relevant impact of specifying habitat.’’ The ‘‘without critical habitat’’ required each military installation that any particular area as critical habitat. scenario represents the baseline for the includes land and water suitable for the The Secretary may exclude an area from analysis, considering protections conservation and management of critical habitat if he determines that the already in place for the species (e.g., natural resources to complete an benefits of such exclusion outweigh the under the Federal listing and other integrated natural resources benefits of specifying such area as part Federal, State, and local regulations). management plan (INRMP) by of the critical habitat, unless he The baseline, therefore, represents the November 17, 2001. An INRMP determines, based on the best scientific costs incurred regardless of whether integrates implementation of the data available, that the failure to critical habitat is designated. The ‘‘with military mission of the installation with designate such area as critical habitat critical habitat’’ scenario describes the stewardship of the natural resources will result in the extinction of the incremental impacts associated found on the base. Each INRMP species. In making that determination, specifically with the designation of includes: the statute on its face, as well as the critical habitat for the species. The • An assessment of the ecological legislative history, are clear that the incremental conservation efforts and needs on the installation, including the Secretary has broad discretion regarding associated impacts are those not need to provide for the conservation of which factor(s) to use and how much expected to occur absent the designation listed species; weight to give to any factor. of critical habitat for the species. In • A statement of goals and priorities; Under section 4(b)(2) of the Act, the other words, the incremental costs are • A detailed description of Secretary may exclude an area from those attributable solely to the management actions to be implemented designated critical habitat based on designation of critical habitat above and to provide for these ecological needs; economic impacts, impacts on national beyond the baseline costs; these are the and security, or any other relevant impacts. costs we consider in the final

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designation of critical habitat. The are therefore also classified as baseline Exclusions Based on Other Relevant analysis looks retrospectively at costs (i.e., these costs will be incurred Impacts baseline impacts incurred since the even if critical habitat designation does species was listed, and forecasts both not occur). Finally, most section 7 Under section 4(b)(2) of the Act, we baseline and incremental impacts likely consultations would be pursued in the consider any other relevant impacts, in to occur with the designation of critical absence of critical habitat. To the extent addition to economic impacts and habitat. that incremental costs are incurred in impacts on national security. We The FEA also addresses how potential the context of a section 7 consultation consider a number of factors including economic impacts are likely to be regarding the species, they will be borne whether the landowners have developed distributed, including an assessment of by public agencies rather than private any habitat conservation plans (HCPs) any local or regional impacts of habitat entities. Because of these factors, there or other management plans for the area, conservation and the potential effects of were few actual incremental costs of or whether there are conservation conservation activities on government partnerships that would be encouraged agencies, private businesses, and this rulemaking. Incremental costs are those costs expected to be incurred as a by designation of, or exclusion from, individuals. The FEA measures lost critical habitat. In addition, we look at economic efficiency associated with result of critical habitat designation for any tribal issues, and consider the residential and commercial the four invertebrates. The FEA found government-to-government relationship development, and public projects and the overall annualized incremental costs activities, such as economic impacts on associated with the designation of of the United States with tribal entities. water management and transportation critical habitat for the four invertebrates We also consider any social impacts that projects, Federal lands, small entities, are estimated to be approximately might occur because of the designation. and the energy industry. Decision- $6,420. These costs derive from the In preparing this final rule, we have makers can use this information to added effort associated with considering determined that there are currently no assess whether the effects of the adverse modification in the context of HCPs for the Roswell springsnail, designation might unduly burden a section 7 consultation. Koster’s springsnail, Noel’s amphipod, particular group or economic sector. Our economic analysis did not and Pecos assiminea, and the final Finally, the FEA looks retrospectively at identify any disproportionate costs that designation does not include any tribal costs that have been incurred since 2005 are likely to result from the designation. lands or trust resources. We anticipate when the four invertebrates were listed Consequently, the Secretary is not no impact to tribal lands, partnerships, (70 FR 46304), and considers those costs exerting his discretion to exclude any or HCPs from this critical habitat that may occur in the 20 years following areas from this designation of critical designation. In addition, we considered the designation of critical habitat, which other relevant impacts during was determined to be the appropriate habitat for the four invertebrates based period for analysis because limited on economic impacts. A copy of the preparation of the environmental planning information was available for final economic analysis with supporting assessment pursuant to the National most activities to forecast activity levels documents may be obtained by Environmental Policy Act (see Required for projects beyond a 20-year timeframe. contacting the New Mexico Ecological Determinations, National The FEA quantifies economic impacts Services Field Office (see ADDRESSES) or Environmental Policy Act below) and of conservation efforts for the four for downloading from the Internet at found no other significant impacts that invertebrates associated with the http://www.regulations.gov. would warrant our consideration for following categories of activity: excluding any areas from critical habitat Exclusions Based on National Security (1) Project modifications made by oil designation. Accordingly, the Secretary Impacts and gas developers, consistent with is not exercising his discretion to requirements under the BLM Habitat Under section 4(b)(2) of the Act, we exclude any areas from this final Protection Zone; consider whether there are lands owned designation based on other relevant (2) Habitat management costs or managed by the Department of impacts. incurred by the Service, the New Defense (DOD) where a national security Editorial Changes Mexico Department of Game and Fish, impact might exist. In preparing this and The Nature Conservancy; and final rule, we have determined that the (3) Potential lost farm income due to When we listed Roswell springsnail, prohibition of chemical spraying within lands within the designation of critical Koster’s springsnail, Noel’s amphipod, critical habitat and a buffer. habitat for Roswell springsnail, Koster’s and Pecos assiminea as endangered Because all of the critical habitat we springsnail, Noel’s amphipod, and species on August 9, 2005 (70 FR are designating is currently occupied by Pecos assiminea are not owned or 46304), we neglected to insert the the species, ongoing project managed by the DOD, and therefore, we appropriate date code in the ‘‘When modifications and conservation anticipate no impact to national listed’’ column of the List of Endangered measures are already required to satisfy security. We are aware that there are and Threatened Wildlife at 50 CFR the jeopardy standard. In addition, most DOD lands (managed by New Mexico 17.11(h). Further, information we had of the critical habitat we are designating Air National Guard) in the vicinity of intended to display in the ‘‘Critical is already held in conservation status, the Refuge, east of the Pecos River, but habitat’’ column was misplaced under and the small portion of critical habitat our designation does not include these the ‘‘When listed’’ column, and owned by the City of Roswell has lands, and the designation will have no information intended for the ‘‘Special already been designated as critical affect on the operations or land rules’’ column was misplaced under the habitat for the Pecos sunflower management of these lands. Therefore, ‘‘Critical habitat’’ column. This final rule (Helianthus paradoxus) and is we anticipate no impact to national corrects these errors. This change is security, and the Secretary is not unsuitable for development due to purely editorial; it does not affect the exerting his discretion to exclude any presence of wetlands. Habitat substance of the listing rule. management costs are attributable to areas from this final designation based existing conservation agreements and on impacts on national security.

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Required Determinations manufacturing and mining concerns reinitiate consultation for ongoing with fewer than 500 employees, Federal activities (see Application of the Regulatory Planning and Review— wholesale trade entities with fewer than ‘‘Adverse Modification’’ Standard Executive Order 12866 100 employees, retail and service section). The Office of Management and Budget businesses with less than $5 million in In our final economic analysis of the (OMB) has determined that this rule is annual sales, general and heavy critical habitat designation, we not significant and has not reviewed construction businesses with less than evaluated the potential economic effects this rule under Executive Order 12866. $27.5 million in annual business, on small business entities resulting from OMB bases its determination upon the special trade contractors doing less than conservation actions related to the following four criteria: $11.5 million in annual business, and listing of the four invertebrates and the (1) Whether the rule will have an agricultural businesses with annual designation of critical habitat. The annual effect of $100 million or more on sales less than $750,000. To determine analysis is based on the estimated the economy or adversely affect an if potential economic impacts to these impacts associated with the rulemaking economic sector, productivity, jobs, the small entities are significant, we as described in Chapters 3 through 5 environment, or other units of the consider the types of activities that and Appendix A of the analysis and government. might trigger regulatory impacts under evaluates the potential for economic (2) Whether the rule will create this rule, as well as the types of project impacts. Activities anticipated inconsistencies with other Federal modifications that may result. In occurring within the next 20 years agencies’ actions. general, the term ‘‘significant economic within or adjacent to the critical habitat (3) Whether the rule will materially impact’’ is meant to apply to a typical we are designating for the four affect entitlements, grants, user fees, small business firm’s business invertebrates that potentially affect loan programs, or the rights and operations. small businesses include: oil and gas obligations of their recipients. To determine if the rule could production; irrigated agricultural (4) Whether the rule raises novel legal significantly affect a substantial number production; and livestock operations. or policy issues. of small entities, we consider the We determined from our analysis Regulatory Flexibility Act number of small businesses affected (Appendix A in FEA) that there will be within particular types of economic minimal additional economic impacts to Under the Regulatory Flexibility Act activities. We considered potential small entities resulting from the (RFA; 5 U.S.C. 601 et seq.), as amended effects to 936 small businesses in the designation of critical habitat, because by the Small Business Regulatory FEA. We apply the ‘‘substantial number’’ almost all of the potential costs of Enforcement Fairness Act (SBREFA) of test individually to each industry to modification of activities and 1996 (5 U.S.C 801 et seq.), whenever an determine if certification is appropriate. conservation identified in the economic agency must publish a notice of However, the SBREFA does not analysis represent baseline costs that rulemaking for any proposed or final explicitly define ‘‘substantial number’’ would be realized in the absence of rule, it must prepare and make available or ‘‘significant economic impact.’’ critical habitat. The economic analysis for public comment a regulatory Consequently, to assess whether a estimates the overall annual incremental flexibility analysis that describes the ‘‘substantial number’’ of small entities is costs associated with the designation of effects of the rule on small entities affected by this designation, this critical habitat for the four invertebrates (small businesses, small organizations, analysis considers the relative number to be very modest, at approximately and small government jurisdictions). of small entities likely to be impacted in $6,420. All of these costs would derive However, no regulatory flexibility an area. In some circumstances, from the added effort associated with analysis is required if the head of the especially with critical habitat considering adverse modification in the agency certifies the rule will not have a designations of limited extent, we may context of section 7 consultations. significant economic impact on a aggregate across all industries and In summary, we considered whether substantial number of small entities. consider whether the total number of this designation would result in a The SBREFA amended RFA to require small entities affected is substantial. In significant economic effect on a Federal agencies to provide a estimating the number of small entities substantial number of small entities. certification statement of the factual potentially affected, we also consider Based on our analysis and currently basis for certifying that the rule will not whether their activities have any available information, we concluded have a significant economic impact on Federal involvement. that this rule will not result in a a substantial number of small entities. Designation of critical habitat only significant economic impact on a In this final rule, we are certifying that affects activities authorized, funded, or substantial number of small entities. the critical habitat designation for carried out by Federal agencies. Some Therefore, we are certifying that the Roswell springsnail, Koster’s kinds of activities are unlikely to have designation of critical habitat for springsnail, Noel’s amphipod, and any Federal involvement and so will not Roswell springsnail, Koster’s Pecos assiminea will not have a be affected by critical habitat springsnail, Noel’s amphipod, and significant economic impact on a designation. In areas where the species Pecos assiminea will not have a substantial number of small entities. is present, Federal agencies already are significant economic impact on a The following discussion explains our required to consult with us under substantial number of small entities, rationale. section 7 of the Act on activities they and a regulatory flexibility analysis is According to the Small Business authorize, fund, or carry out that may not required. Administration, small entities include affect the Roswell springsnail, Koster’s small organizations, such as springsnail, Noel’s amphipod, and Energy Supply, Distribution, or Use— independent nonprofit organizations; Pecos assiminea. Federal agencies also Executive Order 13211 small governmental jurisdictions, must consult with us if their activities Executive Order 13211 (Actions including school boards and city and may affect critical habitat. Designation Concerning Regulations That town governments that serve fewer than of critical habitat, therefore, could result Significantly Affect Energy Supply, 50,000 residents; as well as small in an additional economic impact on Distribution, or Use) requires agencies businesses. Small businesses include small entities due to the requirement to to prepare Statements of Energy Effects

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when undertaking certain actions. OMB Living; Family Support Welfare Roswell springsnail, Koster’s has provided guidance for Services; and Child Support springsnail, Noel’s amphipod, and implementing this Executive Order that Enforcement. ‘‘Federal private sector Pecos assiminea in a takings outlines nine outcomes that may mandate’’ includes a regulation that implications assessment. Critical habitat constitute ‘‘a significant adverse effect’’ ‘‘would impose an enforceable duty designation does not affect landowner when compared to not taking the upon the private sector, except (i) a actions that do not require Federal regulatory action under consideration. condition of Federal assistance or (ii) a funding or permits, nor does it preclude The final economic analysis (Appendix duty arising from participation in a development of habitat conservation A.2) finds that none of these criteria are voluntary Federal program.’’ programs or issuance of incidental take relevant to this analysis because any The designation of critical habitat permits to permit actions that do require potential effects on oil and natural gas does not impose a legally binding duty Federal funding or permits to go operations will be very small and not on non-Federal Government entities or forward. The takings implications approach the threshold for a significant private parties. Under the Act, the only assessment concludes that this adverse effect. Thus, based on regulatory effect is that Federal agencies designation of critical habitat for the information in the economic analysis, must ensure that their actions do not four invertebrates does not pose energy-related impacts associated with destroy or adversely modify critical significant takings implications for Roswell springsnail, Koster’s habitat under section 7. While non- lands within or affected by the springsnail, Noel’s amphipod, and Federal entities that receive Federal designation. Pecos assiminea conservation activities funding, assistance, or permits, or that Federalism—Executive Order 13132 within critical habitat are not expected. otherwise require approval or As such, the designation of critical authorization from a Federal agency for In accordance with E.O. 13132 habitat is not expected to significantly an action, may be indirectly impacted (Federalism), this rule does not have affect energy supplies, distribution, or by the designation of critical habitat, the significant Federalism effects. A use. Therefore, this action is not a legally binding duty to avoid Federalism assessment is not required. significant energy action, and no destruction or adverse modification of In keeping with Department of the Statement of Energy Effects is required. critical habitat rests squarely on the Interior and Department of Commerce Federal agency. Furthermore, to the policy, we requested information from, Unfunded Mandates Reform Act extent that non-Federal entities are and coordinated development of, this In accordance with the Unfunded indirectly impacted because they critical habitat designation with Mandates Reform Act (2 U.S.C. 1501 et receive Federal assistance or participate appropriate State resource agencies in seq.), we make the following findings: in a voluntary Federal aid program, the New Mexico and Texas. We received (1) This rule will not produce a Unfunded Mandates Reform Act would comments from NMDGF and have Federal mandate. In general, a Federal not apply, nor would critical habitat addressed them in the Summary of mandate is a provision in legislation, shift the costs of the large entitlement Comments and Recommendations statute, or regulation that would impose programs listed above onto State section of this rule. The designation of an enforceable duty upon State, local, or governments. critical habitat in areas currently tribal governments, or the private sector, (2) This rule will not significantly or occupied by the Roswell springsnail, and includes both ‘‘Federal uniquely affect small governments. The Koster’s springsnail, Noel’s amphipod, intergovernmental mandates’’ and public lands we are designating as and Pecos assiminea imposes no ‘‘Federal private sector mandates.’’ critical habitat are owned by the City of additional restrictions to those currently These terms are defined in 2 U.S.C. Roswell and the Service. Small in place and, therefore, has little 658(5)–(7). ‘‘Federal intergovernmental governments, such as the City of incremental impact on State and local mandate’’ includes a regulation that Roswell, will be affected only to the governments and their activities. The ‘‘would impose an enforceable duty extent that any programs having Federal designation may have some benefit to upon State, local, or tribal governments’’ funds, permits, or other authorized these governments in that the areas that with two exceptions. It excludes ‘‘a activities must ensure that their actions contain the physical and biological condition of Federal assistance.’’ It also will not adversely affect the critical features essential to the conservation of excludes ‘‘a duty arising from habitat. As discussed above and in our the species are more clearly defined, participation in a voluntary Federal environmental assessment, the areas and the habitat necessary to the program,’’ unless the regulation ‘‘relates owned by the City of Roswell that are conservation of the species are to a then-existing Federal program being designated as critical habitat for specifically identified. This information under which $500,000,000 or more is the four invertebrates have already been does not alter where and what federally provided annually to State, local, and designated as critical habitat for the sponsored activities may occur. tribal governments under entitlement Pecos sunflower and are unsuitable for However, it may assist local authority,’’ if the provision would development because of the presence of governments in long-range planning ‘‘increase the stringency of conditions of wetlands. In addition, we do not (rather than having them wait for case- assistance’’ or ‘‘place caps upon, or anticipate significant effects to the City by-case section 7 consultations to otherwise decrease, the Federal of Roswell’s wastewater treatment plant occur). Government’s responsibility to provide from designation of the Rio Hondo unit. Where State and local governments funding,’’ and the State, local, or tribal Therefore, a Small Government Agency require approval or authorization from a governments ‘‘lack authority’’ to adjust Plan is not required. Federal agency for actions that may accordingly. At the time of enactment, affect critical habitat, consultation these entitlement programs were: Takings—Executive Order 12630 under section 7(a)(2) would be required. Medicaid; Aid to Families with In accordance with E.O. 12630 While non-Federal entities that receive Dependent Children work programs; (Government Actions and Interference Federal funding, assistance, or permits, Child Nutrition; Food Stamps; Social with Constitutionally Protected Private or that otherwise require approval or Services Block Grants; Vocational Property Rights), we have analyzed the authorization from a Federal agency for Rehabilitation State Grants; Foster Care, potential takings implications of an action, may be indirectly impacted Adoption Assistance, and Independent designating critical habitat for the by the designation of critical habitat, the

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legally binding duty to avoid of the draft environmental assessment Intensity refers to the severity of an destruction or adverse modification of for the proposal when it is finished. impact and is evaluated by considering critical habitat rests squarely on the We performed the NEPA analysis and ten factors (40 CFR 1508.27[b]). Federal agency. drafts of the environmental assessment The intensity of potential impacts that were available for public comment on may result from designation of critical Civil Justice Reform—Executive Order June 22, 2010 (75 FR 35375), and habitat for the four invertebrates under 12988 February 17, 2011 (76 FR 9297). The the proposed action is considered low. In accordance with Executive Order final environmental assessment has This conclusion is reached based on the 12988 (Civil Justice Reform), the been completed and is available for following findings in the environmental regulation meets the applicable review with the publication of this final assessment: standards set forth in sections 3(a) and rule. You may obtain a copy of the final (1) The potential impacts may be both 3(b)(2) of the Order. We are designating environmental assessment online at beneficial and adverse, but minor. critical habitat in accordance with the http://www.regulations.gov, by mail (2) There would be no effects to provisions of the Act. This final rule from the New Mexico Ecological public health or safety from proposed uses standard property descriptions and Services Field Office (see ADDRESSES), designation of critical habitat. identifies the elements of physical and or by visiting our Web site at http:// (3) The proposed action may provide biological features essential to the www.fws.gov/southwest/es/NewMexico/. a small benefit to wetlands and conservation of the Roswell springsnail, The final environmental assessment ecologically critical areas, and would Koster’s springsnail, Noel’s amphipod, included a detailed analysis of the not affect other unique characteristics of and Pecos assiminea within the potential effects of the critical habitat the geographic area. designated areas to assist the public in designation on resource categories, (4) Potential impacts from critical understanding the habitat needs of the including: Water resources; oil and gas; habitat designation on the quality of the species. land management; livestock grazing and environment are unlikely to be highly dairy operation; Roswell wastewater controversial. Paperwork Reduction Act of 1995 treatment facility; recreation; (5) Potential impacts from critical (44 U.S.C. 3501 et seq.) socioeconomic conditions and habitat do not involve a high degree of environmental justice; and the This rule does not contain any new uncertainty or unique or unknown risks. cumulative effects. The scope of the (6) Proposed designation of critical collections of information that require effects were primarily limited to those habitat for the four invertebrate species approval by OMB under the Paperwork activities involving Federal actions, does not set a precedent for future Reduction Act of 1995 (44 U.S.C. 3501 because critical habitat designation does actions with significant effects. et seq.). This rule will not impose not have any impact on the environment (7) Proposed designation of critical recordkeeping or reporting requirements other than through the ESA section 7 habitat would not result in significant on State or local governments, consultation process conducted for cumulative impacts. individuals, businesses, or Federal actions. Private actions that (8) Significant cultural, historical, or organizations. An agency may not have no Federal involvement are not scientific resources are not likely to be conduct or sponsor, and a person is not affected by critical habitat designation. affected by proposed designation of required to respond to, a collection of Based on the review and evaluation of critical habitat. information unless it displays a the information contained in the (9) Critical habitat designation may currently valid OMB control number. environmental assessment, we have a beneficial effect on the four National Environmental Policy Act determined that the designation of invertebrates. (NEPA) (42 U.S.C. 4321 et seq.) critical habitat for the four invertebrates (10) Critical habitat designation does not constitute a major Federal would not violate any Federal, state, or It is our position that, outside the action having a significant impact on local laws or requirements imposed for jurisdiction of the U.S. Court of Appeals the human environment under the the protection of the environment. for the Tenth Circuit, we do not need to meaning of section 102(2)(c) of NEPA. The effects of proposed critical habitat prepare environmental analyses as Pursuant to the Council on designation at this scale, although long- defined by NEPA (42 U.S.C. 4321 et Environmental Quality regulations for term, would be small. Therefore, we seq.) in connection with designating implementing NEPA, preparation of an found that the proposed designation critical habitat under the Act. We environmental impact statement is will not significantly affect the quality published a notice outlining our reasons required if an action is determined to of the human environment and an for this determination in the Federal significantly affect the quality of the environmental impact statement is not Register on October 25, 1983 (48 FR human environment (40 CFR § 1502.3). required. 49244). This position was upheld by the Significance is determined by analyzing U.S. Court of Appeals for the Ninth the context and intensity of a proposed Government-to-Government Circuit (Douglas County v. Babbitt, 48 action (40 CFR 1508.27). Context refers Relationship With Tribes F.3d 1495 (9th Cir. 1995), cert. denied to the setting of the proposed action and In accordance with the President’s 516 U.S. 1042 (1996)). includes consideration of the affected memorandum of April 29, 1994, However, when the range of the region, affected interests, and locality ‘‘Government-to-Government Relations species includes States within the Tenth (40 CFR 1508.27[a]). The context of both with Native American Tribal Circuit, such as that of the Roswell short- and long-term effects of proposed Governments’’ (59 FR 22951), E.O. springsnail, Koster’s springsnail, Noel’s designation of critical habitat are the 13175, and the Department of the amphipod, and Pecos assiminea, under proposed critical habitat units in Chaves Interior’s manual at 512 DM 2, we the Tenth Circuit ruling in Catron County, New Mexico, and Pecos and readily acknowledge our responsibility County Board of Commissioners v. U.S. Reeves Counties, Texas, totaling about to communicate meaningfully with Fish and Wildlife Service, 75 F.3d 1429 521 acres (211 ha), and the surrounding recognized Federal Tribes on a (10th Cir. 1996), we undertake a NEPA areas. The effects of proposed critical government-to-government basis. In analysis for critical habitat designation habitat designation at this scale, accordance with Secretarial Order 3206 and notify the public of the availability although long-term, would be small. of June 5, 1997, ‘‘American Indian Tribal

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Rights, Federal-Tribal Trust References Cited PART 17—ENDANGERED AND Responsibilities, and the Endangered A complete list of references cited is THREATENED WILDLIFE AND PLANTS Species Act,’’ we readily acknowledge available on the Internet at http:// ■ our responsibilities to work directly www.regulations.gov and upon request 1. The authority citation for part 17 with Tribes in developing programs for from the New Mexico Ecological continues to read as follows: healthy ecosystems, to acknowledge that Services Field Office (see ADDRESSES). Authority: 16 U.S.C. 1361–1407; 16 U.S.C. tribal lands are not subject to the same 1531–1544; 16 U.S.C. 4201–4245; Pub. L. 99– Authors controls as Federal public lands, to 625, 100 Stat. 3500; unless otherwise noted. The primary authors of this package remain sensitive to Indian culture, and ■ 2. Amend § 17.11(h) by revising the to make information available to Tribes. are the staff members of the New Mexico Ecological Services Field Office. entries for: We determined that there are no ■ a. ‘‘Pecos assiminea’’, ‘‘Springsnail, Tribal lands occupied at the time of List of Subjects in 50 CFR Part 17 Koster’s’’, and ‘‘Springsnail, Roswell’’ listing that contain the features essential Endangered and threatened species, under SNAILS; and for the conservation, and no unoccupied Exports, Imports, Reporting and ■ b. ‘‘Amphipod, Noel’s’’ under Tribal lands that are essential for the recordkeeping requirements, CRUSTACEANS, in the List of conservation of the Roswell springsnail, Transportation. Endangered and Threatened Wildlife to Koster’s springsnail, Noel’s amphipod, Regulation Promulgation read as follows: and Pecos assiminea. Therefore, we are Accordingly, we amend part 17, § 17.11 Endangered and threatened not designating critical habitat for the wildlife. four invertebrates on Tribal lands. subchapter B of chapter I, title 50 of the Code of Federal Regulations, as set forth * * * * * below: (h) * * *

Species Vertebrate popu- Historic lation where endan- Status When Critical Special Common name Scientific name range gered or threatened listed habitat rules

*******

SNAILS

*******

Pecos assiminea ..... Assiminea pecos ..... U.S.A. (NM, TX) ...... NA ...... E 770 17.95(f) NA

*******

Springsnail, Koster’s Juturnia kosteri ...... U.S.A. (NM) ...... NA ...... E 770 17.95(f) NA Springsnail, Roswell Pyrgulopsis U.S.A. (NM) ...... NA ...... E 770 17.95(f) NA roswellensis.

*******

CRUSTACEANS

*******

Amphipod, Noel’s .... Gammarus U.S.A. (NM) ...... NA ...... E 770 17.95(h) NA desperatus.

*******

■ 2. Amend § 17.95 by: table at 50 CFR 17.11(h), to read as assiminea is moist or saturated soil at ■ a. In paragraph (f), revising the entry follows. stream or spring run margins: (i) That consists of wet mud or occurs for ‘‘Pecos Assiminea (Assiminea § 17.95 Critical habitat—fish and wildlife. beneath mats of vegetation; ’’ pecos) and adding an entry for * * * * * (ii) That is within 1 inch (2 to 3 ‘‘Koster’s springsnail (Juturnia kosteri) (f) Clams and Snails. centimeters) of flowing water; and Roswell springsnail (Pyrgulopsis (iii) That has native wetland plant * * * * * roswellensis)’’ in the same alphabetical species, such as salt grass or sedges, that order that those species appear in the Pecos Assiminea (Assiminea Pecos) provide leaf litter, shade, cover, and table at 50 CFR 17.11(h), to read as appropriate microhabitat; follows; and (1) Critical habitat units are depicted (iv) That contains wetland vegetation for Chaves County, New Mexico, and ■ b. In paragraph (h), adding an entry adjacent to spring complexes that Pecos and Reeves Counties, Texas, on supports the algae, detritus, and bacteria for ‘‘Noel’s amphipod (Gammarus the maps below. desperatus)’’ in the same alphabetical needed for foraging; and (2) The primary constituent element (v) That has adjacent spring order that the species appears in the of critical habitat for the Pecos complexes with:

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(A) Permanent, flowing, fresh to 3704108; 553499, 3704091; 553533, 3704531; 554119, 3704531; 554135, moderately saline water with no or no 3704059; 553559, 3704024; 553588, 3704523; 554144, 3704510; 554157, more than low levels of pollutants; and 3704004; 553650, 3704024; 553655, 3704481; 554154, 3704460; 554174, (B) Stable water levels with natural 3704014; 553654, 3703981; 553699, 3704431; 554192, 3704393; 554210, diurnal and seasonal variations. 3703983; 553745, 3703960; 553775, 3704366; 554216, 3704346; 554190, (3) Critical habitat does not include 3703978; 553799, 3703979; 553828, 3704357; 554174, 3704365; 554166, manmade structures (such as buildings, 3704003; 553859, 3704016; 553871, 3704375; 554159, 3704395; 554146, aqueducts, runways, roads, and other 3704037; 553907, 3704053; 553938, 3704394; 554126, 3704391; 554117, paved areas) and the land on which they 3704074; 553964, 3704078; 553983, 3704384; 554123, 3704364; 554119, are located existing within the legal 3704080; 553993, 3703978; 553939, 3704346; 554105, 3704337; 554091, boundaries on the effective date of this 3703960; 553917, 3703914; 553903, 3704312; 554097, 3704289; 554094, rule. 3703927; 553758, 3703909; 553710, 3704269; 554084, 3704261; 554059, (4) Critical habitat map units. Data 3703936; 553656, 3703932; 553567, 3704273; 554052, 3704260; 554034, layers defining map units were created 3703940; 553484, 3704010; 553426, 3704259; 554022, 3704248; 554005, on a base of USGS 1:24,000 maps, and 3704085; 553396, 3704109; 553357, 3704272; 554024, 3704293; 554040, critical habitat units were then mapped 3704150; 553270, 3704273; 553271, 3704300; 554041, 3704321; 554016, using Universal Transverse Mercator 3704299; 553270, 3704344; 553255, 3704332; 554006, 3704317; 553974, (UTM) coordinates. 3704398; 553274, 3704444; 553254, 3704323; 553963, 3704324; 553963, (5) Unit 1: Sago/Bitter Creek Complex, 3704540; 553218, 3704577; 553197, 3704316; 553966, 3704314; 553961, Chaves County, New Mexico. 3704824; 553205, 3704843; 553246, 3704302; 553949, 3704302; 553936, (i) Land bounded by the following 3704885; 553233, 3704911; 553238, 3704302; 553934, 3704311; 553946, UTM Zone 13N, North American Datum 3704941; 553265, 3704950; 553294, 3704321; 553952, 3704323; 553946, of 1983 (NAD83) coordinates (E, N): 3704941; 553312, 3705045; 553337, 3704332; 553946, 3704353; 553958, (A) 553337, 3705095; 553357, 3705095. 3704373; 553964, 3704381; 553958, 3705102; 553360, 3705067; 553371, (B) 553906, 3704450; 553915, 3704392; 553946, 3704391; 553938, 3705041; 553420, 3705010; 553433, 3704455; 553920, 3704452; 553917, 3704396; 553934, 3704394; 553930, 3704982; 553482, 3704987; 553499, 3704438; 553926, 3704432; 553935, 3704955; 553437, 3704946; 553424, 3704420; 553957, 3704404; 553965, 3704397; 553930, 3704409; 553924, 3704909; 553401, 3704883; 553340, 3704405; 553974, 3704406; 553985, 3704409; 553906, 3704413; 553902, 3704906; 553319, 3704879; 553266, 3704388; 553993, 3704387; 554019, 3704424; 553894, 3704419; 553885, 3704869; 553274, 3704816; 553240, 3704376; 554037, 3704362; 554045, 3704419; 553898, 3704448; 553906, 3704797; 553240, 3704623; 553306, 3704389; 554060, 3704406; 554083, 3704450. 3704532; 553300, 3704419; 553280, 3704416; 554085, 3704429; 554110, (ii) Note: Map of Pecos Assiminea 3704354; 553287, 3704287; 553338, 3704452; 554132, 3704457; 554121, Critical Habitat Units 1 and 2b follows: 3704221; 553438, 3704145; 553459, 3704474; 554106, 3704494; 554102, BILLING CODE 4310–55–P

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(6) Unit 2b: Assiminea Impoundment 553821, 3697262; 553799, 3697250; 701024, 3435174; 701029, 3435095; Complex, Chaves County, New Mexico. 553784, 3697256. 700998, 3434990; 700861, 3434921; (i) Land bounded by the following (E) 553928, 3697415; 553935, 700813, 3434832; 700629, 3434721; UTM Zone 13N, North American Datum 3697425; 553952, 3697426; 553941, 700555, 3434727; 700445, 3434700; of 1983 (NAD83) coordinates (E, N): 3697416; 553940, 3697405; 553942, 700371, 3434700; 700303, 3434658; (A) 554768, 3699378; 554765, 3697385; 553927, 3697367; 553852, 700255, 3434600; 700281, 3434521; 3699345; 554761, 3699217; 554681, 3697391; 553833, 3697408; 553822, 700281, 3434390; 700281, 3434300; 3699179; 554608, 3699086; 554569, 3697403; 553766, 3697414; 553739, 700276, 3434147; 700250, 3433984; 3699029; 554501, 3699079; 554455, 3697424; 553735, 3697478; 553747, 700203, 3433889; 700113, 3433726; 3699103; 554488, 3699119; 554497, 3697483; 553764, 3697425; 553795, 700124, 3433684; 700055, 3433652; 3699142; 554543, 3699151; 554539, 3697420; 553820, 3697429; 553849, 699981, 3433626; 699923, 3433563; 3699185; 554571, 3699264; 554587, 3697415; 553880, 3697408; 553905, 699902, 3433489; 699755, 3433326; 3699280; 554622, 3699291; 554639, 3697395; 553921, 3697407; 553928, 699665, 3433189; 699581, 3433047; 3699320; 554667, 3699343; 554699, 3697415. 699550, 3432931; 699486, 3432852; 3699341; 554719, 3699367; 554748, (F) 553538, 3697315; 553550, 699407, 3432826; 699318, 3432820; 3699380; 554768, 3699378. 3697308; 553572, 3697322; 553580, 699249, 3432747; 699202, 3432594; 3697314; 553556, 3697287; 553538, 699128, 3432494; 698991, 3432415; (B) 554053, 3697672; 554064, 3697302; 553538, 3697315. 698849, 3432378; 698681, 3432352; 3697692; 554077, 3697704; 554085, (G) 555054, 3699844; 555015, 698607, 3432262; 698533, 3432136; 3697691; 554078, 3697672; 554215, 3699840; 555015, 3699840; 555006, 698491, 3431973; 698428, 3431931; 3697667; 554216, 3697653; 554045, 3699890; 555065, 3699975; 555086, 698396, 3431794; 698386, 3431620; 3697649; 554053, 3697672. 3700030; 555115, 3700032; 555114, 698296, 3431515; 698175, 3431473; (C) 554223, 3697539; 554247, 3700030; 555076, 3699953; 555038, 698070, 3431509; 698038, 3431594; 3697505; 554195, 3697448; 554171, 3699915; 555039, 3699861; 555054, 698054, 3431794; 698149, 3431983; 3697394; 554179, 3697365; 554152, 3699844. 698260, 3432110; 698323, 3432189; 3697343; 554132, 3697360; 554123, (ii) Note: Map of Unit 2b for Pecos 698449, 3432283; 698449, 3432362; 3697373; 554155, 3697405; 554167, assiminea is provided at paragraph 698391, 3432436; 698370, 3432552; 3697472; 554223, 3697539. (5)(ii) of this entry. 698539, 3432647; 698665, 3432605; (D) 554070, 3697244; 554099, (7) Unit 4: Diamond Y Springs 698727, 3432620; 698791, 3432636; 3697254; 554134, 3697240; 554127, Complex, Pecos County, Texas. 698955, 3432705; 698981, 3432826; 3697220; 554096, 3697208; 554071, (i) Land bounded by the following 699018, 3432931; 699134, 3433015; 3697229; 554070, 3697244. UTM Zone 13N, North American Datum 699234, 3433021; 699286, 3433094; 553784, 3697256; 553807, 3697291; of 1983 (NAD83) coordinates (E, N): 699302, 3433157; 699313, 3433168; 553829, 3697279; 553849, 3697268; 700260, 3434916; 700413, 3434953; 699460, 3433384; 699650, 3433610; 553881, 3697270; 553911, 3697274; 700640, 3435053; 700734, 3435148; 699792, 3433784; 699834, 3433837; 553931, 3697267; 553979, 3697295; 700861, 3435401; 700950, 3435543; 699850, 3433947; 699893, 3434001; 553989, 3697296; 553980, 3697274; 701171, 3435706; 701340, 3435785; 699929, 3434047; 699974, 3434107; 553965, 3697264; 553963, 3697246; 701466, 3435869; 701519, 3436053; 700013, 3434158; 700055, 3434326; 553939, 3697239; 553914, 3697242; 701645, 3436390; 701919, 3436264; 700013, 3434463; 700013, 3434648; 553901, 3697230; 553881, 3697235; 701835, 3435969; 701714, 3435753; 700108, 3434827; 700260, 3434916. 553872, 3697251; 553848, 3697246; 701698, 3435711; 701356, 3435479; (ii) Note: Map of Pecos Assiminea 553833, 3697254; 553829, 3697262; 701145, 3435353; 701045, 3435258; Critical Habitat Units 4 and 5 follows:

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BILLING CODE 4310–55–C

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(8) Unit 5: East Sandia Spring, Reeves (3) Critical habitat does not include 3704941; 553265, 3704950; 553294, County, Texas. manmade structures (such as buildings, 3704941; 553312, 3705045; 553337, (i) Land bounded by the following aqueducts, runways, roads, and other 3705095. UTM Zone 13N, North American Datum paved areas) and the land on which they (B) 553906, 3704450; 553915, of 1983 (NAD83) coordinates (E, N): are located existing within the legal 3704455; 553920, 3704452; 553917, 621217, 3429265; 621262, 3429320; boundaries on the effective date of this 3704438; 553926, 3704432; 553935, 621304, 3429356; 621352, 3429393; rule. 3704420; 553957, 3704404; 553965, 621397, 3429383; 621397, 3429384; (4) Critical habitat map units. Data 3704405; 553974, 3704406; 553985, 621398, 3429384; 621342, 3429283; layers defining map units were created 3704388; 553993, 3704387; 554019, 621240, 3429237; 621217, 3429265. on a base of USGS 1:24,000 maps, and (ii) Map of Unit 5 for Pecos assiminea critical habitat units were then mapped 3704376; 554037, 3704362; 554045, is provided at paragraph (7)(ii) of this using Universal Transverse Mercator 3704389; 554060, 3704406; 554083, entry. (UTM) coordinates. 3704416; 554085, 3704429; 554110, 3704452; 554132, 3704457; 554121, * * * * * (5) Unit 1: Sago/Bitter Creek Complex, Chaves County, New Mexico. 3704474; 554106, 3704494; 554102, Koster’s Springsnail (Juturnia Kosteri) (i) Land bounded by the following 3704531; 554119, 3704531; 554135, and Roswell Springsnail (Pyrgulopsis UTM Zone 13N, North American Datum 3704523; 554144, 3704510; 554157, Roswellensis) of 1983 (NAD83) coordinates (E, N): 3704481; 554154, 3704460; 554174, (1) Critical habitat units are depicted (A) 553337, 3705095; 553357, 3704431; 554192, 3704393; 554210, for Chaves County, New Mexico, on the 3705102; 553360, 3705067; 553371, 3704366; 554216, 3704346; 554190, map below. 3705041; 553420, 3705010; 553433, 3704357; 554174, 3704365; 554166, (2) The primary constituent element 3704982; 553482, 3704987; 553499, 3704375; 554159, 3704395; 554146, of critical habitat for the Koster’s 3704955; 553437, 3704946; 553424, 3704394; 554126, 3704391; 554117, springsnail and Roswell springsnail is 3704909; 553401, 3704883; 553340, 3704384; 554123, 3704364; 554119, springs and spring-fed wetland systems 3704906; 553319, 3704879; 553266, 3704346; 554105, 3704337; 554091, that: 3704869; 553274, 3704816; 553240, 3704312; 554097, 3704289; 554094, (i) Have permanent, flowing water 3704797; 553240, 3704623; 553306, 3704269; 554084, 3704261; 554059, with no or no more than low levels of 3704532; 553300, 3704419; 553280, 3704273; 554052, 3704260; 554034, pollutants; 3704354; 553287, 3704287; 553338, 3704259; 554022, 3704248; 554005, (ii) Have slow to moderate water 3704221; 553438, 3704145; 553459, 3704272; 554024, 3704293; 554040, velocities; 3704108; 553499, 3704091; 553533, 3704300; 554041, 3704321; 554016, (iii) Have substrates ranging from 3704059; 553559, 3704024; 553588, 3704332; 554006, 3704317; 553974, deep organic silts to limestone cobble 3704004; 553650, 3704024; 553655, 3704323; 553963, 3704324; 553963, and gypsum; 3704014; 553654, 3703981; 553699, 3704316; 553966, 3704314; 553961, (iv) Have stable water levels with 3703983; 553745, 3703960; 553775, 3704302; 553949, 3704302; 553936, 3703978; 553799, 3703979; 553828, natural diurnal (daily) and seasonal 3704302; 553934, 3704311; 553946, 3704003; 553859, 3704016; 553871, variations; 3704321; 553952, 3704323; 553946, 3704037; 553907, 3704053; 553938, (v) Consist of fresh to moderately 3704332; 553946, 3704353; 553958, 3704074; 553964, 3704078; 553983, saline water; 3704373; 553964, 3704381; 553958, 3704080; 553993, 3703978; 553939, (vi) Vary in temperature between 50– 3704392; 553946, 3704391; 553938, ° ° 3703960; 553917, 3703914; 553903, 68 F (10–20 C) with natural seasonal 3704396; 553934, 3704394; 553930, 3703927; 553758, 3703909; 553710, and diurnal variations slightly above 3704397; 553930, 3704409; 553924, 3703936; 553656, 3703932; 553567, and below that range; and 3704409; 553906, 3704413; 553902, 3703940; 553484, 3704010; 553426, (vii) Provide abundant food, 3704424; 553894, 3704419; 553885, consisting of: 3704085; 553396, 3704109; 553357, 3704419; 553898, 3704448; 553906, (A) Algae, bacteria, and decaying 3704150; 553270, 3704273; 553271, 3704450. organic material; and 3704299; 553270, 3704344; 553255, (B) Submergent vegetation that 3704398; 553274, 3704444; 553254, (ii) Note: Map of Koster’s Springsnail contributes the necessary nutrients, 3704540; 553218, 3704577; 553197, and Roswell Springsnail Critical Habitat detritus, and bacteria on which these 3704824; 553205, 3704843; 553246, Units 1 and 2a follows: species forage. 3704885; 553233, 3704911; 553238, BILLING CODE 4310–55–P

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BILLING CODE 4310–55–C

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(6) Unit 2a: Springsnail/Amphipod 3698079; 554193, 3698085; 554191, (iv) Have stable water levels with Impoundment Complex, Chaves County, 3698097; 554195, 3698145. natural diurnal (daily) and seasonal New Mexico. (F) 554223, 3697539; 554247, variations; (i) Land bounded by the following 3697505; 554195, 3697448; 554171, (v) Consist of fresh to moderately UTM Zone 13N, North American Datum 3697394; 554179, 3697365; 554152, saline water; of 1983 (NAD83) coordinates (E, N): 3697343; 554132, 3697360; 554123, (vi) Have minimal sedimentation; (A) 554982, 3703317; 555004, 3697373; 554155, 3697405; 554167, (vii) Vary in temperature between 50– 3703315; 555011, 3703299; 555053, 3697472; 554223, 3697539. 68 °F (10–20 °C) with natural seasonal 3703215; 555079, 3703205; 555094, (G) 554070, 3697244; 554099, and diurnal variations slightly above 3703168; 555171, 3703138; 555222, 3697254; 554134, 3697240; 554127, and below that range; and 3703093; 555259, 3703078; 555289, 3697220; 554096, 3697208; 554071, (viii) Provide abundant food, 3703055; 555338, 3703047; 555420, 3697229; 554070, 3697244. consisting of: 3703024; 555458, 3702955; 555442, (H) 553784, 3697256; 553807, (A) Submergent vegetation and 3702940; 555422, 3702925; 555406, 3697291; 553829, 3697279; 553849, decaying organic matter; 3702974; 555330, 3703017; 555277, 3697268; 553881, 3697270; 553911, (B) A surface film of algae, diatoms, 3703025; 555229, 3703068; 555188, 3697274; 553931, 3697267; 553979, bacteria, and fungi; and 3703090; 555151, 3703125; 555131, 3697295; 553989, 3697296; 553980, (C) Microbial foods, such as algae and 3703116; 555075, 3703115; 555042, 3697274; 553965, 3697264; 553963, bacteria, associated with aquatic plants, 3703144; 555014, 3703147; 554978, 3697246; 553939, 3697239; 553914, algae, bacteria, and decaying organic 3703231; 554964, 3703290; 554982, 3697242; 553901, 3697230; 553881, material. 3703317. 3697235; 553872, 3697251; 553848, (3) Critical habitat does not include (B) 555695, 3701598; 555603, 3697246; 553833, 3697254; 553829, manmade structures (such as buildings, 3701536; 555568, 3701479; 555565, 3697262; 553821, 3697262; 553799, aqueducts, runways, roads, and other 3701460; 555559, 3701324; 555532, 3697250; 553784, 3697256. paved areas) and the land on which they 3701296; 555502, 3701277; 555355, (I) 553928, 3697415; 553935, 3697425; are located existing within the legal 3700892; 555356, 3700852; 555342, 553952, 3697426; 553941, 3697416; boundaries on the effective date of this 3700778; 555333, 3700694; 555294, 553940, 3697405; 553942, 3697385; rule. 3700533; 555271, 3700409; 555281, 553927, 3697367; 553852, 3697391; (4) Critical habitat map units. Data 3700322; 555273, 3700266; 555257, 553833, 3697408; 553822, 3697403; layers defining map units were created 3700265; 555238, 3700281; 555247, 553766, 3697414; 553739, 3697424; on a base of USGS 1:24,000 maps, and 3700304; 555268, 3700316; 555269, 553735, 3697478; 553747, 3697483; critical habitat units were then mapped 3700343; 555221, 3700433; 555257, 553764, 3697425; 553795, 3697420; using Universal Transverse Mercator 3700433; 555263, 3700446; 555269, 553820, 3697429; 553849, 3697415; (UTM) coordinates. 3700498; 555260, 3700534; 555284, 553880, 3697408; 553905, 3697395; (5) Unit 1: Sago/Bitter Creek Complex, 3700550; 555285, 3700567; 555274, 553921, 3697407; 553928, 3697415. Chaves County, New Mexico. 3700604; 555288, 3700636; 555312, (J) 553538, 3697315; 553550, 3697308; (i) Land bounded by the following 3700666; 555322, 3700725; 555325, 553572, 3697322; 553580, 3697314; UTM Zone 13N, North American Datum 3700767; 555345, 3700858; 555350, 553556, 3697287; 553538, 3697302; of 1983 (NAD83) coordinates (E, N): 3700891; 555355, 3700901; 555365, 553538, 3697315. (A) 553337, 3705095; 553357, 3700958; 555379, 3700992; 555392, (K) 555054, 3699844; 555015, 3705102; 553360, 3705067; 553371, 3701014; 555436, 3701152; 555450, 3699840; 555015, 3699840; 555006, 3705041; 553420, 3705010; 553433, 3701200; 555450, 3701241; 555472, 3699890; 555065, 3699975; 555086, 3704982; 553482, 3704987; 553499, 3701247; 555480, 3701271; 555504, 3700030; 555115, 3700032; 555114, 3704955; 553437, 3704946; 553424, 3701300; 555520, 3701303; 555534, 3700030; 555076, 3699953; 555038, 3704909; 553401, 3704883; 553340, 3701340; 555529, 3701451; 555549, 3699915; 555039, 3699861; 555054, 3704906; 553319, 3704879; 553266, 3701492; 555589, 3701560; 555621, 3699844. 3704869; 553274, 3704816; 553240, 3701579; 555656, 3701579; 555669, (ii) Map of Unit 2a for Koster’s 3704797; 553240, 3704623; 553306, 3701602; 555686, 3701610; 555695, springsnail and Roswell springsnail is 3704532; 553300, 3704419; 553280, 3701598. provided at paragraph (5)(ii) of this 3704354; 553287, 3704287; 553338, (C) 554768, 3699378; 554765, entry. 3704221; 553438, 3704145; 553459, 3699345; 554761, 3699217; 554681, * * * * * 3704108; 553499, 3704091; 553533, 3699179; 554608, 3699086; 554569, (h) Crustaceans. 3704059; 553559, 3704024; 553588, 3704004; 553650, 3704024; 553655, 3699029; 554501, 3699079; 554455, * * * * * 3699103; 554488, 3699119; 554497, Noel’s amphipod (Gammarus 3704014; 553654, 3703981; 553699, 3699142; 554543, 3699151; 554539, desperatus) 3703983; 553745, 3703960; 553775, 3699185; 554571, 3699264; 554587, (1) Critical habitat units are depicted 3703978; 553799, 3703979; 553828, 3699280; 554622, 3699291; 554639, for Chaves County, New Mexico, on the 3704003; 553859, 3704016; 553871, 3699320; 554667, 3699343; 554699, maps below. 3704037; 553907, 3704053; 553938, 3699341; 554719, 3699367; 554748, (2) The primary constituent element 3704074; 553964, 3704078; 553983, 3699380; 554768, 3699378. of critical habitat for Noel’s amphipod is 3704080; 553993, 3703978; 553939, (D) 554487, 3699017; 554487, springs and spring-fed wetland systems 3703960; 553917, 3703914; 553903, 3698993; 554435, 3698991; 554392, that: 3703927; 553758, 3703909; 553710, 3698980; 554398, 3699012; 554405, (i) Have permanent, flowing water 3703936; 553656, 3703932; 553567, 3699026; 554410, 3699056; 554427, with no or no more than low levels of 3703940; 553484, 3704010; 553426, 3699057; 554423, 3699035; 554458, pollutants; 3704085; 553396, 3704109; 553357, 3699018; 554487, 3699017. (ii) Have slow to moderate water 3704150; 553270, 3704273; 553271, (E) 554195, 3698145; 554220, velocities; 3704299; 553270, 3704344; 553255, 3698101; 554258, 3698101; 554256, (iii) Have substrates including 3704398; 553274, 3704444; 553254, 3698043; 554224, 3698055; 554210, limestone cobble and aquatic vegetation; 3704540; 553218, 3704577; 553197,

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3704824; 553205, 3704843; 553246, 3704523; 554144, 3704510; 554157, 3704316; 553966, 3704314; 553961, 3704885; 553233, 3704911; 553238, 3704481; 554154, 3704460; 554174, 3704302; 553949, 3704302; 553936, 3704941; 553265, 3704950; 553294, 3704431; 554192, 3704393; 554210, 3704302; 553934, 3704311; 553946, 3704941; 553312, 3705045; 553337, 3704366; 554216, 3704346; 554190, 3704321; 553952, 3704323; 553946, 3705095. 3704357; 554174, 3704365; 554166, 3704332; 553946, 3704353; 553958, (B) 553906, 3704450; 553915, 3704375; 554159, 3704395; 554146, 3704373; 553964, 3704381; 553958, 3704455; 553920, 3704452; 553917, 3704394; 554126, 3704391; 554117, 3704392; 553946, 3704391; 553938, 3704438; 553926, 3704432; 553935, 3704384; 554123, 3704364; 554119, 3704396; 553934, 3704394; 553930, 3704420; 553957, 3704404; 553965, 3704346; 554105, 3704337; 554091, 3704397; 553930, 3704409; 553924, 3704405; 553974, 3704406; 553985, 3704312; 554097, 3704289; 554094, 3704409; 553906, 3704413; 553902, 3704388; 553993, 3704387; 554019, 3704269; 554084, 3704261; 554059, 3704424; 553894, 3704419; 553885, 3704376; 554037, 3704362; 554045, 3704273; 554052, 3704260; 554034, 3704419; 553898, 3704448; 553906, 3704389; 554060, 3704406; 554083, 3704259; 554022, 3704248; 554005, 3704416; 554085, 3704429; 554110, 3704272; 554024, 3704293; 554040, 3704450. 3704452; 554132, 3704457; 554121, 3704300; 554041, 3704321; 554016, (ii) Note: Map of Noel’s Amphipod 3704474; 554106, 3704494; 554102, 3704332; 554006, 3704317; 553974, Critical Habitat Units 1 and 2a follows: 3704531; 554119, 3704531; 554135, 3704323; 553963, 3704324; 553963, BILLING CODE 4310–55–P

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(6) Unit 2a: Springsnail/Amphipod 3703055; 555338, 3703047; 555420, (B) 555695, 3701598; 555603, Impoundment Complex, Chaves County, 3703024; 555458, 3702955; 555442, 3701536; 555568, 3701479; 555565, New Mexico. 3702940; 555422, 3702925; 555406, 3701460; 555559, 3701324; 555532, (i) Land bounded by the following 3702974; 555330, 3703017; 555277, 3701296; 555502, 3701277; 555355, UTM Zone 13N, North American Datum 3703025; 555229, 3703068; 555188, 3700892; 555356, 3700852; 555342, of 1983 (NAD83) coordinates (E, N): 3703090; 555151, 3703125; 555131, 3700778; 555333, 3700694; 555294, (A) 554982, 3703317; 555004, 3703116; 555075, 3703115; 555042, 3700533; 555271, 3700409; 555281, 3703315; 555011, 3703299; 555053, 3703144; 555014, 3703147; 554978, 3700322; 555273, 3700266; 555257, 3703215; 555079, 3703205; 555094, 3703231; 554964, 3703290; 554982, 3700265; 555238, 3700281; 555247, 3703168; 555171, 3703138; 555222, 3703317. 3700304; 555268, 3700316; 555269, 3703093; 555259, 3703078; 555289, 3700343; 555221, 3700433; 555257,

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3700433; 555263, 3700446; 555269, 3699057; 554423, 3699035; 554458, 553766, 3697414; 553739, 3697424; 3700498; 555260, 3700534; 555284, 3699018; 554487, 3699017. 553735, 3697478; 553747, 3697483; 3700550; 555285, 3700567; 555274, (E) 554195, 3698145; 554220, 553764, 3697425; 553795, 3697420; 3700604; 555288, 3700636; 555312, 3698101; 554258, 3698101; 554256, 553820, 3697429; 553849, 3697415; 3700666; 555322, 3700725; 555325, 3698043; 554224, 3698055; 554210, 553880, 3697408; 553905, 3697395; 3700767; 555345, 3700858; 555350, 3698079; 554193, 3698085; 554191, 553921, 3697407; 553928, 3697415. 3700891; 555355, 3700901; 555365, 3698097; 554195, 3698145. (J) 553538, 3697315; 553550, 3697308; 3700958; 555379, 3700992; 555392, (F) 554223, 3697539; 554247, 553572, 3697322; 553580, 3697314; 3697505; 554195, 3697448; 554171, 3701014; 555436, 3701152; 555450, 553556, 3697287; 553538, 3697302; 3697394; 554179, 3697365; 554152, 3701200; 555450, 3701241; 555472, 553538, 3697315. 3697343; 554132, 3697360; 554123, (K) 555054, 3699844; 555015, 3701247; 555480, 3701271; 555504, 3697373; 554155, 3697405; 554167, 3701300; 555520, 3701303; 555534, 3699840; 555015, 3699840; 555006, 3697472; 554223, 3697539. 3699890; 555065, 3699975; 555086, 3701340; 555529, 3701451; 555549, (G) 554070, 3697244; 554099, 3700030; 555115, 3700032; 555114, 3701492; 555589, 3701560; 555621, 3697254; 554134, 3697240; 554127, 3700030; 555076, 3699953; 555038, 3701579; 555656, 3701579; 555669, 3697220; 554096, 3697208; 554071, 3699915; 555039, 3699861; 555054, 3701602; 555686, 3701610; 555695, 3697229; 554070, 3697244. 3701598. (H) 553784, 3697256; 553807, 3699844. 3697291; 553829, 3697279; 553849, (ii) Map of Unit 2a for Noel’s (C) 554768, 3699378; 554765, amphipod is provided at paragraph 3699345; 554761, 3699217; 554681, 3697268; 553881, 3697270; 553911, 3697274; 553931, 3697267; 553979, (5)(ii) of this entry. 3699179; 554608, 3699086; 554569, (7) Unit 3: Rio Hondo, Chaves County, 3699029; 554501, 3699079; 554455, 3697295; 553989, 3697296; 553980, 3697274; 553965, 3697264; 553963, New Mexico. 3699103; 554488, 3699119; 554497, (i) Land bounded by the following 3699142; 554543, 3699151; 554539, 3697246; 553939, 3697239; 553914, 3697242; 553901, 3697230; 553881, UTM Zone 13N, North American Datum 3699185; 554571, 3699264; 554587, of 1983 (NAD83) coordinates (E, N): 3699280; 554622, 3699291; 554639, 3697235; 553872, 3697251; 553848, 3697246; 553833, 3697254; 553829, 554121, 3694838; 554166, 3694847; 3699320; 554667, 3699343; 554699, 3697262; 553821, 3697262; 553799, 554200, 3694673; 554230, 3694507; 3699341; 554719, 3699367; 554748, 3697250; 553784, 3697256. 554247, 3694358; 554277, 3694294; 3699380; 554768, 3699378. (I) 553928, 3697415; 553935, 3697425; 554243, 3694274; 554212, 3694343; (D) 554487, 3699017; 554487, 553952, 3697426; 553941, 3697416; 554196, 3694458; 554164, 3694649; 3698993; 554435, 3698991; 554392, 553940, 3697405; 553942, 3697385; 554121, 3694838. 3698980; 554398, 3699012; 554405, 553927, 3697367; 553852, 3697391; (ii) Note: Map of Noel’s Amphipod 3699026; 554410, 3699056; 554427, 553833, 3697408; 553822, 3697403; Critical Habitat Unit 3 follows:

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* * * * * Dated: May 19, 2011. Eileen Sobeck, Acting Assistant Secretary for Fish and Wildlife and Parks. [FR Doc. 2011–13227 Filed 6–6–11; 8:45 am] BILLING CODE 4310–55–C

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Part III

Commodity Futures Trading Commission

17 CFR Parts 1, 5, 7 et al. Adaptation of Regulations to Incorporate Swaps; Proposed Rule

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COMMODITY FUTURES TRADING disclosure under the Freedom of Members, Committee Members and COMMISSION Information Act, a petition for Consultants confidential treatment of the exempt 10. Regulation 1.63: Service on Self- 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, information may be submitted according Regulatory Organization Governing 41, 140, 145, 155, and 166 to the procedures established in § 145.9 Boards or Committees by Persons With 1 Disciplinary Histories RIN Number 3038–AD53 of the Commission’s regulations. 11. Regulation 1.67: Notification of Final The Commission reserves the right, Disciplinary Action Involving Financial Adaptation of Regulations to but shall have no obligation, to review, Harm to a Customer Incorporate Swaps pre-screen, filter, redact, refuse or 12. Regulation 1.68: Customer Election Not remove any or all of your submission To Have Funds, Carried by a Futures AGENCY: Commodity Futures Trading from http://www.cftc.gov that it may Commission Merchant for Trading on a Commission. deem to be inappropriate for Registered Derivatives Trading Execution ACTION: Notice of proposed rulemaking. publication, such as obscene language. Facility, Separately Accounted for and All submissions that have been redacted Segregated SUMMARY: The Dodd-Frank Wall Street or removed that contain comments on 13. Regulations 1.44, 1.53, and 1.62— Deletion of Regulations Inapplicable to Reform and Consumer Protection Act the merits of the rulemaking will be (‘‘Dodd-Frank Act’’ or ‘‘DFA’’) Designated Contract Markets retained in the public comment file and 14. Appendix C to Part 1: Bunched Orders established a comprehensive new will be considered as required under the and Account Identification statutory framework for swaps and Administrative Procedure Act and other B. Part 7 security-based swaps. The Dodd-Frank applicable laws, and may be accessible C. Part 8 Act repeals some sections of the under the Freedom of Information Act. D. Parts 15, 18, 21, and 36 Commodity Exchange Act (‘‘CEA’’ or FOR FURTHER INFORMATION CONTACT: E. Parts 41, 140 and 145 ‘‘Act’’), amends others, and adds a Peter A. Kals, Attorney-Advisor, 202– F. Part 155 number of new provisions. The DFA G. Other General Changes to CFTC 418–5466, [email protected], or Elizabeth Regulations also requires the Commodity Futures Miller, Attorney-Advisor, 202–418– Trading Commission (‘‘CFTC’’ or 1. Removal of References to DTEFs 5450, [email protected], Division of 2. Other Conforming Changes ‘‘Commission’’) to promulgate a number Clearing and Intermediary Oversight; III. Request for Comment of rules to implement the new David E. Aron, Counsel, at 202–418– IV. Administrative Compliance framework. The Commission has 6621, [email protected], Office of General A. Paperwork Reduction Act proposed numerous rules to satisfy its Counsel; Nadia Zakir, Attorney-Advisor, B. Regulatory Flexibility Act obligations under the DFA. Because the 202–418–5720, [email protected], C. Cost-Benefit Analysis Dodd-Frank Act makes so many changes Division of Market Oversight, I. Background to the existing statutory and regulatory Commodity Futures Trading frameworks, the proposed rules would On July 21, 2010, President Obama Commission, Three Lafayette Centre, 2 make a number of conforming changes 1151 21st Street, NW., Washington, DC signed the Dodd-Frank Act into law. 3 ‘‘ to the CFTC’s regulations to integrate 20581. Title VII of the Dodd-Frank Act ( Title them more fully with the new statutory VII’’) amended the CEA 4 to establish a SUPPLEMENTARY INFORMATION: and regulatory framework (‘‘Proposal’’). comprehensive new regulatory DATES: Comments must be received on Table of Contents framework for swaps and security-based swaps. The legislation was enacted, or before August 8, 2011. I. Background among other reasons, to reduce risk, ADDRESSES: You may submit comments, II. Proposed Regulations increase transparency, and promote identified by RIN number 3038–AD53, A. Part 1 market integrity within the financial by any of the following methods: 1. Regulation 1.3: Definitions a. General Changes system, including by: (1) Providing for • The agency’s Web site, at: http:// b. Amended and New Definitions the registration and comprehensive comments.cftc.gov. Follow the c. Regulation 1.3(ll): Physical regulation of swap dealers (‘‘SDs’’), instructions for submitting comments d. Regulation 1.3(yy): Commodity Interest security-based swap dealers, major swap through the Web site. 2. Regulation 1.4: Use of Electronic participants (‘‘MSPs’’), and major • Mail: David A. Stawick, Secretary of Signatures security-based swap participants; (2) the Commission, Commodity Futures 3. Regulation 1.31: Books and Records; imposing clearing and trade execution Trading Commission, Three Lafayette Keeping and Inspection 4. Regulation 1.33: Monthly and requirements on swaps and security- Centre, 1155 21st Street, NW., Confirmation Statements based swaps, subject to certain Washington, DC 20581. 5. Regulation 1.35: Records of Cash exceptions; (3) creating rigorous • Hand Delivery/Courier: Same as Commodity, Futures and Option recordkeeping and real-time reporting mail above. Transactions regimes; and (4) enhancing the • Federal eRulemaking Portal: http:// 6. Regulation 1.37: Customer’s or Option rulemaking and enforcement authorities www.regulations.gov. Follow the Customer’s Name, Address, and of the Commissions with respect to, instructions for submitting comments. Occupation Recorded; Record of Guarantor or Controller of Account among others, all registered entities and Please submit your comments using 7. Regulation 1.39: Simultaneous Buying intermediaries subject to the only one method. and Selling Orders of Different Commission’s oversight. All comments must be submitted in Principals; Execution of, for and Between Principals English, or if not, accompanied by an 2 See Dodd-Frank Wall Street Reform and English translation. Comments will be 8. Regulation 1.40: Crop, Market Information Letters, Reports; Copies Consumer Protection Act, Public Law 111–203, 124 posted as received to http:// Stat. 1376 (2010). The text of the Dodd-Frank Act Required is available at http://www.cftc.gov/LawRegulation/ www.cftc.gov. You should submit only 9. Regulation 1.59: Activities of Self- information that you wish to make OTCDERIVATIVES/index.htm. Regulatory Employees, Governing Board 3 Pursuant to section 701 of the Dodd-Frank Act, available publicly. If you wish the Title VII may be cited as the ‘‘Wall Street Commission to consider information 1 17 CFR 145.9. Commission regulations referred Transparency and Accountability Act of 2010.’’ that you believe is exempt from to herein are found on the Commission’s website. 4 7 U.S.C. 1 et seq. (2006).

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Title VII added to the CEA two new to reference or include swaps; creating regulation 1.3, including ‘‘associated categories of Commission registrant (i.e., new definitions as necessary in person of a swap dealer or major swap SDs 5 and MSPs 6) and provided a regulation 1.3; amending recordkeeping participant,’’ ‘‘commodity pool definition for associated persons of the requirements to include information on operator,’’ ‘‘commodity trading advisor,’’ foregoing.7 Title VII also added to the swap transactions; adding references to ‘‘futures commission merchant,’’ ‘‘floor CEA compliance obligations for SDs and swaps, swap execution facilities broker,’’ ‘‘floor trader,’’ ‘‘swap data MSPs and revised the definitional scope (‘‘SEFs’’) and derivatives clearing repository,’’ and ‘‘swap execution of each existing intermediary registrant organizations (‘‘DCOs’’) to various part 1 facility.’’ 11 Additionally, the category,8 with the exception of retail regulations; and amending parts 15, 18, Commission is proposing to revise the foreign exchange dealers (‘‘RFEDs’’), to 21, and 36 to implement the DFA’s definition of ‘‘self-regulatory include intermediation activity grandfathering and phase-out of exempt organization’’ (‘‘SRO’’) to include SEFs, a involving swaps. boards of trade and exempt commercial new category of regulated markets under To apply its regulatory regime to the markets. the DFA, and to make clear that DCOs swap activity of intermediaries, the The remaining proposed substantive are SROs.12 Commission must make a number of amendments are changes that would changes to its regulations to conform align requirements or procedures across b. Amended and New Definitions them to the Dodd-Frank Act. These futures and swap markets. They consist The Commission also proposes (1) to changes primarily affect part 1 of the of proposed amendments to regulations simplify or clarify certain existing Commission’s rules, but also affect parts 1.31 and 1.35 that would harmonize regulation 1.3 definitions, and (2) to add 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, current part 1 recordkeeping several new definitions to regulation and 166. To the extent the DFA required requirements with those applicable to 1.3, pursuant to amendments to the CEA the Commission to promulgate rules to SDs and MSPs under proposed part 23 by the Dodd-Frank Act, existing address certain specific DFA sections, regulations and harmonize certain regulations, and other amendments in the Commission has proposed or is in procedures applicable to swaps with the Proposal.13 the process of proposing such rules those applicable to futures. The term ‘‘contract market,’’ for separately. To aid the public in understanding instance, is not defined under the CEA, Today’s Proposal contains the numerous changes to different parts and is currently defined under amendments of three different types: of the CFTC’s regulations explained in regulation 1.3(h) as ‘‘a board of trade ministerial, accommodating, and the Proposal, the Commission will also designated by the Commission as a substantive. Many of the proposed publish on its Web site a ‘‘redline’’ of the contract market under the Commodity amendments are purely ministerial—for affected regulations which will clearly Exchange Act or in accordance with the instance, several proposed changes reflect the proposed amendments and provisions of part 33 of this chapter.’’ In would update definitions to conform deletions.9 certain provisions throughout the them to the CEA as amended by the Commission’s regulations, contract Dodd-Frank Act; add to the II. Proposed Regulations markets are also referred to as Commission’s regulations new terms A. Part 1 ‘‘designated contract markets.’’ Because created by the Dodd-Frank Act; remove both terms are used interchangeably all regulations and references pertaining 1. Regulation 1.3: Definitions within the regulations, the Commission to derivatives transaction execution a. General Changes is proposing to revise the definition to facilities (‘‘DTEFs’’), a category of The Commission proposes to revise mean contract market and designated exchange which was eliminated by the regulation 1.3 so that its definitions, contract market (‘‘DCM’’). Proposed DFA; correct various statutory cross- which are used throughout the references to the CEA in the regulations; regulations, incorporate relevant 11 The DFA amended the definition of and remove regulations in whole or in ‘‘commodity pool operator’’ in CEA section 1a to provisions of the DFA. For instance, add swaps to those contracts for which a CPO part that were rendered moot by the proposed regulation 1.3 updates current solicits investment. DFA section 721(a)(5). In Commodity Futures Modernization Act definitions to conform them to the addition to amending the definition of ‘‘commodity of 2000 (‘‘CFMA’’). Dodd-Frank Act’s amendments of the pool operator’’ in proposed regulation 1.3 to accommodate that revision, the Commission The proposed accommodating same terms in the CEA’s definitions amendments are essential to the proposes to add equivalent language to the section,10 and also includes definitions definition of ‘‘commodity trading advisor’’ in implementation of the DFA in that they specifically added by the Dodd-Frank regulation 1.3. propose to add swaps, swap markets, 12 Act to the CEA. This is the case for Currently, some individual rules specifically and swap entities to numerous include DCO in the definition of SRO, but they are many of the definitions in proposed definitions and regulations, but are not included in the general definition of SRO in more than ministerial because they regulation 1.3. 9 Furthermore, while there are many outstanding 13 The Commission realizes that several earlier require some judgment in drafting. Notices of Proposed Rulemaking (‘‘NPRMs’’) published releases have also proposed to add Accommodating amendments would published by the CFTC, today’s Proposal does not definitions to regulation 1.3, and that these include, among other things, amending reflect those separately proposed amendments, amendments may overlap, e.g., more than one numerous definitions in regulation 1.3 most of which are not yet final. For example, the definition was proposed for regulation 1.3(zz). See Proposal amends regulation 1.3(z) (definition of Agricultural Commodity Definition, 75 FR 65586, ‘‘bona fide hedging transactions and positions’’) to Oct. 26, 2010; Requirements for Derivatives 5 DFA section 721(a)(21), adding CEA section remove certain cross-references, but the Proposal Clearing Organizations, Designated Contract 1a(49), codified at 7 U.S.C. 1a(49). does not also show other amendments to that Markets, and Swap Execution Facilities Regarding 6 DFA section 721(a)(16), adding CEA section definition proposed earlier this year in a separate the Mitigation of Conflicts of Interest, 75 FR 63732, 1a(33), codified at 7 U.S.C. 1a(33). release. See Position Limits for Derivatives, 76 FR Oct. 18, 2010. However, as each rule proposal is 7 DFA section 721(a)(15), adding CEA section 4752, Jan. 26, 2011. All NPRMs are available on the published as a final rulemaking, the Commission 1a(4), codified at 7 U.S.C. 1a(4). Commission’s Web site for the public to review and will ensure that the lettering of paragraphs within 8 Existing intermediary registrant categories provide comment. For a list of all rulemaking regulation 1.3 for newly added definitions is include futures commission merchants (‘‘FCMs’’), proposals related to the Dodd-Frank Act, please correct. Therefore, the Commission requests that the commodity pool operators (‘‘CPOs’’), commodity visit http://www.cftc.gov/LawRegulation/ public review the new definitions proposed today trading advisors (‘‘CTAs’’), introducing brokers DoddFrankAct/Dodd-FrankProposedRules/ for their content only and ignore any (‘‘IBs’’), floor brokers (‘‘FBs’’) and floor traders index.htm. inconsistencies in lettering between the Proposal (‘‘FTs’’). 10 CEA section 1a, 7 U.S.C. 1a. and prior NPRMs.

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regulation 1.3(h) will contain one ‘‘Registered entity,’’ currently provided type of entity the SD or MSP is and definition identified by the title in CEA section 1a(40), as revised by the which regulator oversees that SD or ‘‘Contract market; designated contract Dodd-Frank Act. The definition of MSP.20 For example, if a SD is a market.’’ The current definition also ‘‘registered entity’’ proposed in national bank, it is overseen by the erroneously cross-references part 33 as regulation 1.3 is identical to its CEA Office of the Comptroller of the the DCM provisions of the counterpart and would include DCOs, Currency, and that agency would be the Commission’s regulations. The DCMs, SEFs, swap data repositories ‘‘applicable prudential regulator’’ for the proposed definition would change that (‘‘SDRs’’) and certain electronic trading purposes of proposed regulation 1.31. cross-reference to part 38 of the facilities. To correspond with this new The Commission proposes to add the Commission’s regulations. definition, the Commission also term ‘‘registrant’’ to regulation 1.3 so that The Commission proposes a similar proposes to replace the current ‘‘Member certain regulations in part 1 can refer to clarification regarding the definition of of a contract market’’ definition with a various intermediaries (e.g., FCMs, IBs, ‘‘customer.’’ The Proposal simplifies the new definition of ‘‘Member,’’ which CPOs), their employees (associated definition of ‘‘customer’’ by combining would be nearly identical to the persons), and other registrants (MSPs). two existing definitions, ‘‘Customer; ‘‘Member of a registered entity’’ As discussed above, the Commission commodity customer’’ in regulation definition provided in CEA section also has proposed to add the definition 1.3(k) and ‘‘Option customer’’ in 1a(34), also as revised by the Dodd- of ‘‘registered entity’’ from CEA section regulation 1.3(jj), and adding swaps.14 Frank Act.18 Therefore, the proposed 1a, which refers to DCOs, DCMs, SEFs, Therefore, the ‘‘customer’’ definition ‘‘Member’’ definition would be SDRs, and other entities, to regulation proposed herein would include swap broadened to accommodate newly 1.3. Because the DFA created a customers, commodity customers, and established SEFs, and it would include definition of and several proposed part option customers, and refer to them all those ‘‘owning or holding membership 1 regulations refer to ‘‘associated with the single term, ‘‘customer.’’ in, or admitted to membership persons of swap dealers or major swap Furthermore, the Commission proposes representation on, the registered entity; participants,’’ the Commission proposes to revise all references to ‘‘commodity or having trading privileges on the to add that term to regulation 1.3 as customer’’ and ‘‘option customer’’ registered entity.’’ well. throughout the Commission’s The Commission proposes to add a The Commission also proposes regulations, but particularly in part 1, to definition of the term ‘‘order.’’ This term adding the term ‘‘retail forex customer’’ simply refer to ‘‘customer.’’ 15 These has not previously been defined, to regulation 1.3 because it appears in revisions have retained references to although it is used in several of the several regulations in part 1 and requirements specific to certain regulations, e.g., 1.35, 155.3, and 155.4. currently is only defined in part 5. The contracts.16 In light of this and with the addition of proposed definition is identical in all The Commission proposes to define new categories of registrants (SDs and material respects to the definition of this the term ‘‘confirmation’’ to reflect its MSPs) who act as principals rather than term as it currently appears in differing use in various regulations agents, clarification of this term is regulation 5.1(k).21 depending on whether a transaction is appropriate. The definition would Proposed regulation 1.3 also changes ‘‘ executed by an FCM, IB or CTA on the provide that an order is an instruction certain definitions so that the one hand, or by a SD or MSP on the or authorization provided by a customer Commission’s regulations properly refer other hand. In the first case, the to a futures commission merchant, to both futures and swaps. Additionally, introducing broker, or commodity registrant is acting as an agent. In the for ease of reference, proposed trading advisor regarding trading in a second it is acting as a principal.17 regulation 1.3 would simply adopt commodity interest on behalf of the The Commission also proposes to several terms defined under the CEA, ’’ ‘‘ customer. including ‘‘electronic trading facility,’’ revise the Member of a contract Because amendments to regulation ’’ ‘‘organized exchange,’’ and ‘‘trading market definition currently found at 1.31 also proposed herein incorporate facility.’’ regulation 1.3(q) and to add to the term ‘‘prudential regulator,’’ as regulation 1.3 a definition of the term added to the CEA by the Dodd-Frank c. Regulation 1.3(ll): Physical Act, the Commission proposes to add it 14 Regulation 1.3(ll) defines the term The ‘‘General Regulations and Derivatives 19 Clearing Organizations’’ Federal Register release to regulation 1.3. Pursuant to ‘‘physical’’ as ‘‘any good, article, service, proposed to amend regulation 1.3(k) by adding proposed regulation 1.31, records of right or interest upon which a ‘‘swap customer,’’ but there is nothing unique about swap transactions must be presented, commodity option may be traded in that term requiring it to be separately defined. upon request, to ‘‘any applicable General Regulations and Derivatives Clearing accordance with the Act and these Organizations, 75 FR 77576, Dec. 13, 2010. prudential regulator as that term is regulations,’’ 22 which is similar to the 15 The Commission proposes to remove references defined in section 1a(39) of the Act.’’ ‘‘commodity’’ definition in regulation to commodity customers and option customers, The proposed definition of ‘‘prudential 1.3(e).23 Regulation 1.3(e) defines the replacing them with references to simply regulator’’ in regulation 1.3 is ‘‘customer,’’ in the following regulations: 17 CFR coextensive with the definition in 1.3, 1.20–1.24, 1.26, 1.27, 1.30, 1.32–1.34, 1.35– 20 7 U.S.C. 1a(39), as amended by DFA section 1.37, 1.46, 1.57, 1.59, 155.3, 155.4, and 166.5. section 1a(39) of the Act and lists the 721(a)(17). 16 For example, proposed regulation 1.33 various prudential regulators. Pursuant 21 17 CFR 5.1(k) currently defines ‘‘retail forex (Monthly and confirmation statements) requires an to the definition in section 1a(39) of the customer’’ as ‘‘a person, other than an eligible FCM to document a customer’s positions in futures Act, determining the ‘‘applicable’’ contract participant as defined in section 1a(12) of contracts differently from its option or swap the Act, acting on its own behalf and trading in any positions. Proposed regulation 1.33 preserves these prudential regulator depends upon what account, agreement, contract or transaction distinctions, even though it refers only to described in section 2(c)(2)(B) or 2(c)(2)(C) of the ‘‘customers’’ as opposed to ‘‘commodity customers,’’ 18 In accordance with the removal of DTEF Act.’’ The Proposal would amend this definition in ‘‘option customers,’’ and ‘‘swap customers.’’ references from many other Commission part 5 only to reflect the renumbering of section 1a 17 A single entity could be registered in more than regulations, the proposed ‘‘Member’’ definition of the Act by the DFA, and add an identically one capacity, for example, as both a SD and a CTA. would not include DTEF references currently in the amended definition to regulation 1.3. See infra Part Which rules were applicable would depend on the definition of ‘‘Member of a registered entity’’ found II.G.2. capacity in which it was performing a particular in CEA section 1a(34). See 7 U.S.C. 1a(34). 22 17 CFR 1.3(ll). function. 19 See infra Part II.A.3. 23 17 CFR 1.3(e).

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term ‘‘commodity,’’ in relevant part, as had just been introduced in the form of Commission replace the term ‘‘physical’’ ‘‘all * * * goods and articles * * * and the Chicago Mercantile Exchange’s with some other more suitable term in all services, rights and interests in Eurodollar futures. In that context, in the relevant regulations referencing which contracts for future delivery are proposing rules to permit exchange- current regulation 1.3(ll)? If so, what presently or in the future dealt in.’’ 24 traded options on underlying should the new term be? Should the The word ‘‘physical’’ is used in 45 commodities, it made sense to name Commission take no action, in reliance Commission regulations other than such options based on physical on the ability of interested parties to 25 regulation 1.3(ll). The introductory commodities, which constituted the vast interpret the ‘‘unless the context text of regulation 1.3 states that ‘‘[t]he majority of commodities covered by otherwise requires’’ language of following terms, as used in the then-existing futures contracts. regulation 1.3, or on some other basis? 31 Commodity Exchange Act, or in the At present, however, options may be rules and regulations in this chapter, traded on both physically deliverable d. Regulation 1.3(yy): Commodity shall have the meanings hereby assigned and non-physically deliverable Interest to them, unless the context otherwise commodities, such as interest rates and requires.’’ 26 temperatures. Using the term ‘‘physical’’ The Commission proposes to add The ‘‘physical’’ definition was first to refer to an option on both physically swaps on all commodities within the added to regulation 1.3 in 1983 to deliverable commodities and non- CFTC’s jurisdiction to the definition of enable trading, on DCMs, in options to physically deliverable commodities may ‘‘commodity interest’’ in regulation buy or sell an underlying commodity be confusing on its face.29 Also, the 1.3(yy).32 Commodity interest currently and has not been substantively requirement in the forward exclusion is defined as: ‘‘(1) Any contract for the amended.27 In the Federal Register from the ‘‘swap’’ definition contained in purchase or sale of a commodity for release proposing the addition of CEA section 1a(47)(B)(ii), as amended future delivery; (2) Any contract, regulation 1.3(ll), the Commission stated by Dodd-Frank section 721(a)(21), that a agreement or transaction subject to that ‘‘[t]he proposed definition is sale of a non-financial commodity or Commission regulation under section 4c intended to be coextensive with the security for deferred shipment or or 19 of the Act; and (3) Any contract, Commission’s jurisdiction with respect delivery ‘‘is intended to be physically agreement or transaction subject to to commodity options.’’ 28 At the time of settled’’ would be meaningless if Commission jurisdiction under section that proposal in 1982, cash-settled ‘‘physical’’ included non-physical. As ’’ futures on non-physical commodities 2(c)(2) of the Act. The term noted above, the introductory text of ‘‘commodity interest’’ is cross-referenced regulation 1.3 states that its defined 24 by 33 other Commission regulations and Regulation 1.3(e) tracks 7 U.S.C. 1a(9), as terms have the meanings assigned to renumbered and amended by Dodd-Frank Sections appendices to parts of Commission them in regulation 1.3, unless the 721(a)(1) and (4), respectively. regulations.33 Generally, the term is 25 context otherwise requires. See 17 CFR 1.3(z)(1), 1.3(kk), 1.17(c)(iii), meant to encompass all agreements, 1.17(c)(5)(ii)(A), 1.17(c)(5)(xi), 1.17(j)(1), The Commission requests comment 1.31(b)(3)(iii)(B), 1.33(a)(2)(i), 1.33(a)(2)(ii), on whether any changes to the contracts and transactions within the 1.33(b)(2)(iv), 1.33(b)(3), 1.34(b), 1.35(b)(2)(iii), ‘‘physical’’ definition are necessary or Commission’s jurisdiction, though not 1.35(b)(3)(iii), 1.35(d)(1), 1.35(e), 1.39(a), 1.39(a)(3), all such agreements, contracts and 1.44, 1.44(b), 1.46(a)(iii), 1.46(a)(iv), 4.23(a)(1), warranted. Should the Commission 4.23(b)(1), 4.33(b)(1), 5.13(b)(3), 10.68(b)(1)(i), revise the definition of ‘‘physical’’ to transactions are expressly set forth 15.00(p)(1)(ii), 16.00(a), 16.01(a), 16.01(b), limit it to its common sense meaning? therein.34 18.04(b)(3), 18.04(b)(3)(ii), 18.04(b)(6), 18.04(b)(6)(ii), 31.8(a)(1), 31.8(a)(2)(iii), Should the Commission remove it on 31.8(a)(2)(iv), 31.9(a), 31.9(a)(1), 32.12(a), 32.13(a), the theory that the meaning of Chair, Market Oversight Committee, and Jeremy D. 32.13(e)(2), 33.4, 33.4(a)(4), 33.4(a)(5)(iv), ‘‘physical’’ is self-evident? Should the Weinstein, Member, Environmental Markets 33.4(a)(5)(iv)(A), 33.4(a)(5)(iv)(B), 33.4(a)(5)(iv)(C), Commission address such issues, if at Association (available at http://comments.cftc.gov/ 33.4(a)(5)(iv), 33.4(b)(1)(iii), 33.4(d)(3), 33.7(b), PublicComments/ViewComment.aspx?id=26166& 33.7(b)(1), 33.7(b)(2)(i), 33.7(b)(5), 33.7(b)(6), all, in other rulemakings where they SearchText=ema); Letter from R. Michael Sweeney, 33.7(b)(7)(ii), 33.7(b)(7)(iii), 33.7(b)(7)(iv), arise more directly, such as with respect Jr., Mark W. Menezes, and David T. McIndoe, 33.7(b)(7)(v), and 33.7(b)(7)(x); 17 CFR pt. 36 app. to emission-related commodities as they Hunton & Williams, LLP, on behalf of the Working A (paragraph 3 under PRICE LINKAGE, (c)(3)(ii) relate to the forward exclusion from the Group of Commercial Energy Firms (available at under CORE PRINCIPLE IV OF SECTION 30 http://comments.cftc.gov/PublicComments/ 2(h)(7)(C)—POSITION LIMITATIONS OR swap definition? If so, should the ViewComment.aspx?id=26219&SearchText= ACCOUNTABILITY, (c) under TRADING working%20group). PROCEDURES, (c) under FAIR AND EQUITABLE 29 Moreover, the Commission has recently 31 In a number of cases (e.g., the reference to TRADING, (b)(4) under POSITION LIMITATIONS proposed a rewrite of its options regulations in ‘‘physical safeguards’’ in Regulation 160.30 OR ACCOUNTABILITY); 17 CFR 40.3(a)(4)(ii); 17 parts 32 and 33. References to options on a physical (Procedures to safeguard customer records and CFR pt. 40 app. A Guideline No. 1(a),(c)(2)(ii), and would be removed from part 33, which will apply information); and the reference to ‘‘provide physical (c)(2)(ii)(B); 17 CFR 41.25(c), 41.25(g)(6), 145.7(j), only to DCM-traded options on futures. Options on access to handicapped persons’’ in Regulation 147.3(b)(7)(vi), 149.103, 149.150(b)(2), physicals would be permitted to transact under 149.150 (Program accessibility: Existing facilities)), 149.150(d)(1), 150.3(a)(4)(i)(A), 150.5(b)(1), revised part 32, which permits all options that are the context will make it obvious that the term 150.5(c)(1), and 160.30; 17 CFR pt. 160 app. B swaps under the Dodd-Frank swap definition to ‘‘physical’’ is meant to have its plain meaning. Sample Clause A–7; 17 CFR 190.01(x)(1), transact subject to the same rules applicable to any 32 17 CFR 1.3(yy). 190.01(x)(2), 190.01(kk)(3), 190.01(kk)(4), other swap. See Commodity Options and 33 190.01(kk)(5), 190.01(ll), 190.02(f)(1), 190.05(a)(1), Agricultural Swaps, 76 FR 6095, Feb. 3, 2011. See 17 CFR 1.12, 1.56, 1.59, 3.10, 3.12, 3.21, 190.05(b)(1), 190.05(b)(1)(iii), 190.05(c)(3), 30 The Commission received several comment 4.6, 4.7, 4.10, 4.12– 4.14, 4.22–4.25, 4.30–4.34, 4.36, 190.07(e)(2)(i), 190.07(e)(2)(ii), 190.07(e)(2)(ii)(A), letters regarding environmental commodity issues 4.41, 30.3, 160.3–160.5, and 166.1–166.3; 17 CFR and 190.07(e)(2)(ii)(B); 17 CFR pt. 190 app. A, Form in response to the advance notice of proposed pt. 3 app. B, 17 CFR pt. 4 app. A, and 17 CFR pt. 1, paragraph 4 and Form 4 (Proof of Claim), rulemaking regarding Definitions Contained in Title 190 app. B. paragraphs (c), (d) and (e). VII of Dodd-Frank Wall Street Reform and 34 For example, the term ‘‘contract for the 26 17 CFR 1.3 (emphasis added). Consumer Protection Act, 75 FR 51429, Aug. 20, purchase or sale of a commodity for future delivery’’ 27 See Domestic Exchange-Traded Commodity 2010. See Letter from Kyle Danish, Van Ness in current regulation 1.3(yy)(1) encompasses Options; Expansion of Pilot Program To Include Feldman, P.C., Counsel to the Coalition for options on futures and security futures products. Options on Physicals, 47 FR 56996, Dec. 22, 1982 Emission Reduction Projects (available at http:// Similarly, the term ‘‘swaps’’ if added to proposed and 48 FR 12519, Mar. 25, 1983. comments.cftc.gov/PublicComments/ regulation 1.3(yy) would include mixed swaps. Of 28 Domestic Exchange-Traded Commodity ViewComment.aspx?id=26164& course, the impact of the scope of proposed Options; Expansion of Pilot Program Provisions, 47 SearchText=emission%20reduction); Letter from regulation 1.3(yy) is only as extensive as the other FR 28401, June 30, 1982. Thomas Huetteman, Chairman, Jeffery C. Fort, regulations referencing it.

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The Dodd-Frank Act adds a definition acknowledgment rules cited above, the Commission’s own data delivery of ‘‘swap’’ to the CEA.35 DFA section Commission explained that ‘‘[w]hen one standards, which accompany the 712(d) requires the Commission to party acknowledges the terms of a swap Commission’s requests for production, further define the term ‘‘swap’’ jointly and its counterparty verifies it, the indicate a preference for requested with the Securities and Exchange result is the issuance of a electronic information to be produced in Commission.36 The Commission is confirmation.’’ 43 native file format. The Commission’s proposing to add ‘‘swap’’ to the Regulation 1.4 currently provides that delivery standards provide technical ‘‘commodity interest’’ definition so that an FCM, IB, CPO and CTA receiving an instructions to producers designed to the regulations cross-referencing it will electronically signed document is in enable the Commission to receive such apply to swaps. compliance with Commission information in a machine-readable format that is compatible with the 2. Regulation 1.4: Use of Electronic regulations requiring signed documents, technology used by the Commission. Signatures provided that such entity generally accepts electronic signatures.44 The Recognizing that storage formats vary The Commission proposes to revise rationale for allowing the existing across different types of electronically regulation 1.4 37 to extend the benefit of entities listed in regulation 1.4 to use stored information and to be consistent electronic signatures and other electronic signatures (i.e., ‘‘[a]s part of with current Commission practice and electronic actions to SDs and MSPs. [the Commission’s] ongoing efforts to the Federal Rules of Civil Procedure, the Section 731 of the Dodd-Frank Act facilitate the use of electronic proposed changes to regulations amends the CEA by adding new sections technology and media’’) 45 applies 1.31(a)(1), (a)(2), and (b) would require 4s(i)(1), requiring SDs and MSPs to equally to SDs and MSPs. Therefore, the that: (1) All books and records required ‘‘conform with such standards as may be Commission proposes to add SDs and to be kept by the Act or by the prescribed by the Commission by rule or MSPs to the list of entities covered by Commission’s regulations be kept in regulation that relate to timely and regulation 1.4 and to amend its structure their original (for paper records) or accurate confirmation, processing, to account for the provisions of the native file format (for electronic netting, documentation, and valuation Commission’s proposed confirmation records); and (2) production of such 38 of all swaps,’’ and 4s(i)(2), requiring and acknowledgement obligations records be made in a form specified by the Commission to adopt rules discussed above.46 the Commission. In addition, as ‘‘governing documentation standards for provided in the existing regulation, swap dealers and major swap 3. Regulation 1.31: Books and Records; books and records may continue to be participants.’’ 39 Keeping and Inspection stored on electronic storage media, Pursuant to the foregoing authority, In recent years, the phrase ‘‘books and provided, however, that for electronic the Commission previously proposed records’’ has evolved with respect to the records, the storage media must new regulation 23.501(a)(1), which varying formats used to communicate preserve the native file format of the would require ‘‘[e]ach swap dealer and and store information.47 The Federal electronic records. major swap participant entering into a Rules of Civil Procedure have been Keeping electronic records in their swap transaction with a counterparty revised to reflect this evolution by native file format and producing them that is a swap dealer or major swap requiring producing parties to produce in a format designated by the participant [to] execute a confirmation electronically stored information as Commission should not create any for the swap transaction,’’ according to unreasonable burdens on persons 40 specified in the request, but if not so a specified schedule. Also pursuant to specified, then as they are kept in the required to maintain records under the the foregoing authority, the Commission normal course of business or in a Act and Commission regulations in light has proposed new regulation reasonably usable form.48 Similarly, the of Federal Rule of Civil Procedure 34(b), 23.501(a)(2), which would require which would apply to such persons— ‘‘ [e]ach swap dealer and major swap 43 75 FR at 81522. and all other persons in possession of participant entering into a swap 44 17 CFR 1.4. The regulation also requires that investigatory information—upon the transaction with a counterparty that is the signatures in question comply with applicable filing of an enforcement action in not a swap dealer or a major swap Federal laws and Commission regulations, and Federal district court. Rule 34(b) participant [to] send an requires the relevant entity to employ reasonable permits the requesting party to safeguards regarding the use of electronic acknowledgment of such swap signatures, including safeguards against alteration designate the form or forms in which it transaction,’’ according to a specified of the record of the electronic signature. Id. wants electronically stored information schedule.41 Proposed regulation 45 Use of Electronic Signatures by Customers, produced in order to facilitate its 23.500(a) would define such an Participants and Clients of Registrants, 64 FR usability. This is recognition that ‘‘the ‘‘acknowledgment’’ as ‘‘a written or 47151, Aug. 30, 1999. form of production is more important to 46 This includes proposing a change to the title of electronic record of all of the terms of regulation 1.4 to reflect these changes. Proposed the exchange of electronically stored a swap signed and sent by one regulation 1.4 is entitled ‘‘Use of electronic information than of hard-copy counterparty to the other.’’ 42 In issuing signatures, acknowledgments and verifications.’’ materials.’’49 the proposed confirmation and 47 U.S. Commodity Futures Trading Commission, The Commission also proposes Division of Market Oversight, Advisory for Futures amendments to regulation 1.31 to Commission Merchants, Introducing Brokers, and 35 DFA section 721(a)(47); codified at 7 U.S.C. Members of a Contract Market over Compliance incorporate two books and records 1a(47). with Recordkeeping Requirements, Feb. 5, 2009 obligations that proposed regulation 36 The Commissions have not yet proposed a (http://www.cftc.gov/ucm/groups/public/ ‘‘ ’’ 23.203(b) applies to SDs and MSPs. further definition of the term swap. @industryoversight/documents/file/ 37 Proposed regulation 23.203(b) would 17 CFR 1.4. recordkeepingdmoadvisory0209.pdf) [hereinafter 38 7 U.S.C. 6s(i)(1). Recordkeeping Advisory]. require SDs and MSPs to (1) keep 39 7 U.S.C. 6s(i)(2). 48 Fed. R. Civ. P. 34(b)(2)(E); Fed. R. Civ. P. 34, 40 Confirmation, Portfolio Reconciliation, and advisory committee note, 2006 amendment (‘‘Rule information should be subject to comparable Portfolio Compression Requirements for Swap 34(b) provides that a party must produce requirements to protect against deliberate or Dealers and Major Swap Participants, 75 FR 81519, documents as they are kept in the usual course of inadvertent production in ways that raise Dec. 28, 2010. business or must organize and label them to unnecessary obstacles for the requesting party’’). 41 Id. correspond with the categories in the discovery 49 Fed. R. Civ. P. 34, advisory committee note, 42 Id. request. The production of electronically stored 2006 amendment.

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records of swap or related cash or extend the requirement that an FCM trading cards, signature cards, street forward transactions until the furnish confirmation statements to books, journals, ledgers, canceled termination, maturity, expiration, customers to swaps executed on a checks, copies of confirmations, copies transfer, assignment, or novation date of customer’s behalf and describes what of statements of purchase and sale, and the transaction and for a period of five information such a confirmation all other records, data and memoranda’’ years after such date; and (2) make such statement must contain. In addition, the that have been prepared in the course of records available for inspection not only Commission proposes to amend an FCM’s, an IB’s, or a DCM member’s by the Commission and the United regulation 1.33 to reflect proposed business of dealing in commodity States Department of Justice, but also to changes to the definitions of the terms futures, commodity options, and cash any applicable prudential regulator, as ‘‘commodity interest,’’ ‘‘customer,’’ and commodities. that term is defined in section 1a(39) of ‘‘open contract’’ in regulation 1.3. On February 5, 2009, the the Act, or, in connection with security- Commission’s Division of Market 5. Regulation 1.35: Records of Cash based swap agreements described in Oversight (‘‘DMO’’) issued an advisory Commodity, Futures and Option section 1a(47)(A)(v) of the Act, the stating that ‘‘[t]he Commission’s Transactions United States Securities and Exchange recordkeeping regulations, by their Commission. By contrast, existing The Commission proposes to amend terms, do not distinguish between regulation 1.31, which pertains to ‘‘all regulation 1.35 in several respects. First, whatever medium is used to record the books and records required to be kept by the Commission proposes to revise information covered by the regulations, the Act,’’ requires that records be kept paragraph (a) such that this regulation’s including emails, instant messages, and for five years and that they be made recordkeeping obligations would extend any other form of communication available only to the Commission and to trades executed by FCMs and IBs on created or transmitted electronically.’’ 54 the Department of Justice.50 The SEFs. Those obligations currently apply Thus, the advisory made clear that the Proposal would add to regulation 1.31 only to trades executed on DCMs. existing language of regulation 1.35 the special requirements for swaps and Similarly, the proposed amendments ‘‘appl[ies] to records that are created or cash related transactions in proposed would extend all of the regulation 1.35 retained in an electronic format, regulation 23.203(b). recordkeeping obligations currently including email, instant messages, and The Commission solicits comments applicable to members of DCMs to other forms of communication created on the potential costs and effects of the include ‘‘members,’’ as that term is or transmitted electronically for all proposed new requirement that all proposed to be defined in proposed trading.’’ 55 Accordingly, under the books and records be maintained in regulation 1.3, of SEFs. Commission’s existing regulations, their original form (for paper) and their Second, the proposed revisions FCMs, IBs, and DCM members are native file format (for electronic records) replace the terms ‘‘commodity futures required to retain and produce for as provided in the proposed rule. transactions,’’ ‘‘retail forex exchange inspection any such electronic records, Comment also is requested regarding transactions,’’ and ‘‘commodity option subject to the retention and accessibility whether the retention period for any transactions’’ with the term ‘‘commodity requirements set forth in regulation communication medium (e.g., oral interests.’’ According to the 1.31. communications) should be shorter than Commission’s proposed definition of Notwithstanding the DMO advisory the retention period applicable to other ‘‘commodity interest’’ in regulation 1.3, relating to certain electronic records, the required records. In this regard, the ‘‘commodity interest’’ includes all of the Commission’s existing recordkeeping Commission requests that commenters aforementioned transactions as well as requirements, as they relate to FCMs, specify what the proposed retention swaps. Thus, the Commission proposes IBs and DCM members, remain limited period should be and why. that regulation 1.35’s recordkeeping by a 1996 Commission decision, Gilbert obligations for transactions in futures, v. Lind-Waldock & Co., wherein audio 4. Regulation 1.33: Monthly and commodity options, and retail forex tapes of telephone conversations with Confirmation Statements exchange transactions also apply to customers were found to be beyond the Regulation 1.33 requires FCMs to swaps.52 Pursuant to the Dodd-Frank definition of ‘‘records’’ covered by maintain certain records and to Act, DCMs are permitted to list swaps, regulation 1.35.56 regularly furnish monthly and and FCMs and IBs are permitted to Consequently, where Commission- confirmation statements to customers execute swaps on behalf of customers.53 regulated persons use oral regarding commodity futures and option In relevant part, existing regulation communications, the Commission has transactions they have entered into on 1.35 requires FCMs, IBs, and DCM encountered greater difficulties in behalf of customers. The DFA amended members to ‘‘keep full, complete, and effectively exercising its enforcement the definition of FCM in section 1a of systematic records, together with all responsibilities, thereby increasing the the CEA to authorize an FCM to solicit pertinent data and memoranda, of all potential for market abuses. Such or accept orders for swaps in addition transactions relating to [their] business difficulties have been particularly acute to commodity futures and option of dealing in commodity futures, in cases where the Commission is transactions.51 Therefore, the commodity options and cash required to establish a threshold level of Commission proposes adding commodities,’’ subject to the knowledge and/or intent on the part of requirements for monthly and requirements of regulation 1.31. the actor, such as cases involving confirmation statements applicable to Specifically included among the records market manipulation and false swaps. to be retained under regulation 1.35 are reporting. The Commission’s Proposed regulation 1.33(a)(3) ‘‘all orders (filled, unfilled, or canceled), enforcement success in such cases often describes what information on swap has correlated directly with the positions an FCM must provide in 52 Accordingly, the Commission also proposes to monthly statements to its customers. amend the title of regulation 1.35 to reflect such a 54 See Recordkeeping Advisory, supra note 47, at Proposed regulation 1.33(b)(2) would change. Therefore, proposed regulation 1.35 is 3. entitled ‘‘Records of commodity interest and cash 55 Id. at 4. commodity transactions.’’ 56 [1994–1996 Transfer Binder] Comm. Fut. L. 50 17 CFR 1.31(a) (emphasis added). 53 See 7 U.S.C. 1a(28) and 1a(31), as amended by Rep. (CCH) ¶ 26,720 at 43,992 n.23 (CFTC June 17, 51 DFA section 721(a)(13). DFA sections 721(a)(13) and (a)(15), respectively. 1996).

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existence of high-quality recordings of conversations or communications Consistent with these developments, voice communications between the between the firm and the client or when the proposed change to regulation persons involved. Conversely, the the firm is acting on behalf of a client 1.35(a) would explicitly require FCMs, Commission’s enforcement capabilities with another person) telephone RFEDs, IBs and members of DCMs and have been limited in cases where such conversations (including mobile SEFs to record all oral communications voice recordings were not available. telephones) and keep a copy of relevant that lead to the execution of transactions Significant technological electronic communications that enable in a commodity interest or cash advancements in recent years, the referenced activities to be carried commodity. In addition to increasing particularly with respect to the cost of out. Firms are required to keep consistency across regulatory regimes, capturing and retaining copies of recordings of certain telephone lines for this proposal would harmonize electronic material, including telephone a period of at least six months in a regulation 1.35 with the recordkeeping communications, have made the medium that is readily accessible. requirements proposed for SDs and prospect of enhancing the Commission’s In promulgating this rule, the FSA MSPs under the Dodd-Frank Act.64 The recordkeeping requirements for oral issued guidance stating the following proposed amendments to regulation communications more economically benefits: ‘‘i) recorded communication 1.35 would require that the recorded feasible and systemically prudent. may increase the probability of communications be identifiable by Evidence of these trends was examined successful enforcement; ii) this reduces counterparty and transaction. As noted in March 2008 by the United Kingdom’s the expected value to be gained from above, one of the proposed revisions to Financial Services Authority (‘‘FSA’’), committing market abuse; and iii) this, regulation 1.31 would require that each which studied the issue of mandating in principle, leads to increased market recorded communication be maintained the recording and retention of voice confidence and greater price efficiency.’’ in its native file format and produced in conversations and electronic In determining its policy, the FSA a form specified by any Commission communications. The FSA issued a conducted a cost-benefit analysis, representative. Records of these Policy Statement detailing its findings communications may continue to be and ultimately implemented rules including eight meetings with several trade associations including the stored on electronic storage media, relating to the recording and retention of provided, however, that for electronic such communications, including a rule Securities Industry and Financial ‘‘ ’’ records, the storage media must requiring all financial service firms to Markets Association ( SIFMA ), the International Swaps and Derivatives preserve the native file format of the record any relevant communication by electronic records. Records must be employees on their firm-issued or firm- Association (‘‘ISDA’’), and the Futures and Options Association (‘‘FOA’’). The maintained for a period of five years and sanctioned cell phones that will take shall be readily accessible for the first effect on November 14, 2011.57 Similar FSA report estimated that 80% of telephone lines of its firms that would two years of that five-year period. rules that mandate recording of certain The Commission solicits comments voice and/or telephone conversations need to be recorded were already being recorded at the time of its study.61 on the potential costs and benefits of have been promulgated by the Hong requiring registrants to record and Indeed, the futures industry has Kong Securities and Futures maintain oral communications as 58 ´ imposed a requirement on certain of its Commission and by the Autorite des provided in the proposed rule.65 ´ 59 member firms to tape telephone Marches Financiers in France, and As part of the ministerial amendments conversations with customers since have been recommended by the proposed in this release, the International Organization of Securities 1997. Since then, the National Futures Commission is proposing to renumber Commissions (‘‘IOSCO’’).60 Association (‘‘NFA’’) has required portions of regulation 1.35 so that Under the FSA rules, firms (identified member firms with more than a certain paragraphs currently numbered 1.35(a- generally as those entities conducting percentage of APs who have been 1) and 1.35(a-2) will be renumbered any of the following activities: disciplined to record all telephone 1.35(b) and 1.35(c), respectively. As a receiving, executing, arranging for conversations between the member’s result, paragraphs currently numbered execution of customer orders or APs and both existing and potential 1.35(b), (c), (d) and (e) will be transactions carried out on behalf of the customers for a period of two years. firm) must take reasonable steps to Those recordings must be retained for a record relevant (relevant means from the date the tape was created, the first two period of five years from the date each years in an easily accessible place). tape is created, and the tapes shall be 64 See Reporting, Recordkeeping, and Daily 57 Financial Services Authority, ‘‘Policy readily accessible during the first two Trading Records Requirements for Swap Dealers Statement: Telephone Recording: recording of voice years of the five year period.62 A similar and Major Swap Participants, 75 FR 7666, Dec. 9, conversations and electronic communications’’ 63 2010 (Proposed regulation 23.202(a)(1) would (Mar. 2008); Financial Services Authority, ‘‘Taping: rule exists in the securities industry. require ‘‘[e]ach swap dealer and major swap Removing the mobile phone exemption,’’ (Mar. participant [to] make and keep pre-execution trade 2010); Financial Services Authority, ‘‘Policy 61 See Financial Services Authority, ‘‘Policy information, including, at a minimum, records of all Statement: Taping of Mobile Phones: Feedback on Statement: Telephone Recording: recording of voice oral and written communications provided or CP 10/7 and Final Rules,’’ (Nov. 2010). conversations and electronic communications’’ received concerning quotes, solicitations, bids, 58 Code of Conduct for Persons Licensed by or (Mar. 2008); Financial Services Authority, ‘‘Taping: offers, instructions, trading, and prices, that lead to Registered with the Securities and Futures Removing the mobile phone exemption’’ (Mar. the execution of a swap, whether communicated by Commission para. 3.9 (2010) (H.K.). 2010); Financial Services Authority, ‘‘Policy telephone, voicemail, facsimile, instant messaging, 59 General Regulation of the Autorite´ des Marche´s Statement: Taping of Mobile Phones: Feedback on chat rooms, electronic mail, mobile device or other Financiers art. 313–51 (2010) (Fr.). CP 10/7 and Final Rules’’ (Nov. 2010). digital or electronic media’’). 60 Press Release, International Organization of 62 See Interpretative Notice to NFA Compliance 65 The Commission has received several Securities Commissions, ‘‘IOSCO Publishes Rule 2–9, Supervision of Telemarketing Activity, comments on the costs and benefits associated with Recommendations to Enhance Commodity Futures 9021 (Feb. 18, 1997). its proposed regulation 23.202 Daily Trading Markets Oversight,’’ (Mar. 5, 2009), http:// 63 See NASD Rule 3010, Supervision (the Records (Reporting, Recordkeeping, and Daily www.iosco.org/news/pdf/IOSCONEWS137.pdf. The procedures required by this rule include tape- Trading Records Requirements for Swap Dealers IOSCO members on the committee formulating the recording all telephone conversations between the and Major Swap Participants, 75 FR 76666, Dec. 9, recommendations included Brazil, Canada (Ontario member’s registered persons and both existing and 2010) and will consider those comments in and Quebec), Dubai, France, Germany, Hong Kong, potential customers. All tape recordings made connection with these proposed rules. The Italy, Japan, Norway, Switzerland, the United pursuant to the requirements of this paragraph shall comments are available on the Commission’s Web Kingdom, and the United States. be retained for a period of not less than three years site at http://www.cftc.gov.

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renumbered 1.35(d), (e) (f) and (g), the end of the day of execution and 6. Regulation 1.37: Customer’s or Option respectively. provided to the counterparty. The Customer’s Name, Address, and Because proposed regulation 1.35 Commission requests comment on Occupation Recorded; Record of extends recordkeeping obligations to whether the proposed procedures for Guarantor or Controller of Account swaps, the Commission has proposed handling bunched swap orders would Dodd-Frank Act section 723(a)(3) special language for swaps, where be effective. In particular, the added a new section 2(h)(8) to the CEA appropriate. In paragraph (b)(2) Commission requests comment on to require, among other things, that (proposed (d)(2)) (records of futures, whether allocation can be conducted by swaps subject to the clearing commodity options, and retail forex the end of the day of execution. exchange transactions for each account), requirement of CEA section 2(h)(1) be the Commission has proposed adding The Commission proposes deleting executed either on a DCM or on a SEF. provision (iv). Proposed regulation paragraphs (f)-(l) of regulation 1.35. The DFA established SEFs as a new 1.35(d)(2)(iv) would require FCMs, IBs, Pursuant to the CFMA, regulation 38.2 category of regulated markets for the and any clearing members clearing required DCMs to comply with an purpose of trading and executing swaps executed on a DCM or SEF to enumerated list of Commission swaps.68 Because SEFs are now maintain records describing the date, regulations, and exempted them from all regulated markets under the CEA, many price, quantity, market, commodity, remaining Commission regulations that of the Commission’s existing regulatory and, if cleared, DCO of each swap. were no longer applicable post-CFMA.66 provisions that currently are applicable The Commission recognizes that Paragraphs (f)-(l) of regulation 1.35 are to DCMs also will become applicable to money managers currently execute not among those enumerated regulations SEFs. bunched swap orders on behalf of still applicable to DCMs and, therefore, Accordingly, the Commission clients and allocate the trades to have been moot since regulation 38.2 proposes to amend paragraphs (c) and individual clients post-execution. The took effect. Regulations 1.35(f)-(l) (d) of regulation 1.37, pertaining to Commission believes that the bunched required contract markets: To identify recording foreign traders’ and order procedures currently applicable to floor brokers, floor traders, and clearing guarantors’ names, addresses, and futures can be adapted for use in swap members in a certain manner; to keep business information. Currently, these trading. Therefore, the Commission records indicating the time of trade provisions apply to DCMs and futures proposes to amend subsection (a-1)(5) executions in a certain manner; to and options contracts executed on those (proposed (b)(5)), which addresses post- maintain records of changes in the price facilities. The proposed revision would execution allocation of bunched orders. amend the provisions to also include As discussed below, the Commission of transactions; to demonstrate their effectiveness in complying with SEFs and swap transactions. also is proposing to delete appendix C Additionally, the Commission proposes to part 1, which predated regulation recordkeeping obligations; and to create to amend the title and remaining text of 1.35(a-1)(5) (proposed (b)(5)) and also rules imposing certain recordkeeping requirements on contract market regulation 1.37 to reflect the proposed addresses bunched orders. ‘‘ In order to have a single standard for members. The DCM Core Principles removal of the term option ’’ 69 all intermediaries that might have proposal in December 2010 customer. discretion over customer accounts, the substantially revised part 38, but did not 7. Regulation 1.39: Simultaneous Commission is proposing to include revoke regulation 38.2.67 Buying and Selling Orders of Different FCMs and IBs as eligible account As part of the ministerial amendments Principals; Execution of, for and managers in regulation 1.35(a–1)(5) proposed in this release, the Between Principals (proposed (b)(5)). Unlike other account Commission is proposing to eliminate managers, however, FCMs and IBs are Like regulation 1.37, the Commission from the Commission’s regulations any is proposing to amend regulation 1.39 to prohibited from including proprietary provisions that have been inapplicable trades in a bunched order with customer apply it to SEFs and swaps. Regulation to DCMs since the passage of the CFMA, trades. Accordingly, the Commission is 1.39, which currently applies to and that remain inapplicable after the proposing to add a cross-reference in members of contract markets, governs regulation 1.35(a–1)(5) (proposed (b)(5)) passage of the DFA. Paragraphs (f)-(l) of the simultaneous execution of buy and to regulations 155.3 and 155.4, which regulation 1.35 are among those sell orders of different principals for the impose that restriction on FCMs and provisions. Pursuant to the proposed same commodity for future delivery by IBs, respectively. The Commission removal of paragraph (j) of regulation a member and permits the execution of requests comment on whether the 1.35, the Commission also proposes such orders between such principals on proposal to add FCMs and IBs to the list copying most of that provision into a contract market. The Commission of eligible account managers is proposed subsection (d)(7)(i) (currently proposes to amend this provision to appropriate. (b)(7)(i)). include eligible contract participants The Commission further proposes to Finally, the Commission proposes the (‘‘ECPs’’) on SEFs and registrants, and to amend regulation 1.35(a–1) (proposed following technical correction to include swap transactions. The (b)) to provide that specific customer regulation 1.35(b)(3)(v) (proposed Commission is also amending paragraph account identifiers need not be included (d)(3)(v)): that the final sentence (c) to eliminate the reference to ‘‘cross in confirmations or acknowledgments reference ‘‘commodity futures, retail trades’’ as they are no longer defined provided pursuant to proposed forex, commodity option, or swap books under section 4c(a) of the Act, as regulation 23.501(a), if the requirements and records’’ instead of ‘‘commodity amended by the DFA. of regulation 1.35(a–1)(5) (proposed retail forex or commodity option books (b)(5)) are met. This would enable and records.’’ 68 Section 723(a)(3) of the Dodd-Frank Act account managers to bunch orders for amends section 2(h) of the CEA, providing that with trades executed bilaterally with SDs or respect to transactions involving a swap subject to 66 See 71 FR 1964, Jan. 12, 2006. the clearing requirement of section 2(h)(1) of the MSPs. The proposal would require that, 67 Core Principles and Other Requirements for CEA, counterparties must execute the transaction similar to the current procedure for Designated Contract Markets, 75 FR 80572, Dec. 22, on a DCM or a SEF. futures, the allocation be completed by 2010. 69 See supra note 15 and accompanying text.

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8. Regulation 1.40: Crop, Market 12. Regulation 1.68: Customer Election warehouses, depositories, and other Information Letters, Reports; Copies Not To Have Funds, Carried by a similar entities; visitation of premises), Required Futures Commission Merchant for regulation 1.53 (Enforcement of contract Trading on a Registered Derivatives market bylaws, rules, regulations, and Regulation 1.40 requires FCMs, Transaction Execution Facility, resolutions), and regulation 1.62 RFEDs, IBs and members of contract Separately Accounted for and (Contract market requirement for floor markets to furnish to the Commission Segregated broker and floor trader registration). certain information they publish or circulate concerning crop or market The Commission proposes to remove 14. Appendix C to Part 1: Bunched information affecting prices of regulation 1.68. Regulation 1.68 permits Orders and Account Identification a customer of an FCM to allow the FCM commodities. The Commission is The Commission proposes to to not separately account for and proposing to apply regulation 1.40 to eliminate appendix C to part 1. segregate such customer’s funds if, ECPs trading on SEFs to the extent that Appendix C consists of a Commission among other things, such funds are such ECPs have trading privileges on Interpretation regarding certain account being carried by the FCM to trade on or the SEF. ECPs that do not have trading identification requirements pertaining through the facilities of a DTEF, a privileges on a SEF would not be subject to the practice of combining orders for category of trading organization added to regulation 1.40. The amendments also different accounts into a single order to the CEA by section 111 of the update the forms of communication book, referred to as bunched orders. The CFMA.70 No DTEF has ever registered covered by the regulation by replacing procedures for bunched orders are set with the Commission. Furthermore, the word ‘‘telegram’’ with forth in regulation 1.35(a–1)(5). section 734 of the Dodd-Frank Act ‘‘telecommunication.’’ Accordingly, the procedures under repeals the DTEF provisions in the CEA, appendix C to part 1 are duplicative and effective July 15, 2011. Therefore, 9. Regulation 1.59: Activities of Self- no longer necessary. Regulatory Employees, Governing Board because the statutory provisions Members, Committee Members and underpinning regulation 1.68 will be B. Part 7 Consultants repealed, the Commission proposes to The Commission is proposing to remove it from the Commission’s rename part 7 of the Commission’s The Commission proposes to amend 71 regulations. regulations ‘‘Registered Entity Rules regulation 1.59 to include SEFs and Altered or Supplemented by the swaps. The Commission is also 13. Regulations 1.44, 1.53, and 1.62— Commission,’’ thus reflecting the proposing to amend regulation 1.59(b) Deletion of Regulations Inapplicable to language in section 8a(7) of the Act, as to correct certain cross-references to the Designated Contract Markets amended by the Dodd-Frank Act, which Act and its regulations. Paragraph (c) of The CFMA adopted core principles provides the basis for Part 7. The proposed regulation 1.59 has been for DCMs.72 On August 10, 2001, the Commission is also proposing to make revised to apply only to registered Commission published final rules a similar change in regulation 7.1, implementing provisions of the CFMA, futures associations, as the prohibitions replacing contract market rules with in which it concluded that the CFMA’s contained therein applicable to the registered entity rules. Finally, the framework effectively constituted a other SROs already are addressed in Commission is proposing to remove and broad exemption from many of the proposed regulation 40.9. reserve subparts B (Chicago Mercantile existing regulations applicable to Exchange Rules) and C (Board of Trade 10. Regulation 1.63: Service on Self- DCMs.73 In implementing the of the City of Chicago Rules) and their Regulatory Organization Governing provisions of the CFMA, the final rule associated sections. Boards or Committees by Persons With exempted DCMs from such regulations. Disciplinary Histories Specifically, the final rule codified C. Part 8 The Commission is proposing to regulation 38.2, which required DCMs The Commission proposes to remove amend regulation 1.63 to correct certain to comply with an enumerated list of part 8 of its regulations.74 As part of its cross-references to the Act and its Commission regulations, and exempted implementation of the Dodd-Frank Act, regulations. The Commission also is them from all remaining Commission on December 1, 2010, the Commission proposing to amend paragraph (d) to regulations no longer applicable post- issued a comprehensive NPRM for incorporate the posting of notices CFMA. As part of the ministerial DCMs.75 In the NPRM, the Commission required under that paragraph on each amendments proposed in this release, proposed regulations in ‘‘Subpart N— SRO’s Web site. the Commission is proposing to Disciplinary Procedures’’ of part 38 to eliminate from the Commission’s amend the disciplinary procedure 11. Regulation 1.67: Notification of regulations any provisions that have requirements applicable to DCMs.76 Final Disciplinary Action Involving been inapplicable to DCMs since the Several of the proposed regulations in Financial Harm to a Customer CFMA was enacted and that remain Regulation 1.67 requires contract inapplicable after enactment of the DFA. 74 Regulation 38.2 exempts designated contract Accordingly, the Commission proposes markets from all Commission rules not specifically markets, upon taking any final reserved. 17 CFR 38.2. The Part 8 rules were not disciplinary action involving a member to eliminate the following regulations: Regulation 1.44 (Records and reports of reserved. causing financial harm to a non- 75 Core Principles and Other Requirements for member, to provide notice to the FCM Designated Contract Markets, 75 FR 80572, Dec. 22, 70 Public Law 106–554, 114 Stat. 2763, app. E that cleared the transaction. FCMs and 2010. (2000) (codified at CEA section 5a, 7 U.S.C. 7a). 76 75 FR at 80597. Section 735(a) of the Dodd- other registrants on SEFs should also be 71 The Commission is also proposing to delete all Frank Act eliminates all DCM designation criteria, notified of any disciplinary action other references to DTEFs, except those already including Designation Criterion 6 (Disciplinary involving transactions on a SEF they removed by other proposals, throughout its Procedures). Section 735(b) of the Dodd-Frank Act executed for ECPs. Accordingly, the regulations. See infra Part II.G. creates a new Core Principle 13 (Disciplinary 72 Public Law 106–554, 114 Stat. 2763 (2000). Procedures) that is devoted exclusively to exchange Commission is proposing to amend 73 A New Regulatory Framework for Trading disciplinary proceedings, and captures disciplinary regulation 1.67 to include SEFs, Facilities, Intermediaries and Clearing concepts inherent in both Designation Criterion 6 registrants and ECPs on such facilities. Organizations, 66 FR 42256, Aug. 10, 2001. and in current DCM Core Principle 2.

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subpart N of part 38 are similar to the CEA sections 2(h) and 5d and to replace SEFs and SDRs, as well as new rules text of the disciplinary procedures those references, where appropriate, and rule amendments which present found in part 8 of the Commission’s with references to the Grandfather Relief novel or complex issues that require regulations.77 Although the Commission Orders as the authority under which additional time to analyze, an noted in the DCM NPRM that the ECMs and EBOTs can continue to inadequate explanation by the proposed disciplinary procedures operate. The Commission also proposes submitting registered entity, or a propose new disciplinary procedures for to remove from parts 15, 18, 21, and 36 potential inconsistency with the Act, or inclusion in part 38, the Commission of its regulations references to CEA regulations under the Act. Proposed proposes to remove part 8 from its sections 2(d), 2(g), and 5a, as well as regulation 140.99 also includes SEFs regulations to avoid any confusion that references to DTEFs. and SDRs in the category of registered entities that may petition the could result from those regulations E. Parts 41, 140, and 145 containing two sets of exchange Commission for exemptive relief and disciplinary procedures.78 The effective The Commission also proposes to no-action and interpretative letters. date of any deletion of these part 8 incorporate changes into its regulations Proposed regulation 140.735–3 adds regulations would be contemporaneous to account for other new categories of SEFs and SDRs to the list of entities with the effective date of any changes to registered entities and to include new from which Commission members and the part 38 regulations. products now subject to Commission employees may not accept employment jurisdiction. Section 733 of the Dodd- or compensation. The Commission D. Parts 15, 18, 21, and 36 Frank Act added new section 5h to the proposes adding swaps to those The Commission also proposes to CEA and created SEFs. Section 728 of agreements, contracts or transactions incorporate changes into parts 15, 18, the Dodd-Frank Act added new section Commission staff may not trade. The 21, and 36 of its regulations to account 21 to the CEA and created SDRs. SEFs Commission would like to take this for (1) the DFA’s elimination of two will allow for the trading and clearing opportunity to also add retail forex categories of exempt markets, exempt of swap transactions between ECPs, as transactions, as that term is defined in commercial markets (‘‘ECMs’’) and that term is defined in CEA section regulation 5.1(m), to this list. electronic boards of trade (‘‘EBOTs’’); 1a(18).81 In addition to the amendments Finally, proposed regulation 145.9 and (2) the DFA’s grandfather relief contained in proposed part 37, the expands the definition of ‘‘submitter’’ by provisions for such entities. Commission is proposing additional adding SEFs and SDRs to the list of Section 723 of the DFA strikes CEA amendments throughout the regulations registered entities to which a person’s section 2(h), thus eliminating the ECM to include SEFs and SDRs where confidential information has been category. Section 734 of the DFA strikes necessary. The Commission also submitted, and which, in turn, submit CEA section 5d, thus eliminating the proposes to delete from part 41 that information to the Commission. EBOT category. Section 734 also strikes references to DTEFs as that term was This amendment allows individuals CEA section 5a, thus eliminating the deleted from CEA section 5b by the who have submitted information to a DTEF category of regulated markets Dodd-Frank Act, effective July 15, SEF or SDR to request confidential 82 effective July 15, 2011, as discussed 2011. treatment under regulation 145.9. The proposed changes throughout above. F. Part 155 Both sections 723 and 734 of the parts 140 (Organization, Functions and Dodd-Frank Act contain grandfather Procedures of the Commission) and 145 1. Regulation 155.2: Trading Standards provisions whereby ECMs and EBOTs (Commission Records and Information) for Floor Brokers reflect the need to incorporate SEFs and may petition the Commission to SDRs into the Commission’s regulations The Commission proposes removing continue to operate as ECMs and dealing with the rights and obligations the references to regulation 1.41 within EBOTs. Pursuant to the grandfather of other registered entities. Proposed regulation 155.2 because the provisions, in September 2010, the regulation 140.72 provides the Commission removed and reserved Commission issued orders regarding the Commission with the authority to regulation 1.41 in 2001 (66 FR 42256) treatment of such grandfather petitions disclose confidential information to pursuant to the CFMA. The Commission (the ‘‘Grandfather Relief Orders’’).79 SEFs and SDRs. This provision allows also proposes removing the related Under the Grandfather Relief Orders, the Commission, or specifically reference to former section 5a(a)(12)(A) the Commission may, subject to certain identified Commission personnel, to of the Act. conditions, provide relief to ECMs and disclose information necessary to G. Other General Changes to CFTC EBOTs for up to one year. effectuate the purposes of the CEA, Pursuant to the DFA and the Regulations including such matters as transactions Grandfather Relief Orders, the or market operations. Proposed 1. Removal of References to DTEFs Commission proposes to remove from regulation 140.96 authorizes the The Commission proposes the parts 15, 18, 21 and 36 80 references to Commission to publish in the Federal removal of references to DTEFs and Register information pertaining to the regulations pertaining to DTEFs in parts 77 Paragraph (b)(4) of the acceptable practices for former Core Principle 2 referenced part 8 of the applications for registration of DCMs, 1, 5, 15, 36, 41, 140, and 155 because Commission’s regulations as an example that DCMs section 734 of the DFA abolished could follow to comply with Core Principle 2. 17 continue to operate under the Grandfather Relief DTEFs, effective July 15, 2011.83 CFR pt. 38, app. B, Acceptable Practices for Core Orders. Principle 2 at (b)(4). In its experience, the 81 For a detailed discussion of the proposed rules 2. Other Conforming Changes Commission has found that many DCMs’ as they directly relate to SEFs, see 76 FR 1214, Jan. The Commission also proposes in disciplinary programs do in fact model their 7, 2011. disciplinary structures and processes on part 8. 82 Section 5b of the CEA provided for the various parts of its regulations to update 78 75 FR at 80597. registration of DTEFs. Although secondary 79 75 FR 56513, Sept. 16, 2010. references to DTEFs remain in the act, none of those 83 This proposed rulemaking is not deleting those 80 Part 36 provisions apply to ECMs and EBOTs. would enable an entity to commence operations as DTEF references that other NPRMs have already The Commission is not proposing to delete part 36 a DTEF. The proposed deletions are in regulations proposed deleting from the Commission’s in its entirety because part 36 provisions will 41.2, 41.12, 41.13, 41.21–41.25, 41.27, 41.43 and regulations (e.g., some references in part 3 and all continue to apply to ECMs and EBOTs that 41.49. references in part 40).

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cross-references to CEA provisions, now With respect to all of the part 23 regulations. As members of SEFs renumbered after the passage of the Commission’s collections, the will be newly subject to the part 1 DFA. An example of one such change is Commission will protect proprietary regulations, the Commission must proposed regulation 166.5, in which the information according to the Freedom of estimate the burden of subsection Commission proposes to update the Information Act and 17 CFR part 145, (b)(3)(ii) on these entities and seek OMB statutory reference to ‘‘eligible contract ‘‘Commission Records and Information.’’ approval for this new application of the participant,’’ to reflect the Dodd-Frank In addition, section 8(a)(1) of the subsection. Act’s renumbering of CEA section 1a. Commodity Exchange Act strictly The Commission anticipates that Additionally, where typographical prohibits the Commission, unless members of SEFs may incur certain one- errors or other minor inconsistencies specifically authorized by the Act, from time start-up costs in connection with were discovered while reviewing CFTC making public ‘‘data and information establishing the audit system. This will regulations, the Proposal includes that would separately disclose the include drafting and adopting instructions and proposed regulations to business transactions or market procedures and controls and may correct them. positions of any person and trade include updates to existing secrets or names of customers.’’ The recordkeeping systems. The III. Request for Comment Commission also is required to protect Commission estimates the burden hours The Commission requests comment certain information contained in a associated with these one-time start-up generally on all aspects of the proposed government system of records according costs to be 100 hours. to the Privacy Act of 1974, 5 U.S.C. rules. As discussed in more detail As there will not be any SEFs 552a. above, the Commission also requests operating until after the Dodd-Frank Act comment on: whether any changes to 1. Information To Be Provided by becomes effective in July 2011, it is not the ‘‘physical’’ definition in regulation Reporting Entities/Persons possible for the Commission to estimate with precision how many SEF members 1.3 are necessary or warranted; the a. Proposed Amendments to Regulation potential costs and effects of the there will be or how many of those SEF 1.31 (Books and Records; Keeping and members will be FCMs, SDs, or MSPs proposed new requirements that all Inspection) books and records be maintained in that are being covered by already their original form (for paper) and their Regulation 1.31 describes the manner pending existing information native file format (for electronic in which ‘‘all books and records collections. Nonetheless, the records); whether the retention period required to be kept by the Act’’ must be Commission has estimated that 35 SEFs for any communication medium (e.g., maintained. Most of the requirements of will register with it after the Dodd-Frank oral communications) should be shorter regulation 1.31 are applicable to FCMs, Act becomes effective, and now is than the retention period applicable to IBs, RFEDs, CTAs, CPOs, and members estimating that there may be on average other required records; the potential of DCMs and SEFs in conjunction with 100 members of a SEF that will not fall costs and effects of requiring registrants other part 1 regulations, and the PRA under one of the other collections. to record and maintain oral burdens either have been or will be Accordingly, the aggregate new burden communications; whether the proposal covered by the OMB control numbers of subsection (b)(3)(ii) is estimated to be to add FCMs and IBs to the list of associated with the other part 1 100 one-time burden hours to eligible account managers is regulations. Examples of these other approximately 3,500 SEF members. appropriate; and whether the proposed part 1 regulations are regulation 1.33, The Commission expects that procedures for handling bunched swap which requires certain registrants to compliance and operations managers orders are feasible. produce monthly and confirmation will be employed in the establishment statements, and regulation 1.35, which of the written procedures and controls IV. Administrative Compliance requires the maintenance of records of under subsection (b)(3)(ii). According to cash commodity, futures, and option A. Paperwork Reduction Act recent Bureau of Labor Statistics, the transactions. Regulation 1.31 would also mean hourly wage of an employee The Paperwork Reduction Act be applicable to SDs and MSPs in under occupation code 11–3031, provides that an agency may not conjunction with proposed part 23 ‘‘Financial Managers,’’ that is employed conduct or sponsor, and a person is not regulations.85 by the ‘‘Securities and Commodity required to respond to, a collection of i. Obligation To Develop and Maintain Contracts Intermediation and Brokerage’’ 86 information unless it has been approved Recordkeeping Policies and Controls industry is $74.41. Because members by the Office of Management and of SEFs may be large entities that may Budget (‘‘OMB’’) and displays a Regulation 1.31 additionally contains engage employees with wages above the discrete stand-alone collections for currently valid control number.84 This mean, the Commission has which a control number must be sought. proposed rulemaking contains new conservatively chosen to use a mean Subsection (b)(3)(ii) requires persons collections of information for which the hourly wage of $100 per hour. keeping records using electronic storage Commission must seek a valid control Accordingly, the burden associated with media to ‘‘develop and maintain written number. The Commission therefore is developing written procedures and operational procedures and controls (an submitting this proposal to OMB for its controls will total approximately ‘audit system’) designed to provide review in accordance with 44 U.S.C. $10,000 for each applicable member of accountability over [the entry of records 3507(d) and 5 CFR 1320.11. The title for a SEF on a one-time basis. into the electronic storage media].’’ This these new collections of information is provision is already applicable to FCMs, ii. Representation to the Commission ‘‘Books and Records Requirements for RFEDs, IBs, CTAs, CPOs, and members Certain Registrants and Other Market Members of SEFs will also have to of DCMs, and would be applicable to Participants.’’ Responses to these comply with regulation 1.31(c), which SDs and MSPs pursuant to the proposed information collections would be mandatory. 86 Occupational Employment Statistics, 85 Reporting, Recordkeeping, and Daily Trading Occupation Employment and Wages: 11–3031 Records Requirements for Swap Dealers and Major Financial Managers, http://www.bls.gov/oes/ 84 44 U.S.C. 3501 et seq. Swap Participants, 75 FR 76666, Dec. 9, 2010. current/oes113031.htm (May 2009).

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requires persons employing an complying with 1.33 in respect of a that lead to the execution of transactions electronic storage system to provide a swap confirmation and each monthly in a commodity interest or cash representation to the Commission prior statement to be $74.41 ($74.41 × 1 hour) commodity, whether communicated by to the initial use of the system.87 The for each swap transaction entered into. telephone, voicemail, facsimile, instant Commission estimates the burden of messaging, chat rooms, electronic mail, c. Proposed Amendments to Regulation drafting this representation in mobile device or other digital or accordance with regulation 1.31(c) and 1.35 (Records of Commodity Interest electronic media, with a further submitting it to the Commission to be 1 and Cash Commodity Transactions) requirement that each transaction record hour. The proposed amendments would be maintained as a separate electronic According to recent Bureau of Labor require members of SEFs to comply file identifiable by transaction and Statistics, the mean hourly wage of an with the regulation 1.35 recordkeeping counterparty. employee under occupation code 11– requirements that are currently followed The Commission anticipates that the 3031, ‘‘Financial Managers,’’ (which by FCMs, IBs, RFEDs, and members of aforementioned registrants and includes operations managers) that is DCMs. The Commission anticipates that members of DCMs and SEFs may incur employed by the ‘‘Securities and members of SEFs will spend certain one-time start-up costs in Commodity Contracts Intermediation approximately eight hours per trading connection with establishing a system to and Brokerage’’ industry is $74.41.88 day (or 2,016 hours per year based on retain oral communications. The Because members of SEFs may be large 252 trading days) compiling and Commission estimates that the cost of entities that may engage employees with maintaining transaction records. procuring systems to record these oral wages above the mean, the Commission According to recent Bureau of Labor communications will be $55,000 for an has conservatively chosen to use a mean Statistics, the mean hourly wage of an average large entity that does not hourly wage of $100 per hour. employee under occupation code 11– already have such systems in place, and Accordingly, the burden associated with 3031, ‘‘Financial Managers,’’ (which estimates procurement costs of $10,000 drafting and submitting the includes operations managers) that is for each small entity that does not representation prior to using an employed by the ‘‘Securities and already have such systems in place. electronic storage system would be $100 Commodity Contracts Intermediation The Commission estimates the burden per affected member of a SEF. and Brokerage’’ industry is $74.41.90 hours associated with these start-up costs to be 135 hours for any entity that b. Proposed Amendments to Regulation Because members of SEFs may be large entities that may engage employees with does not already have a system in place. 1.33 (Monthly and Confirmation According to the recent Bureau of Labor Statements) wages above the mean, the Commission has conservatively chosen to use a mean Statistics, the mean hourly wage of The Commission proposes amending hourly wage of $100 per hour. Thus, computer programmers under regulation 1.33 by requiring FCMs to each SEF member will have a burden of occupation code 15–1021 and computer include in their monthly and $201,600 per year (2,016 hours × $100/ software engineers under program codes confirmation statements sent to hour). 15–1031 and 1032 are between $34.10 91 customers certain specified information The proposed amendments to and $44.94. Because members of SEFs related to a customer’s swap positions. regulation 1.35 would also require may be large entities that may engage The information required to be FCMs, RFEDs, IBs, and members of employees with wages above the mean, summarized in respect of swap DCMs to comply with the regulation the Commission has conservatively transactions would be analogous to 1.35 recordkeeping requirements for any chosen to use a mean hourly information currently required to be swap transactions into which they enter. programming wage of $50 per hour for kept in respect of futures and Because the proposed recordkeeping each of the categories of persons who commodity option transactions. The requirements for swaps would be will have to establish the system for Commission estimates the burden of equivalent to the recordkeeping maintaining oral records. Accordingly, complying with regulation 1.33 in requirements they must currently follow the start-up burden associated with respect of swap transactions to be 1 establishing an audit system would be in respect of futures and commodity × hour for each swap confirmation and 1 option transactions, the additional $6,750 ($50 135 hours) per affected hour for each monthly statement. burden for any swap transaction would FCM, IB, RFED, member of a DCM, and According to recent Bureau of Labor be the same for any additional futures member of a SEF. Statistics, the mean hourly wage of an and commodity option transaction for The Commission also estimates that employee under occupation code 11– which they keep records pursuant to each of these persons will have to 3031, ‘‘Financial Managers,’’ (which regulation 1.35 in its current form. The devote one hour per trading day to includes operations managers) that is Commission estimates that the ensure the operation of the system to employed by the ‘‘Securities and recordkeeping burden associated with retain oral records. This would lead to Commodity Contracts Intermediation each swap transaction would be 0.5 $12,600 per year (1 hour per trading day and Brokerage’’ industry is $74.41.89 × × hours, for a total burden of $50 per 252 trading days per year $50/hour) Accordingly the burden associated with transaction. per affected FCM, IB, RFED, member of The proposed amendments to a DCM, and member of a SEF. 87 As with subsection (b)(3)(ii), regulation 1.31(c) regulation 1.35 would also require that is already applicable or will be made applicable by 91 Occupational Employment Statistics, other actions to FCMs, IBs, DCM members, as well each FCM, IB, RFED and member of a Occupational Employment and Wages: 15–1021, as SDs or MSPs pursuant to proposed part 23 DCM or SEF retain all oral and written Computer Programmers, http://www.bls.gov/oes/ regulations. communications provided or received current/oes151021.htm (May 2009); Occupational 88 Occupational Employment Statistics, concerning quotes, solicitations, bids, Employment Statistics, Occupational Employment Occupation Employment and Wages: 11–3031 and Wages: 15–1031, Computer Software Engineers, Financial Managers, http://www.bls.gov/oes/ offers, instructions, trading, and prices, Applications, http://www.bls.gov/oes/current/ current/oes113031.htm (May 2009). oes151031.htm (May 2009); Occupational 89 Occupational Employment Statistics, 90 Occupational Employment Statistics, Employment Statistics, Occupational Employment Occupation Employment and Wages: 11–3031 Occupation Employment and Wages: 11–3031 and Wages: 15–1032, Computer Software Engineers, Financial Managers, http://www.bls.gov/oes/ Financial Managers, http://www.bls.gov/oes/ Systems Software, http://www.bls.gov/oes/current/ current/oes113031.htm (May 2009). current/oes113031.htm (May 2009). oes151032.htm (May 2009).

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d. Amendments to Regulation 1.37 Because SEFs may be large entities will have a significant economic impact (Customer’s Name, Address, and employing persons at wages higher than on a substantial number of small entities Occupation Recorded; Record of the average, the Commission and, if so, provide a regulatory Guarantor or Controller of Account) conservatively estimates the mean flexibility analysis respecting the hourly wage to be $19.03 per hour. impact. The rules proposed by the The Commission proposes amending Thus, the burden associated with Commission are for the most part regulation 1.37(a) by requiring each preparing a record with regulation technical amendments to conform the FCM, IB, and member of a DCM to keep 1.37(c) would be $7.61 ($19.03/hour × affected parts to provisions of the Dodd- the same kind of record (showing the 0.4 hours). Frank Act and, as such, non-substantive. customer’s name, address, occupation or The Commission is also amending its business, and name of any other person e. Amendments to Regulation 1.39 books and records regulations to require guaranteeing the account or exercising (Simultaneous Buying and Selling FCMs, IBs, RFEDs, and members of any trading control over it) for any swap Orders of Different Principals; DCMs to observe recordkeeping transactions it ‘‘carries or introduces’’ for Execution of, for and Between requirements for swaps that they another person. The Commission Principals) currently observe in respect of futures estimates that it will take each of these The Commission proposes amending and commodity option transactions. entities an average of 0.4 hours to gather regulation 1.39, which currently applies Additionally, the Commission is the information and file it or key it into to DCMs, by enabling members of SEFs proposing to apply certain of those the entity’s customer recordkeeping to execute simultaneous buying and books and records regulations to programs. selling orders of different principals members of SEFs, mirroring obligations The Commission also proposes pursuant to rules of the SEF if certain that currently are met by members of amending regulation 1.37(b) by conditions are met. Among those DCMs. The Commission is also requiring each FCM carrying an conditions, a SEF would have to record proposing to add a substantive rule omnibus account for another FCM, a these transactions in a manner that change to regulation 1.35. The foreign broker, a member of a DCM or ‘‘shows all transaction details required substantive rules would affect FCMs, any other person to maintain a daily to be captured by the Act, Commission IBs, RFEDs, and members of DCMs and ’’ record for such account of the total open rule, or regulation. The Commission SEFs. long contracts and the total open short anticipates that the data to be captured Except for the new regulations contracts in each swap. FCMs presently would already exist in the SEF’s trading requiring FCMs, IBs, RFEDs, and system. The Commission estimates that have an equivalent obligation with members of DCMs and SEFs to record it will take the SEF an average of 0.1 respect to futures and commodity all oral communications leading to the hours to capture this data, and storage option transactions. These daily records execution of transactions in a costs of less than $1 per record. typically are maintained in electronic commodity interest or cash commodity, form. Therefore, once a position is According to the recent Bureau of Labor Statistics, the mean hourly wage the Commission has determined that entered into the entity’s systems, the none of the proposed rules will have a daily record will be automatically of computer programmers under occupation code 15–1021 and computer significant economic impact on any available. The Commission estimates substantial number of entities. that entering the position into the software engineers under program codes 15–1031 and 1032 are between $34.10 Additionally, as presented below, the system, commencing with the Commission previously has determined placement of an order and ending with and $44.94.93 Because SEFs may be large entities that may engage or is now determining that all entities execution will take each of these entities except for certain IBs are not small an average of 0.4 hours. employees with wages above the mean, the Commission has conservatively entities for the purposes of the RFA. The Commission additionally Therefore, according to 5 U.S.C. proposes amending regulation 1.37(c) by chosen to use a mean hourly programming wage of $50 per hour for 605(b), the Chairman, on behalf of the requiring SEFs to comply with a each of the categories of persons who Commission, is hereby certifying that all provision that DCMs must currently will have to establish the system for rules except for the oral follow: Keep a record showing the true maintaining oral records. Accordingly, communications recordkeeping rules name, address, and principal the start-up burden associated with the will not have a significant economic occupation or business of any foreign data capture requirements would be an effect on a significant number of small trader executing transactions on the average of $5. entities. A regulatory flexibility analysis facility or exchange. According to addressing the impact of the oral regulation 1.37(d), this provision does B. Regulatory Flexibility Act communications recordkeeping rules on not apply in respect of futures/options/ The Regulatory Flexibility Act certain IBs is provided herein. swaps that foreign traders execute ‘‘ ’’ 94 ( RFA ) requires that agencies 1. FCMs, RFEDs, DCMs, ECPs, and Large through FCMs or IBs. consider whether the rules they propose The Commission estimates that it Traders would take a SEF a total of 0.4 hours to Brokerage, http://www.bls.gov/oes/current/ The Commission has previously prepare each record in accordance with naics4_523100.htm#43-0000 (May 2009). determined that registered FCMs, regulation 1.37(c). According to the 93 Occupational Employment Statistics, RFEDs, DCMs, ECPs, and large traders Occupational Employment and Wages: 15–1021, Bureau of Labor Statistics, the mean Computer Programmers, http://www.bls.gov/oes/ are not small entities for purposes of the hourly wage of an employee under current/oes151021.htm (May 2009); Occupational RFA.95 Accordingly, the Chairman, on occupation code 43–9021, ‘‘Data Entry Employment Statistics, Occupational Employment behalf of the Commission, hereby Keyer,’’ that is employed in ‘‘Office and and Wages: 15–1031, Computer Software Engineers, certifies pursuant to 5 U.S.C. 605(b) that 92 Applications, http://www.bls.gov/oes/current/ Administrative Support’’ is $14.03. oes151031.htm (May 2009); Occupational the proposed rules will not have a Employment Statistics, Occupational Employment 92 Occupational Employment Statistics, National and Wages: 15–1032, Computer Software Engineers, 95 See respectively and as indicated: 47 FR 18618, Industry-Specific Occupational Employment and Systems Software, http://www.bls.gov/oes/current/ 18619, Apr. 30, 1982 (DCMs, FCMs, and large Wage Estimates, NAICS 523100—Securities and oes151032.htm (May 2009). traders); 66 FR 20740, 20743, Apr. 25, 2001 (ECPs); Commodity Contracts Intermediation and 94 5 U.S.C. 601 et seq. and 75 FR 55410, 55416, Sept. 19, 2010 (RFEDs).

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significant economic impact on a Accordingly, the Commission offers, and positions in a form and manner and substantial number of small entities pursuant to 5 U.S.C. 603, the following for such period as may be required by with respect to these entities. initial regulatory flexibility analysis, the Commission.98 which it shall transmit to the Chief 2. SEFs c. A Description of and, Where Feasible, Counsel for Advocacy of the Small an Estimate of the Number of Small SEFs are new categories of registrant Business Administration as 5 U.S.C. 603 Entities To Which the Proposed Rule under the Dodd-Frank Act. Therefore, requires: Will Apply the Commission has not previously a. A Description of the Reasons Why addressed the question of whether SEFs Action by the Agency Is Being There are an estimated 1,500 IBs are, in fact, ‘‘small entities’’ for purposes Considered registered with the Commission at any of the RFA. For the reasons that follow, given time. Between 80 and 90% of the Commission is hereby determining The Commission is considering the these IBs are ‘‘guaranteed introducing that none of these entities would be adoption of the proposed amendments brokers,’’ many of which may be small small entities. Accordingly, the to regulation 1.35 requiring FCMs, entities. There are an estimated 11,500 Chairman, on behalf of the Commission, RFEDs, IBs and DCM and SEF members members of DCMs, some of which may hereby certifies pursuant to 5 U.S.C. to keep records of all oral be small entities. The Commission 605(b) that the proposed rules, with communications leading to the believes, however, that it is likely that respect to SEFs, will not have a execution of transactions in a less than 10% of the members of DCMs significant impact on a substantial commodity interest or cash commodity would be small entities given the capital number of small entities. for several reasons. To begin, such an and other resources they would need to amendment to regulation 1.35 would comply with DCM rules. The Dodd-Frank Act defines a SEF as protect customers from abusive sales a trading system or platform in which practices, would protect registrants from d. A Description of the Projected multiple participants have the ability to the risks associated with transactional Reporting, Recordkeeping, and Other accept bids and offers made by multiple disputes, and would allow registrants to Compliance Requirements of the participants in the facility or system, follow-up more effectively on customer Proposed Rule, Including an Estimate of through any means of interstate complaints of abuses by their associated the Classes of Small Entities Which Will commerce, including any trading persons. Additionally, the amendment Be Subject to the Requirement and the facility that facilitates the execution of would make enforcement investigations Type of Professional Skills Necessary swaps between persons and is not a more efficient by preserving critical for Preparation of the Report or Record DCM. The Commission previously evidence that otherwise may be lost to determined that a DCM is not a small lapsed and inconsistent memories. This, Proposed regulation 1.35 would entity because, among other things, it in turn, is expected to increase the require all FCMs, RFEDs, IBs and may only be designated when it meets success of enforcement actions, which members of DCMs or SEFs to keep specific criteria, including expenditure benefits customers, regulated entities, records of all oral communications that of sufficient resources to establish and and the markets as a whole.96 Finally, lead to the execution of a commodity maintain adequate self-regulatory it is being proposed for regulatory interest or cash commodity transaction. programs. Likewise, the Commission parity, as it has been proposed recently All small IBs and small DCM or SEF will register an entity as a SEF only after for SDs and MSPs as part of their members will be subject to this it has met specific criteria, including the recordkeeping and reporting requirement. The proposed regulation is expenditure of sufficient resources to obligations.97 primarily a recordkeeping requirement, establish and maintain an adequate self- which will obligate those firms that do regulatory program. Moreover, members b. A Succinct Statement of the not already do so to tape the telephone of SEFs, to whom many of the proposed Objectives of, and Legal Basis for, the lines of their traders and sales forces. regulations would apply, additionally Proposed Rule Maintenance of these oral are not small entities for the purposes of As stated above, the objective of the communications for five years will the RFA. As noted above, the proposed amendment to regulation 1.35 require investments in hardware, Commission previously determined that is to protect the market participants and software, and information technology ECPs are not small entities, and the the public, as well as to increase market personnel, all of which will be scalable Dodd-Frank Act provides that only ECPs integrity. In terms of the legal basis for to the size of the enterprise. There may can enter into swaps on a SEF. this proposed rule, the Commission has be periodic reporting requirements, Accordingly, as with DCMs, the been authorized by sections 4g and 8a(5) most frequently in response to a Commission is hereby determining that of the CEA to adopt regulations subpoena from the Commission, any SEFs and members of SEFs are not requiring registrants to keep books and other federal agency that has regulatory ‘‘small entities’’ for purposes of the RFA. records pertaining to such transactions or civil enforcement authority over the firm, and the markets in which it 3. Regulatory Flexibility Analysis for 96 In promulgating its own taping rule, the conducts business, as well as law Oral Communication Rules Applicable Financial Services Authority issued guidance enforcement. to IBs stating the following benefits: ‘‘(i) Recorded communication may increase the probability of e. Identification, to the Extent The Commission has not previously successful enforcement; (ii) this reduces the Practicable, of All Relevant Federal determined that IBs are not ‘‘small expected value to be gained from committing Rules Which May Duplicate, Overlap or entities’’ for the purposes of the RFA. market abuse; and (iii) this, in principle, leads to increased market confidence and greater price Conflict With the Proposed Rule Historically, the Commission has efficiency.’’ See Financial Services Authority, evaluated within the context of a ‘‘Policy Statement: Telephone Recording: recording The Commission has not identified particular regulatory proposal whether of voice conversations and electronic any Federal rules which may duplicate, all or some affected IBs would be communications’’ (Mar. 2008). overlap, or conflict with the proposed 97 See Reporting, Recordkeeping, and Daily rule. Certain firms may be obligated to considered to be small entities and, if Trading Records Requirements for Swap Dealers so, the economic impact on them of the and Major Swap Participants, 75 FR 76666, Dec. 9, particular regulation. 2010. 98 7 U.S.C. 6g and 12a(5).

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retain oral communications by rule of a Statement addressing these and other and regulated entities. The Commission private SRO. issues.99 understands that registrants and regulated entities already retain C. Cost-Benefit Analysis f. Description of Any Significant electronic records in these forms. Alternatives to the Proposed Rule Section 15(a) of the CEA 100 requires Moreover, to the extent that a Which Accomplish the Stated the Commission to consider the costs registrant’s transactional activity is Objectives of Applicable Statutes and and benefits of its actions before retained on a platform operated by or Which Minimize Any Significant promulgating a regulation under the additionally is captured by a regulated Economic Impact of the Proposed Rule CEA. Section 15(a) specifies that the entity, trading mechanism, on Small Entities costs and benefits shall be considered clearinghouse or another regulated against five broad areas of market and entity (for example, where an IB The Commission has identified no public concern: (1) Protection of market transacts through an FCM) that is significant alternatives that may participants and the public; (2) required to maintain these records in minimize any significant economic efficiency, competitiveness and the same form, the registrant may rely impact of the proposed rule amendment financial integrity of futures markets; (3) on the retention requirements of the on small entities. Clarification, price discovery; (4) sound risk other registrant in order to comply with consolidation, or simplification of management practices; and (5) other the proposed requirements of regulation compliance and reporting requirements public interest considerations. The 1.31. would leave a large portion of the sales Commission may give greater weight to operations in the futures industry b. Amendments to Regulation 1.33, 1.35, one or more of the five enumerated uncovered, and in consequence, the 1.37, and 1.39 considerations to determine, in its customers that transact business with discretion, that a particular rule is The proposed regulations would them. Moreover, the benefits from the necessary or appropriate to protect the require FCMs, IBs, RFEDs, DCMs and enforcement of the CEA by the public interest or to effectuate any of the members of DCMs to comply with the Commission and by the Department of provisions or accomplish any of the same recordkeeping functions for swaps Justice at the criminal level would be purposes of the CEA. that they currently adhere to with lost. Finally, leaving a large portion of respect to futures and commodity the sales operations uncovered by this 1. Costs option transactions. The Commission rule could create regulatory arbitrage, a. Amendments to Regulation 1.31 anticipates that in complying with causing large entities subject to this rule amended regulations 1.33, 1.35, 1.37 With respect to costs, the Commission to move their sales operations into a and 1.39, the aforementioned persons has determined that for FCMs, IBs, series of small firms. The same would will already have the framework for CPOs, CTAs and members of DCMs, apply for exemptions. producing and storing records and costs to institute recordkeeping systems would only make adjustments as Given the foregoing, the Commission to retain swap records for the life of the has determined to treat equally all necessary to provide the additional swap (i.e., until the termination, information regarding swaps. Because entities that engage in oral maturity, expiration, transfer, communications that lead to the the recordkeeping requirements in assignment, or novation date of the respect of swaps would be equivalent to execution of commodity interest and transaction) and for five years after that cash commodity transactions. the existing recordkeeping requirements date would be far outweighed by the for futures and commodity option To the extent that certain IBs and benefits to the financial system as a transactions, the cost of complying with members of DCMs and SEFs are whole. The Commission is not imposing the proposed amendments should not impacted by the proposed amendments, any cost that a prudent FCM, IB, CPO, differ materially from the cost of the RFA analysis focuses on whether the CTA, and DCM member would not recording additional futures or proposed amendments will have a already incur in maintaining records for commodity option transactions. significant economic impact on a swap transactions. A prudent registrant The Commission has also amended substantial number of small entities. At would retain a swap record for the life the aforementioned recordkeeping present, such entities are subject to of the swap to ensure that its rights regulations by applying them to SEFs certain recordkeeping retention and under the contract are protected and its and their members. These persons will reporting requirements, based on the obligations are fulfilled. therefore need to factor in the costs in nature of their respective businesses; the As to the proposed requirements that complying with these regulations before proposed amendments would augment records be kept in their original form commencing their operations. the existing recordkeeping retention and (for paper records) and native file format reporting requirements of these firms. (for electronic records), that the method c. Amendments to Regulation 1.35 The Commission understands that of storage maintains electronic records (Records of Oral Communications). recent advancements in technology, in their native file format, and that the To the extent FCMs, RFEDs, IBs, particularly with respect to capturing records be produced to the Commission members of DCMs, and members of records and storing such records, will in a form specified by the Commission, SEFs enter into transactions in a enable all affected entities, including the Commission is not imposing commodity interest or cash commodity, small entities, to incorporate into their significant new burdens on registrants the newly proposed requirements under existing recordkeeping programs the regulation 1.35 would require them to enhanced requirements set forth in the 99 Financial Services Authority, ‘‘Policy record all oral communications that lead proposed amendments, without Statement: Telephone Recording: recording of voice conversations and electronic communications’’ to the execution of transactions in a encountering a significant economic (Mar. 2008). In addition to the rules promulgated commodity interest or cash commodity. impact. The United Kingdom’s FSA, by the Financial Services Authority, similar rules As described above, it is expected that which recently adopted similar which mandate recording of certain voice and/or any additional cost imposed by the recordkeeping requirements, discussed telephone conversations have been promulgated by the Comissa˜o de Valores Mobilia´rios in Brazil and recordkeeping requirements of proposed the declining costs of such by the Autorite´ des Marche´s Financiers in France. amendments to regulation 1.35 would recordkeeping programs in a Policy 100 7 U.S.C. 19(a). be minimal for the average large FCM,

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RFED, IB, or DCM or SEF member public at large by ensuring that an audit probability of timely successful because the information and data trail is maintained for routine enforcement of the CEA and required to be recorded is information compliance examinations, in the event Commission regulations, particularly in and data a prudent FCM, RFED, IB, or of counterparty complaints, or in case of cases involving suspected fraud, market DCM or SEF member would already other events that may trigger an manipulation and/or false reporting, by maintain during the ordinary course of investigation by the Commission and deterring market abuses, and its business.101 Moreover, most FCMs, other government agencies. additionally by reducing the expected value to be gained from committing RFEDs, IBs, or members of DCMs or b. Amendments to Regulations 1.33, market abuse. The Commission believes SEFs have adequate existing resources, 1.35, 1.37, and 1.39 technology systems, and recordkeeping that increasing the quantity and quality structures that are capable of adjusting The Commission believes that there of contemporaneous records that to the new regulatory framework are significant benefits in requiring affected persons must retain, as without material diversion of resources FCMs, IBs, RFEDs, DCMs and members provided under the proposed away from commercial operations. of DCMs to comply with the same amendments, will protect market The Commission also believes that recordkeeping functions for swaps that participants and the public from harm such costs would be minimal for the they currently adhere to with respect to by wrongdoers. Such increases in the average small IB or member of a SEF futures and commodity option quantity and quality of who does not have digital telephone transactions. The Commission also contemporaneous records will enable systems in place and may not have believes that there are significant the Commission to more fully and robust or up-to-date electronic data benefits in requiring SEFs and members accurately establish the knowledge and saving and storage capacity. of SEFs to comply with certain of the intent of wrongdoers at the time of their recordkeeping functions contained in wrongful acts. The Commission believes 2. Benefits regulations 1.33, 1.35, 1.37 and 1.39. that the enhanced protection of market a. Amendments to Regulation 1.31. First is the issue of regulatory parity: participants and the public outweighs Because many swaps will be executed the costs that may be borne by persons The Commission believes that the on trading platforms, they should be benefit of requiring FCMs, IBs, CPOs, under the proposed amendments who subject to the same recordkeeping do not already maintain oral CTAs, and DCM and SEF members to requirements as futures and commodity maintain swap records for the life of the communications. options. Moreover, these recordkeeping Second, the Commission anticipates swap (i.e., until the termination, rules are fundamental to the that the proposed amendments will lead maturity, expiration, transfer, Commission’s efforts to maintain an to increased market confidence and assignment, or novation date of the orderly marketplace and to remain greater price efficiency by reducing the transaction) and for five years after that informed about market positions. expected value to be gained from date is significant, as is the requirement c. Amendments to Regulation 1.35 committing market abuse, thereby to maintain records in their native deterring such inefficient acts. By (Records of Oral Communications) format. Proposed regulation 23.203(b)(2) requiring the recording of oral has already proposed requiring SDs and The proposed amendments to communications, which could be MSPs to maintain swap records for the regulation 1.35 would newly require evidence of anti-competitive behavior, life of the swap and for five years after FCMs, RFEDs, IBs, and DCM and SEF the proposed amendments will termination, maturity, expiration, members to comply with regulation 1.35 discourage anti-competitive behavior, transfer, assignment, or novation date of for any swap transactions into which thereby enhancing competition. the transaction.102 It would therefore be they enter. The benefit of this Third, the Commission believes that inconsistent not to require other amendment is significant because it the proposed amendments, by registrants, as well as DCM and SEF requires these registrants to perform the increasing the probability of timely members to have the same obligation for same recordkeeping functions for swaps successful enforcement of the CEA and swap records that they keep. The five- that they already perform for futures Commission regulations, and by year retention period, which already transactions, which protect the integrity deterring market abuses, will benefit the applies to records for futures and and efficiency of the markets, market financial integrity of futures markets commodity option transactions, is participants, and the public at large by and lead to more effective price meant to protect market participants, ensuring that these records are available discovery. The Commission anticipates the integrity of the market, and the in the event of customer disputes, that such benefits will be achieved routine compliance examinations, and through the resultant enhanced 101 The Commission preliminarily has determined regulatory investigations. investigative capabilities in cases that any additional cost imposed by the Notwithstanding the potential costs recordkeeping requirements of proposed regulation involving suspected fraud, market 23.202(a)(1) (which has an analogous requirement described above that could be incurred manipulation, and/or false reporting. for SDs and MSPs relating to retention of oral and by FCMs, RFEDs, IBs, and DCM and SEF Fourth, the Commission believes that written communications that lead to the execution members in complying with the the enhanced investigative and of swaps) ‘‘would be minimal because the proposed amendments that would enforcement capabilities made possible information and data required to be recorded is information and data a prudent swap dealer or newly require them to record all oral under the proposed amendments major swap participant would already maintain communications that lead to the ultimately will decrease the likelihood during the ordinary course of its business,’’ and execution of a transaction in a that incidents of wrongdoing, ‘‘[m]oreover, most swap dealers and major swap commodity interest or cash commodity, particularly with respect to cases of participants have adequate, existing resources and recordkeeping structures that are capable of the Commission believes the benefits of fraud, market manipulation and/or false adjusting to the new regulatory framework without the proposed amendments are reporting, will go undetected or material diversion of resources away from significant and important. unproven. The Commission believes commercial operations.’’ See Reporting, First, the Commission believes that that the cumulative impact of the Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap the proposed amendments will enhance proposed amendments will result in Participants, 75 FR 76666, 76673, Dec. 9, 2010. the protection of market participants more successful prosecutions of 102 75 FR 76666, Dec. 9, 2010. and the public by increasing the wrongdoing under the CEA as well as

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fewer market abuses being committed, 17 CFR Part 21 b. Removing and reserving paragraphs which will benefit both market Brokers, Commodity futures, (jj) and (uu); and participants and the general public. Reporting and recordkeeping c. Adding paragraphs (zz), (aaa), (bbb), After considering these factors, the requirements, Grandfather relief order. (ccc), (ddd), (eee), (fff), (ggg), (hhh), (iii), Commission has determined to propose (jjj), (kkk), and (lll), to read as follows: the amendments described above. The 17 CFR Part 36 § 1.3 Definitions. Commission invites public comment on Commodity futures, Commodity its application of the cost-benefit Futures Trading Commission, Electronic (a) Board of Trade. This term means provision. Commenters also are invited trading facility, Eligible commercial an organized exchange or other trading to submit, with their comment letters, entities, Eligible contract participants, facility. any data that quantifies the costs and Federal financial regulatory authority, (b) Business day. This term means any benefits of the proposed amendments. Principal-to-principal, Special calls, day other than a Sunday or holiday. In Other than the foregoing, these Systemic market event. all notices required by the Act or by the rules and regulations in this chapter to proposed rules do not impose any 17 CFR Part 41 substantive regulatory obligations on be given in terms of business days the any person. Rather, the Commission is Brokers, Reporting and recordkeeping rule for computing time shall be to adopting technical amendments to requirements, Security futures products. exclude the day on which notice is conform to the Dodd-Frank Act. 17 CFR Part 140 given and include the day on which Accordingly, there are no quantifiable shall take place the act of which notice costs associated with this rulemaking Authority delegations (Government is given. other than those discussed above. The agencies), Conflict of interests, (c) Clearing member. This term means sole qualitative benefit associated with Organizations and functions any person who is a member of, or this rulemaking, other than as discussed (Government agencies). enjoys the privilege of clearing trades in above, is accuracy. 17 CFR Part 145 his own name through, the clearing organization of a designated contract List of Subjects Confidential business information, market. Freedom of information. 17 CFR Part 1 (d) Clearing organization. This term 17 CFR Part 155 Agricultural commodity, Agriculture, means the person or organization which Brokers, Committees, Commodity Brokers, Commodity futures, acts as a medium for clearing futures, Conflicts of interest, Consumer Consumer protection, Reporting and transactions in commodities for future protection, Definitions, Designated recordkeeping requirements, Swaps. delivery or commodity option transactions, or for effecting settlements contract markets, Directors, Major swap 17 CFR Part 166 participants, Minimum financial of contracts for future delivery or requirements for intermediaries, Brokers, Commodity futures, commodity option transactions, for and Reporting and recordkeeping Consumer protection, Reporting and between members of any designated requirements, Swap dealers. recordkeeping requirements, Swaps. contract market. For the reasons stated in the (e) Commodity. This term means and 17 CFR Part 5 preamble, under the authority of 7 includes wheat, cotton, rice, corn, oats, Bulk transfers, Commodity pool U.S.C. 1 et seq., the Commodity Futures barley, rye, flaxseed, grain sorghums, operators, Commodity trading advisors, Trading Commission proposes to amend millfeeds, butter, eggs, Irish potatoes, Consumer protection, Customer’s Chapter I of Title 17 of the Code of wool, wool tops, fats and oils (including money, Securities and property, Federal Regulations as set forth below: lard, tallow, cottonseed oil, peanut oil, Definitions, Foreign exchange, soybean oil, and all other fats and oils), Minimum financial and reporting PART 1—GENERAL REGULATIONS cottonseed meal, cottonseed, peanuts, requirements, Prohibited transactions in UNDER THE COMMODITY EXCHANGE soybeans, soybean meal, livestock, retail foreign exchange, Recordkeeping ACT livestock products, and frozen concentrated orange juice, and all other requirements, Retail foreign exchange 1. The authority citation for part 1 is goods and articles, except onions (as dealers, Risk assessment, Special calls, revised to read as follows: Trading practices. provided by the first section of Pub. L. Authority: 7 U.S.C. 1a, 2, 2a, 5, 6, 6a, 6b, 85–839) and motion picture box office 17 CFR Part 7 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6l, 6m, 6n, 6o, receipts (or any index, measure, value or 6p, 6r, 6s, 7, 7a-1, 7a-2, 7b, 7b-3, 8, 9, 10a, data related to such receipts), and all Commodity futures, Consumer 12, 12a, 12c, 13a, 13a-1, 16, 16a, 19, 21, 23, protection, Registered entity. and 24, as amended by Title VII of the Dodd- services, rights and interests (except Frank Wall Street Reform and Consumer motion picture box office receipts, or 17 CFR Part 8 Protection Act, Pub. L. 111–203, 124 Stat. any index, measure, value or data Commodity futures, Reporting and 1376 (2010). related to such receipts) in which contracts for future delivery are recordkeeping requirements. 2. Amend § 1.3 by: presently or in the future dealt in. 17 CFR Part 15 a. Revising paragraphs (a), (b), (c), (d), (e), (g), (h), (k), (n), (p), (q), (r), (s), (t), * * * * * Brokers, Commodity futures, (x), (y) introductory text, (y)(1), (y)(2) (g) Institutional customer. This term Reporting and recordkeeping introductory text, (y)(2)(iii)(B), has the same meaning as ‘‘eligible requirements, Electronic trading facility. (y)(2)(iii)(C), (y)(2)(v)(B), (y)(2)(v)(C), contract participant’’ as defined in section 1a(18) of the Act. 17 CFR Part 18 (y)(2)(vii), (y)(2)(viii), (z)(1), (aa)(1)(i), (aa)(2)(i), (aa)(5), (bb), (cc), (ee), (ff), (gg), (h) Contract market; designated Commodity futures, Reporting and (ii), (kk), (mm)(1), (mm)(2) introductory contract market. These terms mean a recordkeeping requirements, text, (mm)(2)(i), (nn), (oo), (pp), (rr)(2), board of trade designated by the Grandfather relief order. (ss), (tt), (vv), (xx), and (yy); Commission as a contract market under

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the Act or in accordance with the (i) Owning or holding membership in, (ii) Any commodity option authorized provisions of part 38 of this chapter. or admitted to membership under section 4c of the Act; or * * * * * representation on, a registered entity; or (2) Who is registered with the (k) Customer. This term means any (ii) Having trading privileges on a Commission as a floor trader. person who uses a futures commission registered entity. (y) Proprietary account. This term merchant, introducing broker, (2) A participant in an alternative means a commodity futures, commodity commodity trading advisor, or trading system that is designated as a option, or swap trading account carried commodity pool operator as an agent in contract market pursuant to section 5f of on the books and records of an connection with trading in any the Act is deemed a member of the individual, a partnership, corporation or commodity interest; Provided, however, contract market for purposes of other type of association: an owner or holder of a proprietary transactions in security futures products (1) For one of the following persons, account as defined in paragraph (y) of through the contract market. or this section shall not be deemed to be (r) Net equity. (1) For futures and (2) Of which ten percent or more is a customer within the meaning of commodity option positions, this term owned by one of the following persons, section 4d of the Act, the regulations means the credit balance which would or an aggregate of ten percent or more that implement sections 4d and 4f of the be obtained by combining the margin of which is owned by more than one of Act and § 1.35, and such an owner or balance of any person with the net profit the following persons: holder of such a proprietary account or loss, if any, accruing on the open * * * * * shall otherwise be deemed to be a futures or commodity option positions (iii) * * * customer within the meaning of the Act of such person. (B) The handling of the trades of and §§ 1.37 and 1.46 and all other (2) For swap positions other than customers or customer funds of such sections of these rules, regulations, and commodity option positions, this term partnership, orders which do not implement sections means the credit balance which would (C) The keeping of records pertaining 4d and 4f of the Act. be obtained by combining the margin to the trades of customers or customer * * * * * balance of any person with the net profit funds of such partnership, or (n) Floor broker. This term means any or loss, if any, accruing on the open * * * * * person: swap positions of such person. (v) * * * (1) Who, in or surrounding any pit, (s) Net deficit. (1) For futures and (B) The handling of the trades of ring, post or other place provided by a commodity option positions, this term customers or customer funds of such contract market for the meeting of means the debit balance which would individual, partnership, corporation or persons similarly engaged, shall be obtained by combining the margin association, purchase or sell for any other person— balance of any person with the net profit (C) The keeping of records pertaining (i) Any commodity for future delivery, or loss, if any, accruing on the open to the trades of customers or customer security futures product, or swap; or futures or commodity option positions funds of such individual, partnership, (ii) Any commodity option authorized of such person. corporation or association, or under section 4c of the Act; or (2) For swap positions other than * * * * * (2) Who is registered with the commodity option positions, this term Commission as a floor broker. (vii) A business affiliate that directly means the debit balance which would or indirectly controls such individual, * * * * * be obtained by combining the margin (p) Futures commission merchant. partnership, corporation or association; balance of any person with the net profit or This term means: or loss, if any, accruing on the open (1) Any individual, association, (viii) A business affiliate that, directly swap positions of such person. or indirectly is controlled by or is under partnership, corporation, or trust— (t) Open positions. This term means: (i) Who is engaged in soliciting or in common control with, such individual, (1) Contracts of purchase or sale of accepting orders for the purchase or sale partnership, corporation or association. any commodity made by or for any of any commodity for future delivery; a Provided, however, That an account person on or subject to the rules of a security futures product; a swap; any owned by any shareholder or member of board of trade for future delivery during agreement, contract, or transaction a cooperative association of producers, a specified month or delivery period described in section 2(c)(2)(C)(i) or within the meaning of section 6a of the that have neither been fulfilled by section 2(c)(2)(D)(i) of the Act; a Act, which association is registered as a delivery nor been offset by other commodity option authorized under futures commission merchant and contracts of purchase or sale in the same section 4c of the Act; a leverage carries such account on its records, shall commodity and delivery month; transaction authorized under section 19 be deemed to be an account of a (2) Commodity option transactions of the Act; or acting as a counterparty customer and not a proprietary account that have not expired, been exercised, or in any agreement, contract or of such association, unless the offset; and transaction described in section shareholder or member is an officer, (3) Swaps that have neither expired 2(c)(2)(C)(i) or section 2(c)(2)(D)(i) of the director or manager of the association. nor been terminated. Act and (z) Bona fide hedging transactions (ii) Who, in connection with any of * * * * * and positions—(1) General definition. (i) these activities accepts any money, (x) Floor trader. This term means any Bona fide hedging transactions and securities, or property (or extends credit person: positions shall mean transactions or in lieu thereof) to margin, guarantee, or (1) Who, in or surrounding any pit, positions in a contract for future secure any trades or contracts that result ring, post or other place provided by a delivery on any contract market, or in a or may result therefrom; and contract market for the meeting of commodity option, where such (2) Any person that is registered as a persons similarly engaged, purchases, or transactions or positions normally futures Commission merchant. sells solely for such person’s own represent a substitute for transactions to (q) Member. This term means: account – be made or positions to be taken at a (1) An individual, association, (i) Any commodity for future delivery, later time in a physical marketing partnership, corporation, or trust— security futures product, or swap; or channel, and where they are

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economically appropriate to the section 2(c)(2)(C)(i) or section limitation, any subscriber of a reduction of risks in the conduct and 2(c)(2)(D)(i) of the Act; any commodity commodity trading advisor. management of a commercial enterprise, option authorized under section 4c of (cc) Commodity pool operator. This and where they arise from: the Act; any leverage transaction term means any person engaged in a (A) The potential change in the value authorized under section 19 of the Act; business which is of the nature of a of assets which a person owns, any person registered with the commodity pool, investment trust, produces, manufactures, processes, or Commission as a commodity trading syndicate, or similar form of enterprise, merchandises or anticipates owning, advisor; or any person, who, for and who, in connection therewith, producing, manufacturing, processing, compensation or profit, and as part of a solicits, accepts, or receives from others, or merchandising, or regular business, issues or promulgates funds, securities, or property, either (B) The potential change in the value analyses or reports concerning any of directly or through capital of liabilities which a person owns or the foregoing. The term does not include contributions, the sale of stock or other anticipates incurring, or any bank or trust company or any forms of securities, or otherwise, for the (C) The potential change in the value person acting as an employee thereof, purpose of trading in commodity of services which a person provides, any news reporter, news columnist, or interests, including any commodity for purchases, or anticipates providing or news editor of the print or electronic future delivery, security futures purchasing. media or any lawyer, accountant, or product, or swap; any agreement, (ii) Notwithstanding the foregoing, no teacher, any floor broker or futures contract or transaction described in transactions or positions shall be commission merchant, the publisher or section 2(c)(2)(C)(i) or section classified as bona fide hedging unless producer of any print or electronic data 2(c)(2)(D)(i) of the Act; any commodity their purpose is to offset price risks of general and regular dissemination, option authorized under section 4c of incidental to commercial cash or spot including its employees, the named the Act; any leverage transaction operations and such positions are fiduciary, or trustee, of any defined authorized under section 19 of the Act; established and liquidated in an orderly benefit plan which is subject to the or any person who is registered with the manner in accordance with sound provisions of the Employee Retirement Commission as a commodity pool commercial practices and, for Income Security Act of 1974, or any operator, but does not include such transactions or positions on contract fiduciary whose sole business is to persons not within the intent of this markets subject to trading and position advise that plan, any contract market, definition as the Commission may limits in effect pursuant to section 4a of and such other persons not within the specify by rule or regulation or by order. intent of this definition as the the Act, unless the provisions of * * * * * Commission may specify by rule, paragraph (z)(2) and (3) of this section (ee) Self-regulatory organization. This regulation or order: Provided, That the have been satisfied. term means a contract market (as furnishing of such services by the * * * * * defined in § 1.3(h)), a swap execution foregoing persons is solely incidental to (aa) * * * facility (as defined in § 1.3(kkk)), a the conduct of their business or (1) * * * derivatives clearing organization (as (i) The solicitation or acceptance of profession: Provided further, That the Commission, by rule or regulation, may defined in section 1a(15) of the Act), or customers’ orders (other than in a a registered futures association under clerical capacity) or include within this definition, any person advising as to the value of section 17 of the Act. * * * * * commodities or issuing reports or (ff) Designated self-regulatory (2) * * * analyses concerning commodities, if the organization. This term means: (i) The solicitation or acceptance of Commission determines that such rule (1) Self-regulatory organization of customers’ orders (other than in a or regulation will effectuate the which a futures commission merchant, clerical capacity) or purposes of this provision. an introducing broker, a leverage * * * * * (2) Client. This term, as it relates to a transaction merchant, a retail foreign (5) A leverage transaction merchant as commodity trading advisor, means any exchange dealer, a swap dealer, or a a partner, officer, employee, consultant, person: major swap participant is a member; or or agent (or any natural person (i) To whom a commodity trading (2) If a Commission registrant other occupying a similar status or performing advisor provides advice, for than a leverage transaction merchant is similar functions), in any capacity compensation or profit, either directly a member of more than one self- which involves: or through publications, writings, or regulatory organization and such (i) The solicitation or acceptance of electronic media, as to the value of, or registrant is the subject of an approved leverage customers’ orders (other than the advisability of trading in, any plan under § 1.52 of this part, then a in a clerical capacity) for leverage contract of sale of a commodity for self-regulatory organization delegated transactions as defined in § 31.4(x) of future delivery, security futures product the responsibility by such a plan for this chapter, or or swap; any agreement, contract or monitoring and auditing such registrant (ii) The supervision of any person or transaction described in section for compliance with the minimum persons so engaged. 2(c)(2)(C)(i) or section 2(c)(2)(D)(i) of the financial and related reporting (bb)(1) Commodity trading advisor. Act; any commodity option authorized requirements of the self-regulatory This term means any person who, for under section 4c of the Act; any leverage organizations of which the registrant is compensation or profit, engages in the transaction authorized under section 19 a member, and for receiving the business of advising others, either of the Act; or financial reports necessitated by such directly or through publications, (ii) To whom, for compensation or minimum financial and related writings or electronic media, as to the profit, and as part of a regular business, reporting requirements from such value of or the advisability of trading in the commodity trading advisor issues or registrant; or any contract of sale of a commodity for promulgates analyses or reports (3) If a leverage transaction merchant future delivery, security futures concerning any of the activities referred is a member of more than one self- product, or swap; any agreement, to in paragraph (bb)(2)(i) of this section. regulatory organization and such contract or transaction described in The term ‘‘client’’ includes, without leverage transaction merchant is the

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subject of an approved plan under contract of sale of a commodity for credit in lieu thereof) in connection § 31.28 of this chapter, then a self- future delivery that is the subject of a therewith. regulatory organization delegated the commodity option: Provided, That for (pp) Leverage customer funds. This responsibility by such a plan for purposes of § 1.17, the term strike price term means all money, securities and monitoring and auditing such leverage means the total price at which a person property received, directly or indirectly transaction merchant for compliance may purchase or sell the commodity, by a leverage transaction merchant from, with the minimum financial, cover, swap, or contract of sale of a commodity for, or on behalf of leverage customers segregation and sales practice, and for future delivery that is the subject of to margin, guarantee or secure leverage related reporting requirements of the a commodity option (i.e., price per unit contracts and all money, securities and self-regulatory organizations of which times the number of units). property accruing to such customers as the leverage transaction merchant is a * * * * * the result of such contracts, or the member, and for receiving the reports (mm) * * * customers’ leverage equity. In the case necessitated by such minimum (1) Any person who, for compensation of a long leverage transaction, profit or financial, cover, segregation and sales or profit, whether direct or indirect, loss accruing to a leverage customer is practice, and related reporting (i) Is engaged in soliciting or in the difference between the leverage requirements from such leverage accepting orders (other than in a clerical transaction merchant’s current bid price transaction merchant. capacity) for the purchase or sale of any for the leverage contract and the ask (gg) Customer funds. This term means commodity for future delivery, security price of the leverage contract when all money, securities, and property futures product, or swap; any entered into. In the case of a short received by a futures commission agreement, contract or transaction leverage transaction, profit or loss merchant or by a clearing organization described in section 2(c)(2)(C)(i) or accruing to a leverage customer is the from, for, or on behalf of, customers: section 2(c)(2)(D)(i) of the Act; any difference between the bid price of the (1) To margin, guarantee, or secure commodity option transaction leverage contract when entered into and contracts for future delivery or swaps authorized under section 4c; or any the leverage transaction merchant’s (other than commodity options) on or leverage transaction authorized under current ask price for the leverage subject to the rules of a contract market, section 19; or who is registered with the contract. swap execution facility, or derivatives Commission as an introducing broker; * * * * * clearing organization, as the case may and (rr) * * * be, and all money accruing to such (ii) Does not accept any money, (2) In the case of foreign options customers as the result of such securities, or property (or extend credit customers in connection with open contracts; and in lieu thereof) to margin, guarantee, or foreign options transactions, money, (2) In connection with a commodity secure any trades or contracts that result securities and property representing option transaction on or subject to the or may result therefrom. premiums paid or received, plus any rules of a contract market, swap (2) The term introducing broker shall other funds required to guarantee or execution facility, or derivatives not include: secure open transactions plus or minus clearing organization, as the case may (i) Any futures commission merchant, any unrealized gain or loss on such be: floor broker, associated person, or transactions. (i) To be used as a premium for the associated person of a swap dealer or (ss) Foreign board of trade. This term purchase of a commodity option major swap participant acting in its means any board of trade, exchange or transaction for a customer; capacity as such, regardless of whether market located outside the United (ii) As a premium payable to a that futures commission merchant, floor States, its territories or possessions, customer; broker, or associated person is registered whether incorporated or (iii) To guarantee or secure or exempt from registration in such unincorporated, where foreign futures, performance of a commodity option by capacity; foreign options, or foreign swaps are a customer; or * * * * * entered into. (iv) Representing accruals (including, (nn) Guarantee agreement. This term (tt) Electronic signature. This term for purchasers of a commodity option means an agreement of guarantee in the means an electronic sound, symbol, or for which the full premium has been form set forth in part B or C of Form 1– process attached to or logically paid, the market value of such FR, executed by a registered futures associated with a record and executed commodity option) to a customer. commission merchant or retail foreign or adopted by a person with the intent (3) Notwithstanding paragraphs exchange dealer, as appropriate, and by to sign the record. (gg)(1) and (2) of this section, the term an introducing broker or applicant for (uu) [Reserved] customer funds shall exclude money, registration as an introducing broker on (vv) Futures account. This term securities or property held to margin, behalf of an introducing broker or means an account that is maintained in guarantee or secure security futures applicant for registration as an accordance with the segregation products held in a securities account, introducing broker in satisfaction of the requirements of section 4d(a) of the Act and all money accruing as the result of alternative adjusted net capital and the rules thereunder. such security futures products. requirement set forth in § 1.17(a)(1)(iii). * * * * * * * * * * (oo) Leverage transaction merchant. (xx) Foreign broker. This term means (ii) Premium. This term means the This term means and includes any any person located outside the United amount agreed upon between the individual, association, partnership, States, its territories or possessions who purchaser and seller, or their agents, for corporation, trust or other person that is is engaged in soliciting or in accepting the purchase or sale of a commodity engaged in the business of offering to orders only from persons located option. enter into, entering into or confirming outside the United States, its territories (jj) [Reserved] the execution of leverage contracts, or or possessions for the purchase or sale (kk) Strike price. This term means the soliciting or accepting orders for of any commodity interest transaction price, per unit, at which a person may leverage contracts, and who accepts on or subject to the rules of any purchase or sell the commodity, swap or leverage customer funds (or extends designated contract market or swap

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execution facility and that, in or in trading in a commodity interest on (hhh) Retail forex customer. This term connection with such solicitation or behalf of the customer. means a person, other than an eligible acceptance of orders, accepts any (ddd) Organized exchange. This term contract participant as defined in money, securities or property (or means a trading facility that— section 1a(18) of the Act, acting on its extends credit in lieu thereof) to margin, (1) Permits trading— own behalf and trading in any account, guarantee, or secure any trades or (i) By or on behalf of a person that is agreement, contract or transaction contracts that result or may result not an eligible contract participant; or described in section 2(c)(2)(B) or therefrom. (ii) By persons other than on a 2(c)(2)(C) of the Act. (yy) Commodity interest. This term principal-to-principal basis; or (iii) Swap account. This term means means: (2) Has adopted (directly or through an account that is maintained in (1) Any contract for the purchase or another nongovernmental entity) rules accordance with the segregation sale of a commodity for future delivery; that— requirements of section 4d(f) of the Act (i) Govern the conduct of participants, (2) Any contract, agreement or and the rules thereunder. transaction subject to a Commission other than rules that govern the (jjj) Swap data repository. This term regulation under section 4c or 19 of the submission of orders or execution of means any person that collects and Act; transactions on the trading facility; and maintains information or records with (ii) Include disciplinary sanctions (3) Any contract, agreement or respect to transactions or positions in, other than the exclusion of participants transaction subject to Commission or the terms and conditions of, swaps from trading. jurisdiction under section 2(c)(2) of the entered into by third parties for the Act; and (eee) Prudential regulator. This term has the meaning given to the term in purpose of providing a centralized (4) Any swap as defined in the Act, recordkeeping facility for swaps. the Commission’s regulations, a section 1a(39) of the Commodity Exchange Act and includes the Board of (kkk) Swap execution facility. This Commission order or interpretation, or a term means a trading system or platform joint interpretation or order issued by Governors of the Federal Reserve System, the Office of the Comptroller of in which multiple participants have the the Commission and the Securities and ability to execute or trade swaps by Exchange Commission. the Currency, the Federal Deposit Insurance Corporation, the Farm Credit accepting bids and offers made by (zz) Associated person of a swap multiple participants in the facility or dealer or major swap participant. This Administration, and the Federal Housing Finance Agency, as applicable system, through any means of interstate term means any person who is commerce, including any trading associated with a swap dealer or major to the swap dealer or major swap participant. The term also includes the facility, that— swap participant as a partner, officer, (1) Facilitates the execution of swaps employee, or agent (or any person Federal Deposit Insurance Corporation, with respect to any financial company between persons; and occupying a similar status or performing (2) Is not a designated contract similar functions), in any capacity that as defined in section 201 of the Dodd- Frank Wall Street Reform and Consumer market. involves the solicitation or acceptance (lll) Trading facility. This term has the Protection Act or any insured of swaps, or the supervision of any meaning set forth in section 1a(51) of depository institution under the Federal person or persons so engaged. Provided, the Act. Deposit Insurance Act, and with respect however, That the term does not include 3. Revise § 1.4 to read as follows: to each affiliate of any such company or any person associated with a swap institution. dealer or major swap participant the § 1.4 Use of electronic signatures, (fff) Registered entity. This term acknowledgments and verifications. functions of which are solely clerical or means: ministerial. For purposes of complying with any (1) A board of trade designated as a provision in the Commodity Exchange (aaa) Confirmation. When used in contract market under section 5 of the reference to a futures commission Act or the rules or regulations in this Act; Chapter I that requires a swap merchant, introducing broker, or (2) A derivatives clearing organization commodity trading advisor, this term transaction to be acknowledged by a registered under section 5b of the Act; swap dealer or major swap participant means documentation (electronic or (3) A board of trade designated as a or a document to be signed or verified otherwise) that memorializes specified contract market under section 5f of the by a customer of a futures commission terms of a transaction executed on Act; behalf of a customer. When used in (4) A swap execution facility merchant or introducing broker, a retail reference to a swap dealer or major registered under section 5h of the Act; forex customer of a retail foreign swap participant, this term means (5) A swap data repository registered exchange dealer or futures commission documentation (electronic or otherwise) under section 21 of the Act; and merchant, a pool participant or a client that memorializes specified terms of a (6) With respect to a contract that the of a commodity trading advisor, or a transaction executed opposite a Commission determines is a significant counterparty of a swap dealer or major counterparty. price discovery contract, any electronic swap participant, an electronic (bbb) Electronic trading facility. This trading facility on which the contract is signature executed by the customer, term means a trading facility that— executed or traded. retail forex customer, participant, client, (1) Operates by means of an electronic (ggg) Registrant. This term means a counterparty, swap dealer or major or telecommunications network; and commodity pool operator; commodity swap participant will be sufficient, if (2) Maintains an automated audit trail trading advisor; futures commission the futures commission merchant, retail of bids, offers, and the matching of merchant; introducing broker; leverage foreign exchange dealer, introducing orders or the execution of transactions transaction merchant; floor broker; floor broker, commodity pool operator, on the facility. trader; major swap participant; retail commodity trading advisor, swap dealer (ccc) Order. This term means an foreign exchange dealer; or swap dealer or major swap participant elects instruction or authorization provided by that is subject to these regulations; or an generally to accept electronic signatures, a customer to a futures commission associated person of any of the foregoing acknowledgments or verifications or merchant, introducing broker or other than an associated person of a another Commission rule permits the commodity trading advisor regarding swap dealer or major swap participant. use of electronic signatures for the

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purposes listed above; Provided, clearing organization or any depository, person registered as a futures however, That the electronic signature that has received customer funds for commission merchant, may be must comply with applicable Federal deposit in a segregated account, as withdrawn and applied to such laws and other Commission rules; And, provided in this section, may hold, purposes, including the payment of Provided further, That the futures dispose of, or use any such funds as premiums to option grantors, commission merchant, retail foreign belonging to any person other than the commissions, brokerage, interest, taxes, exchange dealer, introducing broker, customers of the futures commission storage and other fees and charges, commodity pool operator, commodity merchant which deposited such funds. lawfully accruing in connection with trading advisor, swap dealer or major (b) All customer funds received by a such trades, contracts or commodity swap participant must adopt and use clearing organization from a member of options: Provided further, That reasonable safeguards regarding the use the clearing organization to purchase, customer funds may be invested in of electronic signatures, including at a margin, guarantee, secure or settle the instruments described in § 1.25. minimum safeguards employed to trades, contracts or commodity options 6. Revise § 1.21 to read as follows: prevent alteration of the electronic of the clearing member’s customers and all money accruing to such customers as § 1.21 Care of money and equities record with which the electronic accruing to customers. the result of trades, contracts or signature is associated, after such record All money received directly or has been electronically signed. commodity options so carried shall be separately accounted for and segregated indirectly by, and all money and 4. Remove and reserve paragraph equities accruing to, a futures (a)(1)(ii) of § 1.17 to read as follows: as belonging to such customers, and a clearing organization shall not hold, use commission merchant from any clearing § 1.17 Minimum financial requirements for or dispose of such customer funds organization or from any clearing futures commission merchants and except as belonging to such customers. member or from any member of a introducing brokers. Such customer funds when deposited in contract market incident to or resulting (a)(1)(i) * * * a bank or trust company shall be from any trade, contract or commodity (ii) [Reserved] deposited under an account name option made by or through such futures * * * * * which clearly shows that they are the commission merchant on behalf of any 5. Revise § 1.20 to read as follows: customer funds of the customers of customer shall be considered as clearing members, segregated as accruing to such customer within the § 1.20 Customer funds to be segregated meaning of the Act and these and separately accounted for. required by the Act and these regulations. The clearing organization regulations. Such money and equities (a) All customer funds shall be shall obtain and retain in its files for the shall be treated and dealt with as separately accounted for and segregated period provided by § 1.31 an belonging to such customer in as belonging to customers. Such acknowledgment from such bank or accordance with the provisions of the customer funds when deposited with trust company that it was informed that Act and these regulations. Money and any bank, trust company, clearing the customer funds deposited therein equities accruing in connection with organization or another futures are those of customers of its clearing customers’ open trades, contracts, or commission merchant shall be members and are being held in commodity options need not be deposited under an account name accordance with the provisions of the separately credited to individual which clearly identifies them as such Act and these regulations. accounts but may be treated and dealt and shows that they are segregated as (c) Each futures commission merchant with as belonging undivided to all required by the Act and this part. Each shall treat and deal with the customer customers having open trades, contracts, registrant shall obtain and retain in its funds of a customer as belonging to such or commodity option positions which if files for the period provided in § 1.31 a customer. All customer funds shall be closed would result in a credit to such written acknowledgment from such separately accounted for, and shall not customers. bank, trust company, clearing be commingled with the money, 7. Revise § 1.22 to read as follows: organization, or futures commission securities or property of a futures § 1.22 Use of customer funds restricted. merchant, that it was informed that the commission merchant or of any other No futures commission merchant customer funds deposited therein are person, or be used to secure or those of customers and are being held in shall use, or permit the use of, the guarantee the trades, contracts or customer funds of one customer to accordance with the provisions of the commodity options, or to secure or Act and this part: Provided however, purchase, margin, or settle the trades, extend the credit, of any person other contracts, or commodity options of, or that an acknowledgment need not be than the one for whom the same are obtained from a clearing organization to secure or extend the credit of, any held: Provided, however, That customer person other than such customer. that has adopted and submitted to the funds treated as belonging to the Customer funds shall not be used to Commission rules that provide for the customers of a futures commission carry trades or positions of the same segregation as customer funds, in merchant may for convenience be customer other than in commodities or accordance with all relevant provisions commingled and deposited in the same commodity options traded through the of the Act and the rules and orders account or accounts with any bank or promulgated thereunder, of all funds facilities of a contract market. trust company, with another person 8. Revise § 1.23 to read as follows: held on behalf of customers. Under no registered as a futures commission circumstances shall any portion of merchant, or with a clearing § 1.23 Interest of futures commission customer funds be obligated to a organization, and that such share merchant in segregated funds; additions clearing organization, any member of a thereof as in the normal course of and withdrawals. contract market, a futures commission business is necessary to purchase, The provision in section 4d(a)(2) of merchant, or any depository except to margin, guarantee, secure, transfer, the Act and the provision in § 1.20(c), purchase, margin, guarantee, secure, adjust, or settle the trades, contracts or which prohibit the commingling of transfer, adjust or settle trades, contracts commodity options of such customers customer funds with the funds of a or commodity option transactions of or resulting market positions, with the futures commission merchant, shall not customers. No person, including any clearing organization or with any other be construed to prevent a futures

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commission merchant from having a and retain in its files an § 1.30 Loans by futures commission residual financial interest in the acknowledgment from such bank, trust merchants; treatment of proceeds. customer funds, segregated as required company, clearing organization or other Nothing in the regulations in this part by the Act and the rules in this part and futures commission merchant that it shall prevent a futures commission set apart for the benefit of customers; was informed that the instruments merchant from lending its own funds to nor shall such provisions be construed belong to customers and are being held customers on securities and property to prevent a futures commission in accordance with the provisions of the pledged by such customers, or from merchant from adding to such Act and this part. Provided, however, repledging or selling such securities and segregated customer funds such amount that an acknowledgment need not be property pursuant to specific written or amounts of money, from its own obtained from a clearing organization agreement with such customers. The funds or unencumbered securities from that has adopted and submitted to the proceeds of such loans used to its own inventory, of the type set forth Commission rules that provide for the purchase, margin, guarantee, or secure in § 1.25, as it may deem necessary to segregation as customer funds, in the trades, contracts, or commodity options of customers shall be treated ensure any and all customers’ accounts accordance with all relevant provisions and dealt with by a futures commission from becoming undersegregated at any of the Act and the rules and orders merchant as belonging to such time. The books and records of a futures promulgated thereunder, of all funds customers, in accordance with and commission merchant shall at all times held on behalf of customers and all accurately reflect its interest in the subject to the provisions of section instruments purchased with customer 4d(a)(2) of the Act and these regulations. segregated funds. A futures commission funds. Such acknowledgment shall be merchant may draw upon such 13. Amend § 1.31 by revising retained in accordance with § 1.31. Such paragraphs (a)(1), (a)(2), (b) introductory segregated funds to its own order, to the bank, trust company, clearing extent of its actual interest therein, text, (b)(1)(ii)(D), (b)(2)(i), (b)(2)(ii), organization or other futures (b)(2)(iii), (b)(2)(v)(B), (b)(3)(i), including the withdrawal of securities commission merchant shall allow held in segregated safekeeping accounts (b)(3)(ii)(A), (b)(3)(ii)(C), (b)(3)(iii)(A), inspection of such obligations at any and (b)(4)(i), to read as follows: held by a bank, trust company, contract reasonable time by representatives of market, clearing organization or other the Commission. § 1.31 Books and records; keeping and futures commission merchant. Such inspection. (b) Each clearing organization which withdrawal shall not result in the funds (a)(1) All books and records required invests money belonging or accruing to of one customer being used to purchase, to be kept by the Act or by these customers of its clearing members in margin or carry the trades, contracts or regulations shall be kept in their instruments described in § 1.25 shall commodity options, or extend the credit original form (for paper records) or separately account for such instruments of any other customer or other person. native file format (for electronic records) and segregate such instruments as 9. Revise § 1.24 to read as follows: for a period of five years from the date belonging to such customers. Such thereof and shall be readily accessible § 1.24 Segregated funds; exclusions instruments, when deposited with a during the first 2 years of the 5-year therefrom. bank or trust company, shall be period; Provided, however, That records Money held in a segregated account deposited under an account name by a futures commission merchant shall of any swap or related cash or forward which will clearly show that they transaction shall be kept until the not include: (a) Money invested in belong to customers and are segregated obligations or stocks of any clearing termination, maturity, expiration, as required by the Act and this part. transfer, assignment, or novation date of organization or in memberships in or Each clearing organization upon obligations of any contract market; or the transaction and for a period of five opening such an account shall obtain years after such date. All such books (b) Money held by any clearing and retain in its files a written organization which it may use for any and records shall be open to inspection acknowledgment from such bank or by any representative of the purpose other than to purchase, margin, trust company that it was informed that guarantee, secure, transfer, adjust, or Commission, the United States the instruments belong to customers of Department of Justice, any applicable settle the contracts, trades, or clearing members and are being held in commodity options of the customers of prudential regulator as that term is accordance with the provisions of the defined in section 1a(39) of the Act, or, such futures commission merchant. Act and this part. Such 10. Revise § 1.26 to read as follows: in connection with those security-based acknowledgment shall be retained in swap agreements described in section § 1.26 Deposit of instruments purchased accordance with § 1.31. Such bank or 1a(47)(A)(v) of the Act, the United with customer funds. trust company shall allow inspection of States Securities and Exchange (a) Each futures commission merchant such instruments at any reasonable time Commission. For purposes of this who invests customer funds in by representatives of the Commission. section, native file format means an instruments described in § 1.25 shall 11. Revise the introductory text of electronic file that exists in the format separately account for such instruments paragraph (a) in § 1.27 to read as it was originally created. and segregate such instruments as follows: (2) Persons required to keep books belonging to such customers. Such and records by the Act or by these instruments, when deposited with a § 1.27 Record of investments. regulations shall produce such records bank, trust company, clearing (a) Each futures commission merchant in a form specified by any organization or another futures which invests customer funds, and each representative of the Commission. Such commission merchant, shall be derivatives clearing organization which production shall be made, at the deposited under an account name invests customer funds of its clearing expense of the person required to keep which clearly shows that they belong to members’ customers, shall keep a record the book or record, to a Commission customers and are segregated as showing the following: representative upon the representative’s required by the Act and this part. Each request. Instead of furnishing a copy, futures commission merchant upon * * * * * such person may provide the original opening such an account shall obtain 12. Revise § 1.30 to read as follows: book or record for reproduction, which

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the representative may temporarily described in section 1a(47)(A)(5) of the any applicable prudential regulator as remove from such person’s premises for Act, may request; that term is defined in section 1a(39) of this purpose. All copies or originals (iii) Keep only Commission-required the Act, or the Securities and Exchange shall be provided promptly. Upon records on the individual medium Commission with respect to those request, the Commission representative employed (e.g., a disk or sheets of security-based swap agreements shall issue a receipt provided by such microfiche); described in section 1a(47)(A)(5) of the person for any copy or original book or * * * * * Act, all information necessary to access record received. At the request of the (v) * * * records and indexes maintained on the Commission representative, such person (B) The index is available at all times electronic storage media; or shall, upon the return thereof, issue a for immediate examination by * * * * * receipt for any copy or original book or representatives of the Commission, the (4) * * * record returned by the representative. Department of Justice, any applicable (i) The Technical Consultant must file (b) Except as provided in paragraph prudential regulator as that term is with the Commission an undertaking in (d) of this section, books and records defined in section 1a(39) of the Act, or a form acceptable to the Commission, required to be kept by the Act or by the Securities and Exchange signed by the Technical Consultant or a these regulations may be stored on Commission with respect to those person duly authorized by the Technical either ‘‘micrographic media’’ (as defined security-based swap agreements Consultant. An acceptable undertaking in paragraph (b)(1)(i) of this section) or described in section 1a(47)(A)(5) of the must include the following provision ‘‘electronic storage media’’ (as defined in Act; with respect to the Electronic paragraph (b)(1)(ii) of this section) for * * * * * Recordkeeper:* * * the required time period under the (3) * * * conditions set forth in this paragraph With respect to any books and records (i) Be ready at all times to provide, maintained or preserved on behalf of the (b); Provided, however, For electronic and immediately provide at the expense Electronic Recordkeeper, the undersigned records, such storage media must of the person required to keep such hereby undertakes to furnish promptly to any preserve the native file format of the records, copies of such records on such representative of the United States electronic records as required by approved compatible data processing Commodity Futures Trading Commission, paragraph (a)(1) of this section. the United States Department of Justice, any (1) * * * media as defined in § 15.00(d) of this applicable prudential regulator as that term (ii) * * * chapter which any representative of the is defined in section 1a(39) of the Act, or the (D) Permits the immediate Commission, the Department of Justice, United States Securities and Exchange downloading of indexes and records any applicable prudential regulator as Commission with respect to those security- preserved on the electronic storage that term is defined in section 1a(39) of based swap agreements described in section ‘‘ ’’ media onto paper, microfilm, microfiche the Act, or the Securities and Exchange 1a(47)(A)(5) of the Act (the Representative ), upon reasonable request, such information as or other medium acceptable under this Commission with respect to those security-based swap agreements is deemed necessary by the Representative to paragraph (b) upon the request of download information kept on the Electronic representatives of the Commission, the described in section 1a(47)(A)(5) of the Recordkeeper’s electronic storage media to Department of Justice, any applicable Act, may request. Records must use a any medium acceptable under 17 CFR 1.31. prudential regulator as that term is format and coding structure specified in The undersigned also undertakes to take defined in section 1a(39) of the Act, or the request. reasonable steps to provide access to the Securities and Exchange (ii) * * * information contained on the Electronic Commission with respect to those (A) The results of such audit system Recordkeeper’s electronic storage media, are available at all times for immediate including, as appropriate, arrangements for security-based swap agreements the downloading of any record required to be described in section 1a(47)(A)(5) of the examination by representatives of the Commission, the Department of Justice, maintained under the Commodity Exchange Act. Act or the rules, regulations, or orders of the (2) * * * any applicable prudential regulator as United States Commodity Futures Trading (i) Have available at all times, for that term is defined in section 1a(39) of Commission, in a format acceptable to the examination by representatives of the the Act, or the Securities and Exchange Representative. In the event the Electronic Commission, the Department of Justice, Commission with respect to those Recordkeeper fails to download a record into any applicable prudential regulator as security-based swap agreements a readable format and after reasonable notice that term is defined in section 1a(39) of described in section 1a(47)(A)(5) of the to the Electronic Recordkeeper, upon being Act; provided with the appropriate electronic the Act, or the Securities and Exchange storage medium, the undersigned will Commission with respect to those * * * * * undertake to do so, at no charge to the United security-based swap agreements (C) The written operational States, as the Representative may request. described in section 1a(47)(A)(5) of the procedures and controls are available at * * * * * Act, facilities for immediate, easily all times for immediate examination by 14. Revise paragraphs (a)(1) and (a)(2) readable projection or production of representatives of the Commission, the of § 1.32 to read as follows: micrographic media or electronic Department of Justice, any applicable storage media images; prudential regulator as that term is § 1.32 Segregated account; daily (ii) Be ready at all times to provide, defined in section 1a(39) of the Act, or computation and record. and immediately provide at the expense the Securities and Exchange (a) * * * of the person required to keep such Commission with respect to those (1) The total amount of customer records, any easily readable hard-copy security-based swap agreements funds on deposit in segregated accounts image that representatives of the described in section 1a(47)(A)(5) of the on behalf of customers; Commission, the Department of Justice, Act. (2) The amount of such customer any applicable prudential regulator as (iii) * * * funds required by the Act and these that term is defined in section 1a(39) of (A) Maintain, keep current, and make regulations to be on deposit in the Act, or the Securities and Exchange available at all times for immediate segregated accounts on behalf of such Commission with respect to those examination by representatives of the customers; and security-based swap agreements Commission, the Department of Justice, * * * * *

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15. Amend § 1.33 by: customer accounts during the monthly accordance with the requirements of a. Revising paragraph (a) introductory reporting period, including all customer § 1.31, a statement commonly known as text, (a)(1) introductory text, (a)(1)(i), funds received from or disbursed to a ‘‘point balance,’’ which accrues or (a)(1)(ii), (a)(2) introductory text, and such customer and realized profits and brings to the official closing price, or (a)(2)(v); losses. settlement price fixed by the clearing b. Adding paragraph (a)(3); (b) Confirmation statement. Each organization, all open positions of c. Revising paragraph (b) introductory futures commission merchant must, not customers as of the last business day of text and paragraph (b)(1), redesignating later than the next business day after each month or of any regular monthly paragraphs (b)(2) through (b)(4) as any commodity interest or commodity date selected: Provided, however, That a paragraphs (b)(3) through (b)(5), option transaction, including any futures commission merchant who respectively, and adding paragraph foreign futures or foreign options carries part or all of customers’ open (b)(2); transactions, furnish to each customer: positions with other futures commission d. Revising redesignated paragraph (1) A written confirmation of each merchants on an ‘‘instruct basis’’ will be (b)(3) introductory text, and commodity futures transaction caused deemed to have met the requirements of redesignated paragraphs (b)(3)(i), (b)(4), to be executed by it for the customer. this section as to open positions so and (b)(5); and (2) A written confirmation of each carried if a monthly statement is e. Revising paragraph (d) introductory swap caused to be executed by it for the prepared which shows that the prices text to read as follows: customer, containing at least the and amounts of such positions long and short in the customers’ accounts are in § 1.33 Monthly and confirmation following information: statements. (i) The unique swap identifier, as balance with those in the carrying required by § 45.4(a) of this chapter, for futures commission merchants’ (a) Monthly statements. Each futures accounts, and such statements are commission merchant must promptly each swap and date each swap was executed; retained in accordance with the furnish in writing to each customer, and requirements of § 1.31. to each foreign futures and foreign (ii) The product name of each swap; (iii) The price at which the swap was (b) With respect to commodity option options customer, as of the close of the executed; transactions, each futures commission last business day of each month or as of (iv) The date of maturity for each merchant shall prepare, and retain in any regular monthly date selected, swap; and accordance with the requirements of except for accounts in which there are (v) If cleared, the derivatives clearing § 1.31, a listing in which all open neither open positions at the end of the organization through which it is cleared. commodity option positions carried for statement period nor any changes to the (3) A written confirmation of each customers are marked to the market. account balance since the prior commodity option transaction, Such listing shall be prepared as of the statement period, but in any event not containing at least the following last business day of each month, or as less frequently than once every three information: of any regular monthly date selected, months, a statement which clearly (i) The customer’s account and shall be by put or by call, by shows: underlying contract for future delivery (1) For each commodity futures and identification number; * * * * * (by delivery month) or underlying foreign futures position— physical (by option expiration date), (i) The open position with prices at (4) Upon the expiration or exercise of and by strike price. which acquired; any commodity option, a written confirmation statement thereof, which 17. Section 1.35 is revised to read as (ii) The net unrealized profits or follows: losses in all open positions marked to statement shall include the date of such the market; occurrence, a description of the option § 1.35 Records of commodity interest and * * * * * involved, and, in the case of exercise, cash commodity transactions. (2) For each commodity option the details of the futures or physical (a) Futures commission merchants, position and foreign option position— position which resulted therefrom retail foreign exchange dealers, including, if applicable, the final trading * * * * * introducing brokers, and members of (v) A detailed accounting of all date of the contract for future delivery designated contract markets or swap financial charges and credits to such underlying the option. execution facilities. Each futures customer’s account(s) during the (5) Notwithstanding the provisions of commission merchant, retail foreign monthly reporting period, including all paragraphs (b)(1) through (b)(4) of this exchange dealer, introducing broker, customer funds and funds on deposit section, a commodity interest and member of a designated contract with respect to foreign option transaction that is caused to be executed market or swap execution facility shall transactions in accordance with § 30.7 for a commodity pool need be keep full, complete, and systematic of this chapter received from or confirmed only to the operator of the records, which include all pertinent disbursed to such customer, premiums commodity pool. data and memoranda, of all transactions charged and received, and realized * * * * * relating to its business of dealing in profits and losses. (d) Controlled accounts. With respect commodity interests and cash (3) For each swap position— to any account controlled by any person commodities. Each futures commission (i) All swaps caused to be executed by other than the customer for whom such merchant, retail foreign exchange the futures commission merchant for the account is carried, each futures dealer, introducing broker, and member customer; commission merchant shall: of a designated contract market or swap (ii) The net unrealized profits or * * * * * execution facility shall retain the losses in all swaps marked to the 16. Revise § 1.34 to read as follows: required records in accordance with the market; requirements of § 1.31, and produce (iii) Any customer funds carried with § 1.34 Monthly record, ‘‘point balance’’. them for inspection and furnish true the futures commission merchant; and (a) With respect to commodity futures and correct information and reports as (iv) A detailed accounting of all transactions, each futures commission to the contents or the meaning thereof, financial charges and credits to such merchant shall prepare, and retain in when and as requested by an authorized

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representative of the Commission or the minute, the order was transmitted or such designated contract market an United States Department of Justice. received on the floor of such designated order that is part of a spread transaction; Included among such records shall be contract market, shall immediately upon (B) The member placing the order all orders (filled, unfilled, or canceled), receipt thereof prepare a written record personally executes one or more legs of trading cards, signature cards, street of the order in nonerasable ink, the spread; and books, journals, ledgers, canceled including the account identification, (C) The member receiving and checks, copies of confirmations, copies except as provided in paragraph (b)(5) of executing such order immediately upon of statements of purchase and sale, and this section, and order number and shall execution of the order records the time all other records, which have been record thereon, by time stamp or other of execution to the nearest minute on prepared in the course of its business of timing device, the date and time, to the his trading card or other record dealing in commodity interests and cash nearest minute, the order is received. maintained in accordance with the commodities, and all oral and written (ii) Except as provided in paragraph requirements of paragraph (f) of this communications provided or received (b)(3) of this section: section. concerning quotes, solicitations, bids, (A) Each member of a designated (4) Each member of a designated offers, instructions, trading, and prices, contract market who on the floor of such contract market reporting the execution that lead to the execution of transactions designated contract market receives an from the floor of the designated contract in a commodity interest or cash order from another member present on market of a customer’s order or the commodity, whether communicated by the floor which is not in the form of a order of another member of the telephone, voicemail, facsimile, instant written record shall, immediately upon designated contract market received in messaging, chat rooms, electronic mail, receipt of such order, prepare a written accordance with paragraphs (b)(2)(i) or mobile device or other digital or record of the order or obtain from the (b)(2)(ii)(A) of this section, shall record electronic media. Each transaction member who placed the order a written on a written record of the order, record shall be maintained as a separate record of the order, in non-erasable ink, including the account identification, electronic file identifiable by transaction including the account identification and except as provided in paragraph (b)(5) of and counterparty. Among such records order number and shall record thereon, this section, and order number, by time each member of a designated contract by time stamp or other timing device, stamp or other timing device, the date market or swap execution facility must the date and time, to the nearest minute, and time to the nearest minute such retain and produce for inspection are all the order is received; or report of execution is made. Each documents on which trade information (B) When a member of a designated member of a designated contract market is originally recorded, whether or not contract market present on the floor shall submit the written records of such documents must be prepared places an order, which is not in the form customer orders or orders from other pursuant to the rules or regulations of of a written record, for his own account designated contract market members to either the Commission, the designated or an account over which he has designated contract market personnel or contract market or the swap execution control, with another member of such to the clearing member responsible for facility. For purposes of this section, designated contract market for the collection of orders prepared such documents are referred to as execution: pursuant to this paragraph. The ‘‘original source documents.’’ execution price and other information (b) Futures commission merchants, (1) The member placing such order retail foreign exchange dealers, immediately upon placement of the reported on the order tickets must be introducing brokers, and members of order shall record the order and time of written in nonerasable ink. designated contract markets and swap placement to the nearest minute on a (5) Post-execution allocation of execution facilities: Recording of sequentially numbered trading card bunched orders. Specific customer customers’ orders. (1) Each futures maintained in accordance with the account identifiers for accounts commission merchant, each retail requirements of paragraph (f) of this included in bunched orders executed on foreign exchange dealer, each section; designated contract markets or swap introducing broker, and each member of (2) The member receiving and execution facilities need not be recorded a designated contract market or swap executing such order immediately upon at time of order placement or upon execution facility receiving a customer’s execution of the order shall record the report of execution if the requirements order that cannot immediately be time of execution to the nearest minute of paragraphs (b)(5)(i) through (v) of this entered into a trade matching engine on a trading card or other record section are met. Specific customer shall immediately upon receipt thereof maintained pursuant to the account identifiers for accounts prepare a written record of the order requirements of paragraph (f) of this included in bunched orders involving including the account identification, section; and swaps need not be included in except as provided in paragraph (b)(5) of (3) The member receiving and confirmations or acknowledgments this section, and order number, and executing the order shall return such provided by swap dealers or major swap shall record thereon, by time stamp or trading card or other record to the participants pursuant to § 23.501(a) of other timing device, the date and time, member placing the order. The member this chapter if the requirements of to the nearest minute, the order is placing the order then must submit paragraphs (b)(5)(i) through (v) of this received, and in addition, for together both of the trading cards or section are met. commodity option orders, the time, to other records documenting such trade to (i) Eligible account managers for the nearest minute, the order is designated contract market personnel or orders executed on designated contract transmitted for execution. the clearing member. markets or swap execution facilities. (2)(i) Each member of a designated (3)(i) The requirements of paragraph The person placing and directing the contract market who on the floor of such (b)(2)(ii) of this section will not apply if allocation of an order eligible for post- designated contract market receives a a designated contract market maintains execution allocation must have been customer’s order which is not in the in effect rules which provide for an granted written investment discretion form of a written record including the exemption where: with regard to participating customer account identification, order number, (A) A member of a designated contract accounts. The following persons shall and the date and time, to the nearest market places with another member of qualify as eligible account managers for

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trades executed on designated contract its results with those of other accounts to which contracts executed markets or swap execution facilities: comparable customers and, if applicable for such order are allocated. (A) A commodity trading advisor and consistent with § 155.3(a)(1) and (D) In addition to any other remedies registered with the Commission § 155.4(a)(1) of this chapter, any account that may be available under the Act or pursuant to the Act or excluded or in which the account manager has an otherwise, if the Commission has reason exempt from registration under the Act interest. to believe that an account manager has or the Commission’s rules, except for (iv) Allocation. Orders eligible for failed to provide information requested entities exempt under § 4.14(a)(3) of this post-execution allocation must be pursuant to paragraph (b)(5)(v)(A) or chapter; allocated by an eligible account manager (b)(5)(v)(B) of this section, the (B) An investment adviser registered in accordance with the following: Commission may inform in writing any with the Securities and Exchange (A) Allocations must be made as soon designated contract market, swap Commission pursuant to the Investment as practicable after the entire transaction execution facility, swap dealer, or major Advisers Act of 1940 or with a state is executed, but in any event no later swap participant, and that designated pursuant to applicable state law or than the following times: For cleared contract market, swap execution facility, excluded or exempt from registration trades, account managers must provide swap dealer, or major swap participant under such Act or applicable state law allocation information to futures shall prohibit the account manager from or rule; commission merchants no later than a submitting orders for execution except (C) A bank, insurance company, trust time sufficiently before the end of the for liquidation of open positions and no company, or savings and loan day the order is executed to ensure that futures commission merchant shall association subject to federal or state clearing records identify the ultimate accept orders for execution on any regulation; customer for each trade. For uncleared designated contract market, swap (D) A foreign adviser that exercises trades, account managers must provide execution facility, or bilaterally from the discretionary trading authority solely allocation information to the account manager except for liquidation over the accounts of non-U.S. persons, counterparty no later than the end of the of open positions. as defined in § 4.7(a)(1)(iv) of this calendar day that the swap was (E) Any account manager that believes he or she is or may be adversely affected chapter; executed. or aggrieved by action taken by the (E) A futures commission merchant (B) Allocations must be fair and Commission under paragraph registered with the Commission equitable. No account or group of (b)(5)(v)(D) of this section shall have the pursuant to the Act; or accounts may receive consistently opportunity for a prompt hearing in (F) An introducing broker registered favorable or unfavorable treatment. with the Commission pursuant to the accordance with the provisions of (C) The allocation methodology must Act. § 21.03(g) of this chapter. be sufficiently objective and specific to (ii) Eligible account managers for (c)(1) Futures commission merchants, permit independent verification of the orders executed bilaterally. The person introducing brokers, and members of fairness of the allocations using that placing and directing the allocation of designated contract markets and swap methodology by appropriate regulatory an order eligible for post-execution execution facilities. Upon request of the and self-regulatory authorities and by allocation must have been granted designated contract market or swap outside auditors. written investment discretion with execution facility, the Commission, or regard to participating customer (v) Records. (A) Eligible account the United States Department of Justice, accounts. The following persons shall managers shall keep and must make each futures commission merchant, qualify as eligible account managers for available upon request of any introducing broker, and member of a trades executed bilaterally: representative of the Commission, the designated contract market or swap (A) A commodity trading advisor United States Department of Justice, or execution facility shall request from its registered with the Commission other appropriate regulatory agency, the customers and, upon receipt thereof, pursuant to the Act or excluded or information specified in paragraph provide to the requesting body exempt from registration under the Act (b)(5)(iii) of this section. documentation of cash transactions or the Commission’s rules, except for (B) Eligible account managers shall underlying exchanges of futures or entities exempt under § 4.14(a)(3) of this keep and must make available upon swaps for cash commodities or chapter; request of any representative of the exchanges of futures or swaps in (B) A futures commission merchant Commission, the United States connection with cash commodity registered with the Commission Department of Justice, or other transactions. pursuant to the Act; or appropriate regulatory agency, records (2) Customers. Each customer of a (C) An introducing broker registered sufficient to demonstrate that all futures commission merchant, with the Commission pursuant to the allocations meet the standards of introducing broker, or member of a Act. paragraph (b)(5)(iv) of this section and designated contract market or swap (iii) Information. Eligible account to permit the reconstruction of the execution facility shall create, retain, managers shall make the following handling of the order from the time of and produce upon request of the information available to customers upon placement by the account manager to designated contract market or swap request: the allocation to individual accounts. execution facility, the Commission, or (A) The general nature of the (C) Futures commission merchants, the United States Department of Justice allocation methodology the account introducing brokers, or commodity documentation of cash transactions manager will use; trading advisors that execute orders or underlying exchanges of futures or (B) Whether accounts in which the that carry accounts eligible for post- swaps for cash commodities or account manager may have any interest execution allocation, and members of exchanges of futures or swaps in may be included with customer designated contract markets or swap connection with cash commodity accounts in bunched orders eligible for execution facilities that execute such transactions. post-execution allocation; and orders, must maintain records that, as (3) Documentation. For the purposes (C) Summary or composite data applicable, identify each order subject of this paragraph, documentation means sufficient for that customer to compare to post-execution allocation and the those documents customarily generated

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in accordance with cash market including the date, price, quantity, purchases or sales of any commodity for practices which demonstrate the currency and the person who whom future delivery, commodity option, or existence and nature of the underlying such transaction was made; swap on or subject to the rules of such cash transactions, including, but not (iii) All commodity option designated contract market, shall limited to, contracts, confirmation transactions executed on that day, prepare regularly and promptly a statements, telex printouts, invoices, including the date, whether the trading card or other record showing and warehouse receipts or other transaction involved a put or call, the such purchases and sales. Such trading documents of title. expiration date, quantity, underlying card or record shall show the member’s (d) Futures commission merchants, contract for future delivery or name, the name of the clearing member, retail foreign exchange dealers, underlying physical, strike price, details transaction date, time, quantity, and, as introducing brokers, and members of of the purchase price of the option, applicable, underlying commodity, derivatives clearing organizations including premium, mark-up, contract for future delivery, swap or clearing trades executed on designated commission and fees, and the person for physical, price or premium, delivery contract markets and swap execution whom the transaction was made; month or expiration date, whether the facilities. Each futures commission (iv) All swap transactions executed on transaction involved a put or a call, and merchant, each retail foreign exchange that day, including the date, price, strike price. Such trading card or other dealer, and each member of a quantity, market, commodity, swap, the record shall also clearly identify the derivatives clearing organization person for whom such transaction was opposite floor broker or floor trader with clearing trades executed on a designated made, and, if cleared, the derivatives whom the transaction was executed, contract market or swap execution clearing organization; and and the opposite clearing member (if facility and, for purposes of paragraph (v) In the case of an introducing such opposite clearing member is made (d)(3) of this section, each introducing broker, the record or journal required by known to the member). this paragraph (d)(3) shall also include broker, shall, as a minimum (2) Each member of a designated the futures commission merchant or requirement, prepare regularly and contract market recording purchases retail foreign exchange dealer carrying promptly, and keep systematically and and sales on trading cards must record the account for which each commodity in permanent form, the following: such purchases and sales in exact futures, retail forex, commodity option, (1) A financial ledger record which chronological order of execution on and swap transaction was executed on will show separately for each customer sequential lines of the trading card that day. Provided, however, that where all charges against and credits to such without skipping lines between trades; reproductions on microfilm, microfiche customer’s account, including but not Provided, however, That if lines remain or optical disk are substituted for hard limited to customer funds deposited, after the last execution recorded on a withdrawn, or transferred, and charges copy in accordance with the provisions of § 1.31(b) of this part, the requirements trading card, the remaining lines must or credits resulting from losses or gains be marked through. on closed transactions; of paragraphs (d)(1) and (d)(2) of this section will be considered met if the (3) Each member of a designated (2) A record of transactions which contract market must identify on his or will show separately for each account person required to keep such records is ready at all times to provide, and her trading cards the purchases and (including proprietary accounts): sales executed during the opening and (i) All commodity futures transactions immediately provides in the same city as that in which such person’s closing periods designated by the executed for such account, including designated contract market. the date, price, quantity, market, commodity futures, retail forex, commodity option, or swap books and (4) Trading cards prepared by a commodity and future; member of a designated contract market (ii) All retail forex transactions records are maintained, at the expense must contain: executed for such account, including of such person, reproduced copies (i) Pre-printed member identification the date, price, quantity, and currency; which show the records as specified in (iii) All commodity option paragraphs (b)(1) and (b)(2) of this or other unique identifying information transactions executed for such account, section, on request of any which would permit the trading cards of including the date, whether the representatives of the Commission or one member to be distinguished from transaction involved a put or call, the U.S. Department of Justice. those of all other members; expiration date, quantity, underlying (e) Members of derivatives clearing (ii) Pre-printed sequence numbers to contract for future delivery or organizations clearing trades executed permit the intra-day sequencing of the underlying physical, strike price, and on designated contract markets and cards; and details of the purchase price of the swap execution facilities. In the daily (iii) Unique and pre-printed option, including premium, mark-up, record or journal required to be kept identifying information which would commission and fees; and under paragraph (d)(3) of this section, distinguish each of the trading cards (iv) All swap transactions executed each member of a derivatives clearing prepared by the member from other for such account, including the date, organization clearing trades executed on such trading cards for no less than a price, quantity, market, commodity, a designated contract market or swap one-week period. swap, and, if cleared, the derivatives execution facility shall also show the (5) Trading cards prepared by a clearing organization; and floor broker or floor trader executing member of a designated contract market (3) A record or journal which will each transaction, the opposite floor and submitted pursuant to paragraph separately show for each business day broker or floor trader, and the opposite (f)(7)(i) of this section must be time- complete details of: clearing member with whom it was stamped promptly to the nearest minute (i) All commodity futures transactions made. upon collection by either the designated executed on that day, including the (f) Members of designated contract contract market or the relevant clearing date, price, quantity, market, markets. (1) Each member of a member. commodity, future and the person for designated contract market who, in the (6) Each member of a designated whom such transaction was made; place provided by the designated contract market shall be accountable for (ii) All retail forex transactions contract market for the meeting of all trading cards prepared in exact executed on that day for such account, persons similarly engaged, executes numerical sequence, whether or not

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such trading cards are relied on as (i) Was trading for his or her own property belong to customers of the original source documents. account, or an account for which he or futures commission merchant making (7) Trading records prepared by a she has discretion; the deposit. Such acknowledgment shall member of a designated contract market (ii) Was trading for his or her clearing be retained as provided in § 1.31. must: member’s house account; (b) Each clearing organization which (i) Be submitted to designated (iii) Was trading for another member receives from members securities or contract market personnel or the present on the exchange floor, or an property belonging to particular clearing member within 15 minutes of account controlled by such other customers of such members in lieu of designated intervals not to exceed 30 member; or money to margin, purchase, guarantee, minutes, commencing with the (iv) Was trading for any other type of or secure the commodity interests of beginning of each trading session. The customer. such customers, or receives notice that time period for submission of trading (2) The record required by this any such securities or property have records after the close of trading in each paragraph (g) shall also show, by been received by a bank or trust market shall not exceed 15 minutes appropriate and uniform symbols, any company acting as custodian for such from the close. Such documents should transaction which is made non- clearing organization, shall maintain, as nevertheless be submitted as often as is competitively in accordance with the provided in § 1.31, a record which will practicable to the designated contract provisions of subpart J of part 38 of this show separately for each member, the market or relevant clearing member; and chapter, and trades cleared on dates dates when such securities or property (ii) Be completed in non-erasable ink. other than the date of execution. Except were received, the identity of the A member may correct any errors by as otherwise approved by the depositories or other places where such crossing out erroneous information Commission for good cause shown, the securities or property are segregated, the without obliterating or otherwise record required by this paragraph (g) dates such securities or property were making illegible any of the originally shall be maintained in a format and returned to the member, or otherwise recorded information. With regard to coding structure approved by the disposed of, together with the facts and trading cards only, a member may Commission— circumstances of such other disposition correct erroneous information by (i) In hard copy or on microfilm as including the authorization therefor. rewriting the trading card; Provided, specified in § 1.31, and 19. Revise § 1.37 to read as follows: (ii) For 60 days in computer-readable however, that the member must submit form on compatible magnetic tapes or § 1.37 Customer’s name, address, and a ply of the trading card, or in the discs. occupation recorded; record of guarantor absence of plies the original trading 18. Revise § 1.36 to read as follows: or controller of account. card, that is subsequently rewritten in (a) Each futures commission accordance with the collection schedule § 1.36 Record of securities and property merchant, retail foreign exchange for trading cards and provided further, received from customers. dealer, introducing broker, and member that the member is accountable for any (a) Each futures commission merchant of a contract market shall keep a record trading card that subsequently is and each retail foreign exchange dealer in permanent form which shall show for rewritten pursuant to paragraph (f)(6) of shall maintain, as provided in § 1.31, a each commodity interest account this section. record of all securities and property carried or introduced by it the true (8) Each member of a designated received from customers or retail forex name and address of the person for contract market must use a new trading customers in lieu of money to margin, whom such account is carried or card at the beginning of each designated purchase, guarantee, or secure the introduced and the principal occupation 30-minute interval (or such lesser commodity interests of such customers or business of such person as well as the interval as may be determined or retail forex customers. Such record name of any other person guaranteeing appropriate) or as may be required shall show separately for each customer such account or exercising any trading pursuant hereto. or retail forex customer: A description control with respect to such account. (g) Members of derivatives clearing of the securities or property received; For each such commodity option organizations clearing trades executed the name and address of such customer account, the records kept by such on designated contract markets and or retail forex customer; the dates when futures commission merchant, swap execution facilities. (1) Each the securities or property were received; introducing broker, and member of a member of a derivatives clearing the identity of the depositories or other contract market must also show the organization clearing trades executed on places where such securities or property name of the person who has solicited a designated contract market or swap are segregated or held; the dates of and is responsible for each customer’s execution facility shall maintain a single deposits and withdrawals from such account or assign account numbers in record which shall show for each depositories; and the dates of return of such a manner to identify that person. futures, option or swap trade: the such securities or property to such (b) As of the close of the market each transaction date, time, quantity, and, as customer or retail forex customer, or day, each futures commission merchant applicable, underlying commodity, other disposition thereof, together with which carries an account for another contract for future delivery, swap or the facts and circumstances of such futures commission merchant, foreign physical, price or premium, delivery other disposition. In the event any broker (as defined in § 15.00 of this month or expiration date, whether the futures commission merchant deposits chapter), member of a contract market, transaction involved a put or a call, with a clearing organization, directly or or other person, on an omnibus basis strike price, floor broker or floor trader with a bank or trust company acting as shall maintain a daily record for each buying, clearing member buying, floor custodian for such clearing such omnibus account of the total open broker or floor trader selling, clearing organization, securities and/or property long contracts and the total open short member selling, and symbols indicating which belong to a particular customer, contracts in each future and in each the buying and selling customer types. such futures commission merchant shall swap and, for commodity option The customer type indicator shall show, obtain written acknowledgment from transactions, the total open put options with respect to each person executing such clearing organization that it was purchased, the total open put options the trade, whether such person: informed that such securities or granted, the total open call options

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purchased, and the total open call to the execution of such buying order, of orders by offset within the meaning options granted for each commodity accepts such offer and all other offers of section 4b(a) of the Act. option expiration date. posted at prices equal to or lower than 21. Revise § 1.40 to read as follows: (c) Each designated contract market the offer posted by him; and swap execution facility shall keep (2) Such member executes such orders § 1.40 Crop, market information letters, reports; copies required. a record in permanent form, which shall in the presence of an official show the true name, address, and representative of such contract market Each futures commission merchant, principal occupation or business of any designated to observe such transactions each retail foreign exchange dealer, each foreign trader executing transactions on or on a system or platform accessible by introducing broker, each member of a the facility or exchange. In addition, an official representative of such swap contract market and each eligible upon request, a designated contract execution facility and, by appropriate contract participant with trading market or swap execution facility shall descriptive words or symbol, clearly privileges on a swap execution facility provide to the Commission information identifies all such transactions on his shall, upon request, furnish or cause to regarding the name of any person trading card or other record, made at the be furnished to the Commission a true guaranteeing such transactions or time of execution, and notes thereon the copy of any letter, circular, exercising any control over the trading exact time of execution and promptly telecommunication, or report published of such foreign trader. presents or makes available said record or given general circulation by such (d) Paragraph (c) of this section shall to such official representative for futures commission merchant, retail not apply to a designated contract verification and initialing, as foreign exchange dealer, introducing market or swap execution facility on appropriate; broker, member or eligible contract which transactions in futures, swaps or (3) Such swap execution facility or participant which concerns crop or options (other than swaps) contracts of contract market keeps a record in market information or conditions that foreign traders are executed through, or permanent form of each such affect or tend to affect the price of any the resulting transactions are transaction showing all transaction commodity, including any exchange maintained in, accounts carried by a details required to be captured by the rate, and the true source of or authority registered futures commission merchant Act, Commission rule or regulation; and for the information contained therein. or introduced by a registered (4) Neither the futures commission § 1.44 [Removed and Reserved] introducing broker subject to the merchant, other registrant receiving nor 22. Remove and reserve § 1.44. provisions of paragraph (a) of this the member executing such orders has 23. Amend § 1.46 by revising section. any interest therein, directly or paragraph (a)(1) introductory text and 20. Amend § 1.39 by revising indirectly, except as a fiduciary. paragraphs (a)(1)(iii), (a)(1)(iv), paragraph (a) introductory text, (a)(1)(ii), (b) Large order execution procedures. (a)(2)(iii), (a)(2)(iv), and (b), to read as (a)(2), (a)(3), (a)(4), (b) introductory text, A member of a contract market or a follows: (b)(2), and (c), to read as follows: swap execution facility may execute simultaneous buying and selling orders § 1.46 Application and closing out of § 1.39 Simultaneous buying and selling of different principals directly between offsetting long and short positions. orders of different principals; execution of, for and between principals. the principals in compliance with (a) Application of purchases and Commission regulations and large order (a) Conditions and requirements. A sales. (1) Except with respect to execution procedures established by member of a contract market or a swap purchases or sales which are for written rules of the contract market or execution facility who shall have at the omnibus accounts, or where the swap execution facility that have been same time both buying and selling customer or account controller has approved by or self-certified to the orders of different principals for the instructed otherwise, any futures Commission: Provided, That, to the same swap, commodity for future commission merchant who, on or extent such large order execution delivery in the same delivery month or subject to the rules of a designated procedures do not meet the conditions the same option (both puts or both calls, contract market: and requirements of paragraph (a) of with the same underlying contract for * * * * * this section, the contract market or swap future delivery or the same underlying (iii) Purchases a put or call option for execution facility has petitioned the physical, expiration date and strike the account of any customer when the Commission for, and the Commission price) may execute such orders for and account of such customer at the time of has granted, an exemption from the directly between such principals at the such purchase has a short put or call conditions and requirements of market price, if in conformity with option position with the same paragraph (a) of this section. Any such written rules of such contract market or underlying futures contract or same petition must be accompanied by swap execution facility which have underlying physical, strike price, proposed contract market or swap been approved by or self-certified to the expiration date and contract market as execution facility rules to implement Commission, and: that purchased; or the large order execution procedures. (1) * * * (iv) Sells a put or call option for the (ii) When in non-pit trading in swaps The petition shall include: account of any customer when the or contracts of sale for future delivery, * * * * * account of such customer at the time of bids and offers are posted on a board, (2) A description of a special such sale has a long put or call option such member: surveillance program that would be position with the same underlying (A) Pursuant to such buying order followed by the contract market or swap futures contract or same underlying posts a bid on the board and, incident execution facility in monitoring the physical, strike price, expiration date to the execution of such selling order, large order execution procedures. and contract market as that sold—shall accepts such bid and all other bids * * * * * on the same day apply such purchase or posted at prices equal to or higher than (c) Not deemed filling orders by offset. sale against such previously held short the bid posted by him, or The execution of orders in compliance or long futures or option position, as the (B) Pursuant to such selling order with the conditions herein set forth will case may be, and shall, for futures posts an offer on the board and, incident not be deemed to constitute the filling transactions, promptly furnish such

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customer a statement showing the directs trading in the customer’s or (2) Transmit promptly for execution financial result of the transactions retail forex customer’s account unless all customer orders to: involved and, if applicable, that the the person directing the trading is the * * * * * account was introduced to the futures futures commission merchant or retail (ii) A floor broker, if the introducing commission merchant by an introducing foreign exchange dealer (including any broker identifies its carrying futures broker and the names of the futures partner thereof), or is an officer, commission merchant and that carrying commission merchant and introducing employee, or agent of the futures futures commission merchant is also the broker. commission merchant or retail foreign clearing member with respect to the (2) * * * exchange dealer. With respect to every customer’s order. (iii) Purchases a put or call option such offsetting transaction that, in involving foreign currency for the * * * * * accordance with such specific (c) An introducing broker may not account of any customer when the instructions, is not applied to the oldest account of such customer at the time of accept any money, securities or property portion of the previously held position, (or extend credit in lieu thereof) to such purchase has a short put or call the futures commission merchant or option position with the same margin, guarantee or secure any trades retail foreign exchange dealer shall or contracts of customers, or any money, underlying currency, strike price, and clearly show on the statement issued to expiration date as that purchased; or securities or property accruing as a the customer or retail forex customer in result of such trades or contracts: (iv) Sells a put or call option connection with the transaction, that involving foreign currency for the Provided, however, That an because of the specific instructions introducing broker may deposit a check account of any customer when the given by or on behalf of the customer or account of such customer at the time of in a qualifying account or forward a retail forex customer the transaction was check drawn by a customer if: such sale has a long put or call option not applied in the usual manner, i.e., * * * * * position with the same underlying against the oldest portion of the currency, strike price, and expiration (2) The check is payable to the futures previously held position. However, no commission merchant carrying the date as that sold—shall immediately such showing need be made if the apply such purchase or sale against customer’s account; futures commission merchant or retail such previously held opposite foreign exchange dealer has received * * * * * transaction, and shall promptly furnish such specific instructions in writing (4) * * * such retail forex customer a statement (i) Which is maintained in an account from the customer or retail forex showing the financial result of the name which clearly identifies the funds customer for whom such account is transactions involved and, if applicable, therein as belonging to customers of the carried. that the account was introduced to the futures commission merchant carrying futures commission merchant or retail * * * * * the customer’s account; foreign exchange dealer by an 24. Revise paragraph (b)(1)(iii) of § 1.49 to read as follows: * * * * * introducing broker and the names of the (iv) For which the bank or trust futures commission merchant or retail § 1.49 Denomination of customer funds company provides the futures foreign exchange dealer, and the and location of depositories. commission merchant carrying the introducing broker. * * * * * customer’s account with a written (b) Close-out against oldest open (b) * * * (1) * * * acknowledgment, which the futures position. In all instances wherein the (iii) In a currency in which funds commission merchant must retain in its short or long futures, retail forex have accrued to the customer as a result files in accordance with § 1.31, that it transaction or option position in such of trading conducted on a designated was informed that the funds deposited customer’s or retail forex customer’s contract market, to the extent of such therein are those of customers and are account immediately prior to such accruals. being held in accordance with the offsetting purchase or sale is greater * * * * * provisions of the Act and these than the quantity purchased or sold, the regulations. futures commission merchant or retail § 1.53 [Removed and Reserved] 27. Amend § 1.59 by revising foreign exchange dealer shall apply 25. Remove and reserve § 1.53. paragraphs (a)(4)(i), (a)(5), (a)(7), (a)(8), such offsetting purchase or sale to the 26. Amend § 1.57 by revising (a)(9) introductory text, (a)(10), (b)(1) oldest portion of the previously held paragraph (a)(1), (a)(2) introductory text, introductory text, (b)(1)(i)(A), short or long position: Provided, That (a)(2)(ii), (c) introductory text, (c)(2), (b)(1)(i)(C), and (c), to read as follows: upon specific instructions from the (c)(4)(i), and (c)(4)(iv), to read as customer the offsetting transaction shall follows: § 1.59 Activities of self-regulatory be applied as specified by the customer organization employees, governing board without regard to the date of acquisition § 1.57 Operations and activities of members, committee members and of the previously held position; and introducing brokers. consultants. Provided, further, That a futures (a) * * * (a) * * * commission merchant or retail foreign (1) Open and carry each customer’s (4) * * * exchange dealer, if permitted by the account with a carrying futures (i) Any governing board member rules of a registered futures association, commission merchant on a fully- compensated by a self-regulatory may offset, at the customer’s request, disclosed basis: Provided, however, That organization solely for governing board retail forex transactions of the same size, an introducing broker which has activities; or even if the customer holds other entered into a guarantee agreement with * * * * * transactions of a different size, but in a futures commission merchant in (5) Material information means each case must offset the transaction accordance with the provisions of information which, if such information against the oldest transaction of the § 1.10(j) of this part must open and carry were publicly known, would be same size. Such instructions may also such customer’s account with such considered important by a reasonable be accepted from any person who, by guarantor futures commission merchant person in deciding whether to trade a power of attorney or otherwise, actually on a fully-disclosed basis; and particular commodity interest on a

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contract market or a swap execution been registered under the Securities Act includes a ‘‘clearing organization’’ as facility, or to clear a swap contract of 1933, or a trading vehicle for which defined in § 1.3(d) of this chapter, through a derivatives clearing § 4.5 of this chapter makes available except as defined in paragraph (b)(6) of organization. As used in this section, relief from regulation as a commodity this section. ‘‘material information’’ includes, but is pool operator, i.e., registered investment * * * * * not limited to, information relating to companies, insurance company separate (b) Each self-regulatory organization present or anticipated cash positions, accounts, bank trust funds, and certain must maintain in effect rules which commodity interests, trading strategies, pension plans. have been submitted to the Commission the financial condition of members of (b) Employees of self-regulatory pursuant to section 5c(c) of the Act and self-regulatory organizations or organizations; Self-regulatory part 40 of this chapter or, in the case of members of linked exchanges or their organization rules. (1) Each self- a registered futures association, customers, or the regulatory actions or regulatory organization must maintain pursuant to section 17(j) of the Act, that proposed regulatory actions of a self- in effect rules which have been render a person ineligible to serve on its regulatory organization or a linked submitted to the Commission pursuant disciplinary committees, arbitration exchange. to section 5c(c) of the Act and part 40 panels, oversight panels or governing * * * * * of this chapter (or, pursuant to section board who: (7) Linked exchange means: 17(j) of the Act in the case of a * * * * * (i) Any board of trade, exchange or registered futures association) that, at a (d) Each self-regulatory organization market outside the United States, its minimum, prohibit: shall submit to the Commission a territories or possessions, which has an (i) * * * schedule listing all those rule violations agreement with a contract market or (A) Trading, directly or indirectly, in which constitute disciplinary offenses swap execution facility in the United any commodity interest traded on or as defined in paragraph (a)(6)(i) of this States that permits positions in a cleared by the employing contract section and to the extent necessary to commodity interest which have been market, swap execution facility, or reflect revisions shall submit an established on one of the two markets to clearing organization; amended schedule within thirty days of be liquidated on the other market; * * * * * the end of each calendar year. Each self- (ii) Any board of trade, exchange or (C) Trading, directly or indirectly, in regulatory organization must maintain market outside the United States, its a commodity interest traded on contract and keep current the schedule required territories or possessions, the products markets or swap execution facilities or by this section, and post the schedule of which are listed on a United States cleared by derivatives clearing on the self-regulatory organization’s contract market, swap execution facility, organizations other than the employing website so that it is in a public place or a trading facility thereof; self-regulatory organization if the designed to provide notice to members (iii) Any securities exchange, the employee has access to material, non- and otherwise ensure its availability to products of which are held as margin in public information concerning such the general public. a commodity account or cleared by a commodity interest; * * * * * securities clearing organization * * * * * 30. Revise paragraph (a)(1) and pursuant to a cross-margining (c) Governing board members, paragraph (b) of § 1.67 to read as arrangement with a futures clearing committee members, and consultants; follows: organization; or Registered futures association rules. Each registered futures association must § 1.67 Notification of final disciplinary (iv) Any clearing organization which action involving financial harm to a clears the products of any of the maintain in effect rules which have customer. been submitted to the Commission foregoing markets. (a) * * * (8) Commodity interest means any pursuant to section 17(j) of the Act (1) Final disciplinary action means commodity futures, commodity option which provide that no governing board any decision by or settlement with a or swap contract traded on or subject to member, committee member, or contract market or swap execution the rules of a contract market, a swap consultant shall use or disclose —for facility in a disciplinary matter which execution facility or linked exchange, or any purpose other than the performance cannot be further appealed at the cleared by a derivatives clearing of official duties as a governing board contract market or swap execution organization, or cash commodities member, committee member, or facility, is not subject to the stay of the traded on or subject to the rules of a consultant—material, non-public Commission or a court of competent board of trade which has been information obtained as a result of the jurisdiction, and has not been reversed designated as a contract market. performance of such person’s official by the Commission or any court of (9) Related commodity interest means duties. competent jurisdiction. any commodity interest which is traded * * * * * * * * * * on or subject to the rules of a contract § 1.62 [Removed and Reserved] (b) Upon any final disciplinary action market, swap execution facility, linked in which a contract market or swap exchange, or other board of trade, 28. Remove and reserve § 1.62. execution facility finds that a member 29. Amend § 1.63 by revising exchange, or market, or cleared by a has committed a rule violation that paragraph (a)(1), (b) introductory text derivatives clearing organization, other involved a transaction for a customer, and (d) to read as follows: than the self-regulatory organization by whether executed or not, and that which a person is employed, and with § 1.63 Service on self-regulatory resulted in financial harm to the respect to which: organization governing boards or customer: * * * * * committees by persons with disciplinary (1)(i) The contract market or swap (10) Pooled investment vehicle means histories. execution facility shall promptly a trading vehicle organized and (a) * * * provide written notice of the operated as a commodity pool within (1) Self-regulatory organization means disciplinary action to the futures the meaning of § 4.10(d) of this chapter, a ‘‘self-regulatory organization’’ as commission merchant or other and whose units of participation have defined in § 1.3(ee) of this chapter, and registrant; and

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(ii) A futures commission merchant or (m) Retail forex transaction means all agreements, contracts and other registrant that receives a notice, any account, agreement, contract or transactions that are treated by a under paragraph (b)(1)(i) of this section transaction described in section clearing organization as fungible with shall promptly provide written notice of 2(c)(2)(B) or 2(c)(2)(C) of the Act. A such contracts); the term ‘‘option the disciplinary action to the customer retail forex transaction does not include contract’’ means any contract for the as disclosed on its books and records. If an account, agreement, contract or purchase or sale of a commodity option, the customer is another futures transaction in foreign currency that is a or as applicable, any other instrument commission merchant or other contract of sale of a commodity for subject to the Act, traded or executed on registrant, such futures commission future delivery (or an option thereon) or subject to the rules of any designated merchant or other registrant shall that is executed, traded on or otherwise contract market, or for the purposes of promptly provide notice to the subject to the rules of a contract market paragraph (i) of this section, a reporting customer. designated pursuant to section 5(a) of market (including all agreements, (2) A written notice required by the Act. contracts and transactions that are paragraph (b)(1) of this section must treated by a clearing organization as include the principal facts of the PART 7—CONTRACT MARKET RULES fungible with such contracts); the term disciplinary action and a statement that ALTERED OR SUPPLEMENTED BY ‘‘customer’’ means any person for whose the contract market or swap execution THE COMMISSION benefit a foreign broker makes or causes facility has found that the member has 35. Revise part 7 to read as follows: to be made any futures contract or committed a rule violation that involved option contract; and the term a transaction for the customer, whether PART 7—REGISTERED ENTITY RULES ‘‘communication’’ means any summons, executed or not, and that resulted in ALTERED OR SUPPLEMENTED BY complaint, order, subpoena, special call, financial harm to the customer. For the THE COMMISSION request for information, or notice, as purposes of this paragraph, a notice well as any other written document or which includes the information listed in Authority: 7 U.S.C. 7a–2(c) and 12a(7), as correspondence. § 9.11(b) of this chapter shall be deemed amended by Title VII of the Dodd-Frank Wall * * * * * to include the principal facts of the Street Reform and Consumer Protection Act, (e) Any designated contract market Pub. L. 111–203, 124 Stat. 1376 (2010). disciplinary action thereof. that permits a foreign broker to § 1.68 [Removed and Reserved] Subpart A—General Provisions intermediate contracts, agreements or transactions, or permits a foreign trader 31. Remove and reserve § 1.68. § 7.1. Scope of rules. to effect contracts, agreements or 32. Amend Appendix B to part 1 by This part sets forth registered entity transactions on the facility or exchange, revising paragraph (b) to read as follows: rules altered or supplemented by the shall be deemed to be the agent of the Appendix B to Part 1—Fees for Commission pursuant to section 8a(7) of foreign broker and any of its customers Contract Market Rule Enforcement the Act. for whom the transactions were Reviews and Financial Reviews executed, or the foreign trader, for Subpart B—[Reserved] purposes of accepting delivery and * * * * * service of any communication issued by (b) The Commission determines fees Subpart C—[Reserved] charged to exchanges based upon a formula or on behalf of the Commission to the that considers both actual costs and trading PART 8—[REMOVED AND RESERVED] foreign broker, any of its customers or volume. the foreign trader with respect to any * * * * * 36. Remove and reserve part 8. contracts, agreements or transactions executed by the foreign broker or the Appendix C to Part 1—[Removed and PART 15—REPORTS—GENERAL foreign trader on the designated contract Reserved] PROVISIONS market. Service or delivery of any 33. Remove and reserve Appendix C to 37a. The authority citation for part 15 communication issued by or on behalf part 1. is revised to read as follows: of the Commission to a designated contract market shall constitute valid PART 5—OFF-EXCHANGE FOREIGN Authority: 7 U.S.C. 2, 5, 6a, 6c, 6f, 6g, 6i, and effective service upon the foreign CURRENCY TRANSACTIONS 6k, 6m, 6n, 7, 9, 12a, 19, and 21, as amended by Title VII of the Dodd-Frank Wall Street broker, any of its customers or the foreign trader. A designated contract 34a. The authority citation for part 5 Reform and Consumer Protection Act, Pub. L. market which has been served with, or continues to read as follows: 111–203, 124 Stat. 1376 (2010). to which there has been delivered, a Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6c, 6d, 37b. Revise paragraphs (a), (e), (f), (g) and (h) of § 15.05 to read as follows: communication issued by or on behalf 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 6p, 8, 9, 9a, of the Commission to a foreign broker, 12, 12a, 13b, 13c, 16a, 18, 19, 21, 23. § 15.05 Designation of agent for foreign any of its customers or a foreign trader 34b. Revise paragraphs (k) and (m) of persons. shall transmit the communication § 5.1 to read as follows: (a) For purposes of this section, the promptly and in a manner which is term ‘‘futures contract’’ means any reasonable under the circumstances, or § 5.1 Definitions. contract for the purchase or sale of any in a manner specified by the * * * * * commodity for future delivery, or a Commission in the communication, to (k) Retail forex customer means a contract identified under § 36.3(c)(1)(i) the foreign broker, any of its customers person, other than an eligible contract traded on an electronic trading facility or the foreign trader. participant as defined in section 1a(18) operating in reliance on the exemption (f) It shall be unlawful for any of the Act, acting on its own behalf and set forth in § 36.3 of this chapter, traded designated contract market to permit a trading in any account, agreement, or executed on or subject to the rules of foreign broker, any of its customers or contract or transaction described in any designated contract market, or for a foreign trader to effect contracts, section 2(c)(2)(B) or 2(c)(2)(C) of the Act. the purposes of paragraph (i) of this agreements or transactions on the * * * * * section, a reporting market (including facility unless the designated contract

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market prior thereto informs the foreign commission merchant or introduced by entity under section 1a(40)(F) of the Act, broker, any of its customers or the a registered introducing broker subject to cause to open an account, or to cause foreign trader, in any reasonable manner to the provisions of paragraphs (a), (b), transactions to be effected, in a contract the facility deems to be appropriate, of (c) and (d) of this section. traded in reliance on a Commission the requirements of this section. * * * * * grandfather relief order issued pursuant (g) The requirements of paragraphs (e) to Section 723(c)(2)(B) of the Dodd- and (f) of this section shall not apply to PART 18—REPORTS BY TRADERS Frank Wall Street Reform and Consumer any contracts, transactions or Protection Act (Pub. L. 111–203, 124 38a. The authority citation for part 18 agreements traded on any designated Stat. 1376 (2010)), for an existing is revised to read as follows: contract market if the foreign broker, account for any person that is a foreign any of its customers or the foreign trader Authority: 7 U.S.C. 2, 5, 6a, 6c, 6f, 6g, 6i, clearing member or foreign trader, until has duly executed and maintains in 6k, 6m, 6n, 12a and 19, as amended by Title the futures commission merchant, effect a written agency agreement in VII of the Dodd-Frank Wall Street Reform introducing broker, clearing member or compliance with this paragraph with a and Consumer Protection Act, Public Law reporting market has explained fully to person domiciled in the United States 111–203, 124 Stat. 1376 (2010); 5 U.S.C. 552 and 552(b), unless otherwise noted. the customer, in any manner that such and has provided a copy of the person deems appropriate, the agreement to the designated contract 38b. Revise paragraphs (a)(2), (a)(3), provisions of this section. and (a)(4) of § 18.05 to read as follows: market prior to effecting any contract, * * * * * agreement or transaction on the facility. § 18.05 Maintenance of books and records. This agreement must authorize the PART 36—EXEMPT MARKETS person domiciled in the United States to (a) * * * serve as the agent of the foreign broker, (2) Executed over the counter or 40a. The authority citation for part 36 any of its customers or the foreign trader pursuant to part 35 of this chapter; is revised to read as follows: (3) On exempt commercial markets for purposes of accepting delivery and operating under a Commission Authority: 7 U.S.C. 2, 6, 6c and 12a, as service of all communications issued by amended by Title VII of the Dodd-Frank Wall grandfather relief order issued pursuant or on behalf of the Commission to the Street Reform and Consumer Protection Act, foreign broker, any of its customers or to Section 723(c)(2)(B) of the Dodd- Pub. L. 111–203, 124 Stat. 1376 (2010); the foreign trader and must provide an Frank Wall Street Reform and Consumer Sections 723(c)(2)(B) and 734(c)(2), Pub. L. address in the United States where the Protection Act (Pub. L. 111–203, 124 111–203, 124 Stat. 1376 (2010). Stat. 1376 (2010)); agent will accept delivery and service of 40b. Section 36.1 is revised to read as (4) On exempt boards of trade communications from the Commission. follows: This agreement must be filed with the operating under a Commission Commission by the designated contract grandfather relief order issued pursuant § 36.1 Scope. market prior to permitting the foreign to Section 734(c)(2) of the Dodd-Frank The provisions of this part apply to broker, any of its customers or the Wall Street Reform and Consumer any board of trade or electronic trading foreign trader to effect any transactions Protection Act (Pub. L. 111–203, 124 facility that operates as: in futures or option contracts. Unless Stat. 1376 (2010)); and (a) An exempt commercial market otherwise specified by the Commission, * * * * * operating under a grandfather relief the agreements required to be filed with order issued by the Commission the Commission shall be filed with the PART 21—SPECIAL CALLS pursuant to Section 723(c)(2)(B) of the Secretary of the Commission at Three 39a. The authority citation for part 21 Dodd-Frank Wall Street Reform and Lafayette Centre, 1155 21st Street, NW., is revised to read as follows: Consumer Protection Act (Pub. L. 111– Washington, DC 20581. A foreign 203, 124 Stat. 1376 (2010)), or Authority: 7 U.S.C. 1a, 2, 6a, 6c, 6f, 6g, (b) An exempt board of trade broker, any of its customers or a foreign 6i, 6k, 6m, 6n, 7, 12a, 19 and 21, as amended trader shall notify the Commission by Title VII of the Dodd-Frank Wall Street operating under a grandfather relief immediately if the written agency Reform and Consumer Protection Act, Pub. L. order issued by the Commission agreement is terminated, revoked, or is 111–203, 124 Stat. 1376 (2010); 5 U.S.C. 552 pursuant to Section 734(c)(2) of the otherwise no longer in effect. If the and 552(b), unless otherwise noted. Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub. L. 111– designated contract market knows or 39b. Revise paragraph (b) of § 21.03 to 203, 124 Stat. 1376 (2010)). should know that the agreement has read as follows: expired, been terminated, or is no longer 41. Amend § 36.2 by: in effect, the designated contract market § 21.03 Selected special calls—duties of a. Revising paragraph (a) introductory shall notify the Secretary of the foreign brokers, domestic and foreign text and (a)(2)(i); Commission immediately. If the written traders, futures commission merchants, b. Adding paragraph (a)(3); and agency agreement expires, terminates, or clearing members, introducing brokers, and c. Revising paragraph (b) introductory is not in effect, the designated contract reporting markets. text, (c)(1), (c)(2)(i) introductory text, market and the foreign broker, any of its * * * * * (c)(2)(ii) introductory text, (c)(2)(iii), customers or the foreign trader are (b) It shall be unlawful for a futures (c)(2)(iv)(A) introductory text, and (c)(3), subject to the provisions of paragraphs commission merchant to open a futures to read as follows: (e) and (f) of this section. or options account or to effect (h) The provisions of paragraphs (e), transactions in futures or options § 36.2 Exempt boards of trade. (f) and (g) of this section shall not apply contracts for an existing account, or for (a) Eligible commodities. to a designated contract market on an introducing broker to introduce such Commodities eligible to be traded by an which all transactions of foreign an account, for any customer for whom exempt board of trade are: brokers, their customers or foreign the futures commission merchant or * * * * * traders in futures or option contracts are introducing broker is required to (2) * * * executed through, or the resulting provide the explanation provided for in (i) The commodities defined in transactions are maintained in, accounts § 15.05(c) of this chapter, or for a section 1a(19) of the Act as ‘‘excluded carried by a registered futures reporting market that is a registered commodities’’ (other than a security,

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including any group or index thereof or paragraph (c)(2)(i)(A) or (B) of this and provide the Commission with any interest in, or based on the value of, section. access to the electronic trading facility’s any security or group or index of (iv) Price dissemination. (A) An trading protocols, in a format specified securities); and exempt board of trade that the by the Commission; * * * * * Commission has determined performs a (iii) Demonstrate to the Commission (3) Such contracts must be entered significant price discovery function that the facility requires, and will into only between persons that are under paragraph (c)(2)(iii) of this section require, with respect to all current and eligible contract participants, as defined shall disseminate publicly, and on a future agreements, contracts and in section 1a(18) of the Act and as daily basis, all of the following transactions, that each participant further defined by the Commission, at information with respect to transactions agrees to comply with all applicable the time at which the persons entered executed in reliance on the criteria set laws; that the authorized participants into the contract. forth in this section: are ‘‘eligible commercial entities’’ as (b) Notification. Boards of trade * * * * * defined in section 1a(17) of the Act; that operating as exempt boards of trade (3) Annual certification. A board of all agreements, contracts and shall maintain on file with the Secretary trade operating as an exempt board of transactions are and will be entered into of the Commission at the Commission’s trade shall file with the Commission solely on a principal-to-principal basis; Washington, DC headquarters, in annually, no later than the end of each and that the facility has in place a electronic form, a ‘‘Notification of calendar year, a notice that includes: program to routinely monitor Operation as an Exempt Board of (i) A statement that it continues to participants’ compliance with these Trade,’’ and it shall include: operate under the exemption; and requirements; (iv) At the request of the Commission, * * * * * (ii) A certification that the (c) Additional requirements—(1) information contained in the previous provide any other information that the Prohibited representation. A board of Notification of Operation as an Exempt Commission, in its discretion, deems trade that meets the criteria set forth in Board of Trade is still correct. relevant to its determination whether an this section and operates as an exempt 42. Section 36.3 is revised to read as agreement, contract, or transaction board of trade shall not represent to any follows: performs a significant price discovery person that it is registered with, function; and § 36.3 Exempt commercial markets. (v) File with the Commission designated, recognized, licensed or (a) Eligible transactions. Agreements, annually, no later than the end of each approved by the Commission. (2) Market data dissemination—(i) contracts or transactions in an exempt calendar year, a completed copy of Criteria for price discovery commodity eligible to be entered into on CFTC Form 205—Exempt Commercial determination. An exempt board of an exempt commercial market must be: Market Annual Certification. The (1) Entered into on a principal-to- trade performs a significant price information submitted in Form 205 principal basis solely between persons discovery function for transactions in shall include: that are eligible commercial entities, as (A) A statement indicating whether the cash market for a commodity that term is defined in section 1a(17) of the electronic trading facility continues underlying any agreement, contract or the Act, at the time the persons enter to operate under the exemption; and transaction executed or traded on the into the agreement, contract or (B) A certification that affirms the facility when: transaction; and accuracy of and/or updates the * * * * * (2) Executed or traded on an information contained in the previous (ii) Notification. An exempt board of electronic trading facility. Notification of Operation as an Exempt trade operating a market in reliance on (b) Notification. An electronic trading Commercial Market. the criteria set forth in this section shall facility relying upon the exemption set (2) Electronic trading facilities trading notify the Commission when: forth in this section shall maintain on or executing agreements, contracts or * * * * * file with the Secretary of the transactions other than significant price (iii) Price discovery determination. Commission at the Commission’s discovery contracts. In addition to the Following receipt of notice under Washington, DC headquarters, in requirements of paragraph (c)(1) of this paragraph (c)(2)(ii) of this section, or on electronic form, a ‘‘Notification of section, a facility operating in reliance its own initiative, the Commission may Operation as an Exempt Commercial on the exemption set forth in this notify an exempt board of trade that the Market,’’ and it shall include the section, with respect to agreements, facility appears to meet the criteria for information and certifications specified contracts or transactions that have not performing a significant price discovery in this section. been determined to perform significant function under paragraph (c)(2)(i)(A) or (c) Required information—(1) All price discovery function, on an on-going (B) of this section. Before making a final electronic trading facilities. A facility basis must: price discovery determination under operating in reliance on the exemption (i) Identify to the Commission those this paragraph, the Commission shall set forth in this section on an on-going agreements, contracts and transactions provide the exempt board of trade with basis, must: conducted on the electronic trading an opportunity for a hearing through the (i) Provide the Commission with the facility with respect to which it intends, submission of written data, views and terms and conditions, as defined in in good faith, to rely on the exemption arguments. Any such written data, § 40.1(i) of this chapter and product set forth in this section, and which views and arguments shall be filed with descriptions for each agreement, averaged five trades per day or more the Secretary of the Commission in the contract or transaction listed by the over the most recent calendar quarter; form and manner and within the time facility in reliance on the exemption set and, with respect to such agreements, specified by the Commission. After forth in this section, as well as trading contracts and transactions, either: consideration of all relevant matters, the conventions, mechanisms and practices; (A) Submit to the Commission, in a Commission shall issue an order (ii) Provide the Commission with form and manner acceptable to the containing its determination whether information explaining how the facility Commission, a report for each business the facility performs a significant price meets the definition of ‘‘trading facility’’ day. Each such report shall be discovery function under the criteria of contained in section 1a(51) of the Act electronically transmitted weekly,

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within such time period as is acceptable agreement, contract or transaction (iii) The Commission hereby to the Commission after the end of the executed on the electronic trading delegates, until the Commission orders week to which the data applies, and facility in reliance on the exemption set otherwise, the authority to make special shall show for each agreement, contract forth in this section and indicate for calls to the Directors of the Division of or transaction executed the following each such agreement, contract or Market Oversight, the Division of information: transaction the contract terms and Clearing and Intermediary Oversight, (1) The underlying commodity, the conditions, the contract’s average daily and the Division of Enforcement to be delivery or price-basing location trading volume, and the most recent exercised by each such Director or by specified in the agreement, contract or open interest figures. such other employee or employees as transaction maturity date, whether it is (3) Electronic trading facilities trading the Director may designate. The a financially settled or physically or executing significant price discovery Directors may submit to the delivered instrument, and the date of contracts. In addition to the Commission for its consideration any execution, time of execution, price, and requirements of paragraph (c)(1) of this matter that has been delegated in this quantity; section, if the Commission determines paragraph (c)(5). Nothing in this (2) Total daily volume and, if cleared, that a facility operating in reliance on paragraph prohibits the Commission, at open interest; the exemption set forth in this section its election, from exercising the (3) For an option instrument, in trades or executes an agreement, authority delegated in this paragraph. addition to the foregoing information, contract or transaction that performs a (6) Subpoenas to foreign persons. A the type of option (i.e., call or put) and significant price discovery function, the foreign person whose access to an strike prices; and facility must, with respect to any electronic trading facility is limited or (4) Such other information as the significant price discovery contract, denied at the direction of the Commission may determine; or Commission based on the Commission’s (B) Provide to the Commission, in a publish and provide to the Commission the information required by § 16.01 of belief that the foreign person has failed form and manner acceptable to the timely to comply with a subpoena shall Commission, electronic access to those this chapter. (4) Delegation of authority. The have an opportunity for a prompt transactions conducted on the electronic hearing under the procedures provided trading facility in reliance on the Commission hereby delegates, until the Commission orders otherwise, the in § 21.03(b) and (h) of this chapter. exemption set forth in this section, and (7) Prohibited representation. An authority to determine the form and meeting the average five trades per day electronic trading facility relying upon manner of submitting the required or more threshold test of this section, the exemption set forth in this section, information under paragraphs (c)(1) which would allow the Commission to with respect to agreements, contracts or through (3) of this section, to the compile the information set forth in transactions that are not significant Director of the Division of Market paragraph (c)(2)(i)(A) of this section and price discovery contracts, shall not Oversight and such members of the create a permanent record thereof. represent to any person that it is Commission’s staff as the Director may (ii) Maintain a record of allegations or registered with, designated, recognized, complaints received by the electronic designate. The Director may submit to licensed or approved by the trading facility concerning instances of the Commission for its consideration Commission. suspected fraud or manipulation in any matter that has been delegated by (d) Significant price discovery trading activity conducted in reliance this paragraph. Nothing in this contracts—(1) Criteria for significant on the exemption set forth in this paragraph prohibits the Commission, at price discovery determination. The section. The record shall contain the its election, from exercising the Commission may determine, in its name of the complainant, if provided, authority delegated in this paragraph discretion, that an electronic trading date of the complaint, market (c)(4). facility operating a market in reliance on instrument, substance of the allegations, (5) Special calls. (i) All information the exemption set forth in this section and name of the person at the electronic required upon special call of the performs a significant price discovery trading facility who received the Commission shall be transmitted at the function for transactions in the cash complaint; same time and to the office of the market for a commodity underlying any (iii) Provide to the Commission, in the Commission as may be specified in the agreement, contract or transaction form and manner prescribed by the call. executed or traded on the facility. In Commission, a copy of the record of (ii) Such information shall include making such a determination, the each complaint received pursuant to information related to the facility’s Commission shall consider, as paragraph (c)(2)(ii) of this section that business as an exempt electronic trading appropriate: alleges, or relates to, facts that would facility in reliance on the exemption set (i) Price linkage. The extent to which constitute a violation of the Act or forth in this section, including the agreement, contract or transaction Commission regulations. Such copy information relating to data entry and uses or otherwise relies on a daily or shall be provided to the Commission no transaction details in respect of final settlement price, or other major later than 30 calendar days after the transactions entered into in reliance on price parameter, of a contract or complaint is received; Provided, the exemption, as the Commission may contracts listed for trading on or subject however, that in the case of a complaint determine appropriate— to the rules of a designated contract alleging, or relating to, facts that would (A) To enforce the antifraud and anti- market, or a significant price discovery constitute an ongoing fraud or market manipulation provisions of the Act and contract traded on an electronic trading manipulation under the Act or Commission regulations, and facility, to value a position, transfer or Commission rules, such copy shall be (B) To evaluate a systemic market convert a position, cash or financially provided to the Commission within event; or settle a position, or close out a position; three business days after the complaint (C) To obtain information requested (ii) Arbitrage. The extent to which the is received; and by a Federal financial regulatory price for the agreement, contract or (iv) Provide to the Commission on a authority in order to enable the transaction is sufficiently related to the quarterly basis, within 15 calendar days regulator to fulfill its regulatory or price of a contract or contracts listed for of the close of each quarter, a list of each supervisory responsibilities. trading on or subject to the rules of a

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designated contract market, or a data, views and arguments shall be filed minimum financial standards for significant price discovery contract or with the Secretary of the Commission, members or market participants. contracts trading on or subject to the in the form and manner specified by the Subsequent rule changes must be rules of an electronic trading facility, so Commission, within 30 calendar days of certified by the electronic trading as to permit market participants to publication of notice in the Federal facility pursuant to section 5c(c) of the effectively arbitrage between the Register or within such other time Act and § 40.6 of this chapter. The markets by simultaneously maintaining specified by the Commission. After electronic trading facility also may positions or executing trades in the prompt consideration of all relevant request Commission approval of any contracts on a frequent and recurring information, the Commission shall, rule changes pursuant to section 5c(c) of basis; within a reasonable period of time after the Act and § 40.5 of this chapter; (iii) Material price reference. The the close of the comment period, issue (C) A description of the trading extent to which, on a frequent and an order explaining its determination system, algorithm, security and access recurring basis, bids, offers, or whether the agreement, contract or limitation procedures with a timeline transactions in a commodity are directly transaction executed or traded by the for an order from input through based on, or are determined by electronic trading facility performs a settlement, and a copy of any system referencing, the prices generated by significant price discovery function test procedures, tests conducted, test agreements, contracts or transactions under the criteria specified in paragraph results and contingency or disaster being traded or executed on the (d)(1)(i) through (v) of this section. recovery plans; electronic trading facility; (4) Compliance with core principles. (D) A copy of any documents (iv) Material liquidity. The extent to (i) Following the issuance of an order by pertaining to or describing the which the volume of agreements, the Commission that the electronic electronic trading system’s legal status contracts or transactions in the trading facility executes or trades an and governance structure, including commodity being traded on the agreement, contract or transaction that governance fitness information; electronic trading facility is sufficient to performs a significant price discovery (E) An executed or executable copy of have a material effect on other function, the electronic trading facility any agreements or contracts entered into agreements, contracts or transactions must demonstrate, with respect to that or to be entered into by the electronic listed for trading on or subject to the agreement, contract or transaction, trading facility, including partnership or rules of a designated contract market or compliance with the Core Principles set limited liability company, third-party an electronic trading facility operating forth in this section and the applicable regulatory service, or member or user in reliance on the exemption set forth in provisions of this part. If the agreements, that enable or empower the this section; Commission’s order represents the first electronic trading facility to comply (v) Other material factors. [Reserved] time it has determined that one of the with a Core Principle; (2) Notification of possible significant electronic trading facility’s agreements, (F) A copy of any manual or other price discovery contract conditions. An contracts or transactions performs a document describing, with specificity, electronic trading facility operating in significant price discovery function, the the manner in which the trading facility reliance on the exemption set forth in facility must submit a written will conduct trade practice, market and this section shall promptly notify the demonstration of compliance with the financial surveillance; Commission, and such notification shall Core Principles within 90 calendar days (G) To the extent that any of the items be accompanied by supporting of the date of the Commission’s order. in paragraphs (d)(4)(ii) through (vi) of information or data concerning any For each subsequent determination by this section raise issues that are novel, contract that: the Commission that the electronic or for which compliance with a Core (i) Averaged five trades per day or trading facility has an additional Principle is not self-evident, an more over the most recent calendar agreement, contract or transaction that explanation of how that item satisfies quarter; and performs a significant price discovery the applicable Core Principle or (ii)(A) For which the exchange sells function, the facility must submit a Principles. its price information regarding the written demonstration of compliance (ii) The electronic trading facility contract to market participants or with the Core Principles within 30 must identify with particularity industry publications; or calendar days of the date of the information in the submission that will (B) Whose daily closing or settlement Commission’s order. Attention is be subject to a request for confidential prices on 95 percent or more of the days directed to Appendix B of this part for treatment pursuant to § 145.09 of this in the most recent quarter were within guidance on and acceptable practices for chapter. The electronic trading facility 2.5 percent of the contemporaneously complying with the Core Principles. must follow the procedures specified in determined closing, settlement or other Submissions demonstrating how the § 40.8 of this chapter with respect to any daily price of another agreement, electronic trading facility complies with information in its submission for which contract or transaction. the Core Principles with respect to its confidential treatment is requested. (3) Procedure for significant price significant price discovery contract (5) Determination of compliance with discovery determination. Before making must be filed with the Secretary of the core principles. The Commission shall a final price discovery determination Commission at its Washington, DC take into consideration differences under this paragraph, the Commission headquarters. Submissions must include between cleared and uncleared shall publish notice in the Federal the following: significant price discovery contracts Register that it intends to undertake a (A) A written certification that the when reviewing the implementation of determination with respect to whether a significant price discovery contract(s) the Core Principles by an electronic particular agreement, contract or complies with the Act and regulations trading facility. The electronic facility transaction performs a significant price thereunder; has reasonable discretion in accounting discovery function and to receive (B) A copy of the electronic trading for differences between cleared and written data, views and arguments facility’s rules (as defined in § 40.1 of uncleared significant price discovery relevant to its determination from the this chapter) and any technical manuals, contracts when establishing the manner electronic trading facility and other other guides or instructions for users of, in which it complies with the Core interested persons. Any such written or participants in, the market, including Principles.

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(6) Information relating to compliance contract or transaction has ceased to statute are: Price Linkage; Arbitrage; Material with core principles. Upon request by perform a significant price discovery Price Reference; and Material Liquidity. the Commission, an electronic trading function, the Commission shall publish * * * * * facility trading a significant price notice in the Federal Register that it (A) MATERIAL LIQUIDITY—The extent to discovery contract shall file with the intends to undertake such a which the volume of agreements, contracts or Commission a written demonstration, determination and to receive written transactions in the commodity being traded containing such supporting data, on the electronic trading facility is sufficient data, views and arguments relevant to to have a material effect on other agreements, information and documents, in the form its determination from the electronic contracts or transactions listed for trading on and manner and within such time as the trading facility and other interested or subject to the rules of a designated Commission may specify, that the persons. Written submissions shall be contract market, or an electronic trading electronic trading facility is in filed with the Secretary of the facility operating in reliance on the compliance with one or more Core Commission in the form and manner exemption set forth in this section. Principles as specified in the request, or specified by the Commission, within 30 * * * * * that is otherwise requested by the calendar days of publication of notice in (B) PRICE LINKAGE—The extent to which Commission to enable the Commission the Federal Register, or within such the agreement, contract or transaction uses to satisfy its obligations under the Act. other time specified by the Commission. or otherwise relies on a daily or final settlement price, or other major price (7) Enforceability. An agreement, After consideration of all relevant contract or transaction entered into on parameter, of a contract or contracts listed information, the Commission shall issue for trading on or subject to the rules of a or pursuant to the rules of an electronic an order explaining its determination trading facility trading or executing a designated contract market, or a significant whether the agreement, contract or price discovery contract traded on an significant price discovery contract shall transaction has ceased to perform a electronic trading facility, to value a position, not be void, voidable, subject to significant price discovery function and, transfer or convert a position, cash or rescission or otherwise invalidated or if so, vacating its prior order. If such an financially settle a position, or close out a rendered unenforceable as a result of: position. (i) A violation by the electronic order issues, and the Commission subsequently determines, on its own * * * * * trading facility of the provisions set (C) ARBITRAGE CONTRACTS—The extent forth in this section; or initiative or after notification by the electronic trading facility, that the to which the price for the agreement, contract (ii) Any Commission proceeding to or transaction is sufficiently related to the alter or supplement a rule, term or agreement, contract or transaction that price of a contract or contracts listed for condition under section 8a(7) of the Act, was subject to the vacation order again trading on or subject to the rules of a to declare an emergency under section performs a significant price discovery designated contract market or a significant 8a(9) of the Act, or any other proceeding function, the electronic trading facility price discovery contract or contracts trading the effect of which is to alter, must comply with the Core Principles on or subject to the rules of an electronic supplement or require an electronic within 30 calendar days of the date of trading facility, so as to permit market trading facility to adopt a specific term the Commission’s order. participants to effectively arbitrage between the markets by simultaneously maintaining or condition, trading rule or procedure, (iv) Automatic vacation of significant positions or executing trades in the contracts or to take or refrain from taking a price discovery determination. on a frequent and recurring basis. specific action. Regardless of whether a proceeding to * * * * * (8) Procedures for vacating a vacate has been initiated, any significant (D) *** determination of a significant price price discovery contract that has no * * * * * discovery function—(i) By the electronic open interest and in which no trading trading facility. An electronic trading 2. In evaluating a contract’s price discovery has occurred for a period of 12 complete role as a directly referenced price source, the facility that executes or trades an and consecutive calendar months shall, Commission will perform an analysis to agreement, contract or transaction that without further proceedings, no longer determine whether cash market participants the Commission has determined be considered to be a significant price are quoting bid or offer prices or entering into performs a significant price discovery discovery contract. transactions at prices that are set either function under paragraph (d)(3) of this explicitly or implicitly at a differential to (e) Commission Review. The section may petition the Commission to prices established for the contract. Cash Commission shall, at least annually, vacate that determination. The petition market prices are set explicitly at a evaluate as appropriate agreements, shall demonstrate that the agreement, differential to the contract being traded on contracts or transactions conducted on the electronic trading facility when, for contract or transaction no longer an electronic trading facility in reliance instance, they are quoted in dollars and cents performs a significant price discovery on the exemption set forth in this above or below the reference contract’s price. function under the criteria specified in section to determine whether they serve Cash market prices are set implicitly at a paragraph (d)(1), and has not done so for a significant price discovery function as differential to a contract being traded on the at least the prior 12 months. An electronic trading facility when, for instance, set forth in paragraph (d)(1) above. electronic trading facility shall not they are arrived at after adding to, or petition for a vacation of a significant 43. Amend Appendix A to part 36 by subtracting from the contract being traded on price discovery determination more revising introductory paragraph 1, the the electronic trading facility, but then frequently than once every 12 months headings to paragraphs (A), (B), and (C), quoted or reported at a flat price. The for any individual contract. and paragraphs (D)2. and (D)4., to read Commission will also consider whether cash as follows: market entities are quoting cash prices based (ii) By the Commission. The on a contract being traded on the electronic Commission may, on its own initiative, Appendix A to Part 36—Guidance on trading facility on a frequent and recurring begin vacation proceedings if it believes Specific Price Discovery Contracts basis. that an agreement, contract or * * * * * transaction has not performed a 1. There are four factors that the 4. In applying this criterion, consideration significant price discovery function for Commission must consider, as appropriate, will be given to whether prices established at least the prior 12 months. in making a determination that a contract is by a contract being traded on the electronic (iii) Procedure. Before making a final performing a significant price discovery trading facility are reported in a widely determination whether an agreement, function. The four factors prescribed by the distributed industry publication. In making

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this determination, the Commission will (b) Acceptable practices. Guideline No.1, (3) Ability to assess participants’ market consider the reputation of the publication 17 CFR part 40, Appendix A may be used as activity and power. To assess participants’ within the industry, how frequently it is guidance in meeting this core principle for activity and potential power in a market, published, and whether the information significant price discovery contracts. electronic trading facilities, with respect to contained in the publication is routinely CORE PRINCIPLE II—MONITORING OF significant price discovery contracts, at a consulted by industry participants in pricing TRADING. The electronic trading facility minimum should have routine access to the cash market transactions. shall monitor trading in significant price positions and trading of its participants and, * * * * * discovery contracts to prevent market if applicable, should provide for such access 44. Revise Appendix B to Part 36 to manipulation, price distortion, and through its agreements with its third-party read as follows: disruptions of the delivery of cash-settlement provider of clearing services. process through market surveillance, CORE PRINCIPLE III—ABILITY TO Appendix B to Part 36—Guidance on, compliance and disciplinary practices and OBTAIN INFORMATION. The electronic and Acceptable Practices in, procedures, including methods for trading facility shall establish and enforce Compliance With Core Principles conducting real-time monitoring of trading rules that allow the electronic trading facility and comprehensive and accurate trade to obtain any necessary information to 1. This Appendix provides guidance on reconstructions. perform any of the functions set forth in this complying with the core principles set forth (a) Guidance. An electronic trading facility subparagraph, provide the information to the in this part, both initially and on an ongoing on which significant price discovery Commission upon request, and have the basis. The guidance is provided in paragraph contracts are traded or executed should, with capacity to carry out such international (a) following each core principle and can be respect to those contracts, demonstrate a information-sharing agreements as the used to demonstrate to the Commission core capacity to prevent market manipulation and Commission may require. have trading and participation rules to detect principle compliance under § 36.3(d)(4). The (a) Guidance. An electronic trading facility guidance for each core principle is and deter abuses. The facility should seek to on which significant price discovery illustrative only of the types of matters an prevent market manipulation and other contracts are traded or executed should, with electronic trading facility may address, as trading abuses through a dedicated regulatory respect to those contracts, have the ability applicable, and is not intended to be used as department or by delegation of that function and authority to collect information and a mandatory checklist. Addressing the issues to an appropriate third party. An electronic documents on both a routine and non-routine and questions set forth in this guidance will trading facility also should have the authority basis, including the examination of books help the Commission in its consideration of to intervene as necessary to maintain an and records kept by participants. This whether the electronic trading facility is in orderly market. includes having arrangements and resources compliance with the core principles. A (b) Acceptable practices—(1) An for recording full data entry and trade details submission pursuant to § 36.3(d)(4) should acceptable trade monitoring program. An and safely storing audit trail data. An include an explanation or other form of acceptable trade monitoring program should electronic trading facility should have documentation demonstrating that the facilitate, on both a routine and non-routine electronic trading facility complies with the basis, arrangements and resources to detect systems sufficient to enable it to use the core principles. and deter abuses through direct surveillance information for purposes of assisting in the 2. Acceptable practices meeting selected of each significant price discovery contract. prevention of participant and market abuses requirements of the core principles are set Direct surveillance of each significant price through reconstruction of trading and forth in paragraph (b) following each core discovery contract will generally involve the providing evidence of any violations of the principle. Electronic trading facilities on collection of various market data, including electronic trading facility’s rules. which significant price discovery contracts information on participants’ market activity. (b) Acceptable practices—(1) The goal of are traded or executed that follow the Those data should be evaluated on an an audit trail is to detect and deter market specific practices outlined under paragraph ongoing basis in order to make an abuse. An effective contract audit trail should (b) for any core principle in this appendix appropriate regulatory response to potential capture and retain sufficient trade-related will meet the selected requirements of the market disruptions or abusive practices. For information to permit electronic trading applicable core principle. Paragraph (b) is for contracts with a substantial number of facility staff to detect trading abuses and to illustrative purposes only, and does not state participants, an effective surveillance reconstruct all transactions within a the exclusive means for satisfying a core program should employ a much more reasonable period of time. An audit trail principle. comprehensive large trader reporting system. should include specialized electronic CORE PRINCIPLE I—CONTRACTS NOT (2) Authority to collect information and surveillance programs that identify READILY SUSCEPTIBLE TO documents. The electronic trading facility potentially abusive trades and trade patterns. MANIPULATION. The electronic trading should have the authority to collect An acceptable audit trail must be able to facility shall list only significant price information and documents in order to track an order from time of entry into the discovery contracts that are not readily reconstruct trading for appropriate market trading system through its fill. The electronic susceptible to manipulation. analysis. Appropriate market analysis should trading facility must create and maintain an (a) Guidance. Upon determination by the enable the electronic trading facility to assess electronic transaction history database that Commission that a contract listed for trading whether each significant price discovery contains information with respect to on an electronic trading facility is a contract is responding to the forces of supply transactions executed on each significant significant price discovery contract, the and demand. Appropriate data usually price discovery contract. electronic trading facility must self-certify include various fundamental data about the (2) An acceptable audit trail should the terms and conditions of the significant underlying commodity, its supply, its include the following: original source price discovery contract under § 36.3(d)(4) demand, and its movement through market documents, transaction history, electronic within 90 calendar days of the date of the channels. Especially important are data analysis capability, and safe storage Commission’s order if the contract is the related to the size and ownership of capability. An acceptable audit trail system electronic trading facility’s first significant deliverable supplies—the existing supply would satisfy the following practices. price discovery contract; or 30 days from the and the future or potential supply—and to (i) Original source documents. Original date of the Commission’s order if the contract the pricing of the deliverable commodity source documents include unalterable, is not the electronic trading facility’s first relative to the futures price and relative to sequentially identified records on which significant price discovery contract. Once the the similar, but non-deliverable, kinds of the trade execution information is originally Commission determines that a contract commodity. For cash-settled contracts, it is recorded. For each order (whether filled, performs a significant price discovery more appropriate to pay attention to the unfilled or cancelled, each of which should function, subsequent rule changes must be availability and pricing of the commodity be retained or electronically captured), such self-certified to the Commission by the making up the index to which the contract records reflect the terms of the order, an electronic trading facility pursuant to § 40.6 will be settled, as well as monitoring the account identifier that relates back to the or submitted to the Commission for review continued suitability of the methodology for account(s) owner(s), and the time of order and approval pursuant to § 40.5. deriving the index. entry.

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(ii) Transaction history. A transaction specifically may exempt bona fide hedging; minimizes the potential for price history consists of an electronic history of permit other exemptions; or set limits manipulation or distortion in the significant each transaction, including: differently by market, delivery month or time price discovery contract itself; in related (A) All the data that are input into the period. For the purpose of evaluating a futures and options contracts traded on a trade entry or matching system for the significant price discovery contract’s designated contract market; in other transaction to match and clear; speculative-limit program for cleared significant price discovery contracts; in other (B) Timing and sequencing data adequate positions, the Commission will consider the fungible agreements, contracts and to reconstruct trading; and specified position limits or accountability transactions; and in the underlying (C) The identification of each account to levels, aggregation policies, types of commodity. which fills are allocated. exemptions allowed, methods for monitoring (4) Position accountability for non-spot- (iii) Electronic analysis capability. An compliance with the specified limits or month positions. The electronic trading electronic analysis capability permits sorting levels, and procedures for dealing with facility should establish for its significant and presenting data included in the violations. price discovery contracts non-spot individual transaction history so as to reconstruct (2) Accounting for cleared trades—(i) month position accountability levels and all- trading and to identify possible trading Speculative-limit levels typically should be months-combined position accountability violations with respect to market abuse. set in terms of a trader’s combined position levels. An electronic trading facility may (iv) Safe storage capability. Safe storage involving cleared trades in a significant price establish non-spot individual month position capability provides for a method of storing discovery contract, plus positions in limits and all-months-combined position the data included in the transaction history agreements, contracts and transactions that limits for its significant price discovery in a manner that protects the data from are treated by a derivatives clearing contracts in lieu of position accountability unauthorized alteration, as well as from organization, whether registered or not levels. accidental erasure or other loss. Data should registered, as fungible with such significant (i) Definition. Position accountability be retained in the form and manner specified price discovery contract. (This circumstance provisions provide a means for an exchange by the Commission or, where no acceptable typically exists where an exempt commercial to monitor traders’ positions that may manner of retention is specified, in market lists a particular contract for trading threaten orderly trading. An acceptable accordance with the recordkeeping standards but also allows for positions in that contract accountability provision sets target of Commission rule 1.31 (17 CFR 1.31). to be cleared together with positions accountability threshold levels that may be (3) Arrangements and resources for the established through bilateral or off-exchange exceeded, but once a trader breaches such disclosure of the obtained information and transactions, such as block trades, in the accountability levels, the electronic trading documents to the Commission upon request. same contract. Essentially, both the on- facility should initiate an inquiry to The electronic trading facility should facility and off-facility transactions are determine whether the individual’s trading maintain records of all information and considered fungible with each other.) In this activity is justified and is not intended to documents related to each significant price connection, the electronic trading facility manipulate the market. As part of its discovery contract in a form and manner should make arrangements to ensure that it investigation, the electronic trading facility acceptable to the Commission. Where no is able to ascertain accurate position data for may inquire about the trader’s rationale for acceptable manner of maintenance is the market. holding a position in excess of the specified, records should be maintained in (ii) For significant price discovery accountability levels. An acceptable accordance with the recordkeeping standards contracts that are traded on a cleared basis, accountability provision should provide the of Commission rule 1.31 (17 CFR 1.31). the electronic trading facility should apply electronic trading facility with the authority (4) The capacity to carry out appropriate position limits to cleared transactions in the to order the trader not to further increase information-sharing agreements as the contract. positions. If a trader fails to comply with a Commission may require. Appropriate (3) Limitations on spot-month positions. request for information about positions held, information-sharing agreements could be Spot-month limits should be adopted for provides information that does not established with other markets or the significant price discovery contracts to sufficiently justify the position, or continues Commission can act in conjunction with the minimize the susceptibility of the market to to increase contract positions after a request electronic trading facility to carry out such manipulation or price distortions, including not to do so is issued by the facility, then the information sharing. squeezes and corners or other abusive trading accountability provision should enable the CORE PRINCIPLE IV—POSITION practices. electronic trading facility to require the LIMITATIONS OR ACCOUNTABILITY. The (i) Contracts economically equivalent to an trader to reduce positions. electronic trading facility shall adopt, where existing contract. An electronic trading (ii) Contracts economically equivalent to necessary and appropriate, position facility that lists a significant price discovery an existing contract. When an electronic limitations or position accountability for contract that is economically-equivalent to trading facility lists a significant price speculators in significant price discovery another significant price discovery contract discovery contract that is economically contracts, taking into account positions in or to a contract traded on a designated equivalent to another significant price other agreements, contracts and transactions contract market should set the spot-month discovery contract or to a contract traded on that are treated by a derivatives clearing limit for its significant price discovery a designated contract market, the electronic organization, whether registered or not contract at the same level as that specified for trading facility should set the non-spot registered, as fungible with such significant the economically-equivalent contract. individual month position accountability price discovery contracts to reduce the (ii) Contracts that are not economically level and all-months-combined position potential threat of market manipulation or equivalent to an existing contract. There may accountability level for its significant price congestion, especially during trading in the not be an economically-equivalent significant discovery contract at the same levels, or delivery month. price discovery contract or economically- lower, as those specified for the (a) Guidance. [Reserved] equivalent contract traded on a designated economically-equivalent contract. (b) Acceptable practices for uncleared contract market. In this case, the spot-month (iii) Contracts that are not economically trades. [Reserved] speculative position limit should be equivalent to an existing contract. For (c) Acceptable practices for cleared established in the following manner. The significant price discovery contracts that are trades—(1) Introduction. In order to diminish spot-month limit for a physical delivery not economically equivalent to an existing potential problems arising from excessively market should be based upon an analysis of contract, the trading facility shall adopt non- large speculative positions, and to facilitate deliverable supplies and the history of spot- spot individual month and all-months- orderly liquidation of expiring contracts, an month liquidations. The spot-month limit for combined position accountability levels that electronic trading facility relying on the a physical-delivery market is appropriately are no greater than 10 percent of the average exemption set forth in this section should set at no more than 25 percent of the combined futures and delta-adjusted option adopt rules that set position limits or estimated deliverable supply. In the case month-end open interest for the most recent accountability levels on traders’ cleared where a significant price discovery contract calendar year. For electronic trading facilities positions in significant price discovery has a cash settlement provision, the spot- that choose to adopt non-spot individual contracts. These position limit rules month limit should be set at a level that month and all-months-combined position

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limits in lieu of position accountability levels use an automated means of detecting traders’ making regarding emergency intervention in for their significant price discovery contracts, violations of speculative limits or the market, including procedures and the limits should be set in the same manner exemptions, particularly if the significant guidelines to avoid conflicts of interest while as the accountability levels. price discovery contracts have large numbers carrying out such decision-making. An (iv) Contracts economically equivalent to of traders. An electronic trading facility electronic trading facility on which an existing contract with position limits. If a should monitor the continuing significant price discovery contracts are significant price discovery contract is appropriateness of approved exemptions by executed or traded should also have the economically equivalent to another periodically reviewing each trader’s basis for authority to intervene as necessary to significant price discovery contract or to a exemption or requiring a reapplication. An maintain markets with fair and orderly contract traded on a designated contract automated system also should be used to trading as well as procedures for carrying out market that has adopted non-spot or all- determine whether a trader has exceeded the intervention. Procedures and guidelines months-combined position limits, the applicable non-spot individual month should include notifying the Commission of electronic trading facility should set non-spot position accountability levels and all- the exercise of the electronic trading facility’s month position limits and all-months- months-combined position accountability regulatory emergency authority, explaining combined position limits for its significant levels. how conflicts of interest are minimized, and price discovery contract at the same (or (ii) An electronic trading facility should documenting the electronic trading facility’s lower) levels as those specified for the establish a program for effective enforcement decision-making process and the reasons for economically-equivalent contract. of position limits for significant price using its emergency action authority. (5) Account aggregation. An electronic discovery contracts. Electronic trading Information on steps taken under such trading facility should have aggregation rules facilities should use a large trader reporting procedures should be included in a for significant price discovery contracts that system to monitor and enforce daily submission of a certified rule and any related apply to accounts under common control, compliance with position limit rules. The submissions for rule approval pursuant to those with common ownership, i.e., where Commission notes that an electronic trading part 40 of this chapter, when carried out there is a ten percent or greater financial facility may allow traders to periodically pursuant to an electronic trading facility’s interest, and those traded according to an apply to the electronic trading facility for an emergency authority. To address perceived express or implied agreement. Such exemption and, if appropriate, be granted a market threats, the electronic trading facility aggregation rules should apply to cleared position level higher than the applicable on which significant price discovery transactions with respect to applicable speculative limit. The electronic trading contracts are executed or traded should, speculative position limits. An electronic facility should establish a program to monitor among other things, be able to impose trading facility will be permitted to set more approved exemptions from the limits. The position limits in the delivery month, impose stringent aggregation policies. An electronic position levels granted under such hedge or modify price limits, modify circuit trading facility may grant exemptions to its exemptions generally should be based upon breakers, call for additional margin either price discovery contracts’ position limits for the trader’s commercial activity in related from market participants or clearing members bona fide hedging (as defined in § 1.3(z) of markets including, but not limited to, (for contracts that are cleared through a this chapter) and may grant exemptions for positions held in related futures and options clearinghouse), order the liquidation or reduced risk positions, such as spreads, contracts listed for trading on designated transfer of open positions, order the fixing of straddles and arbitrage positions. contract markets, fungible agreements, a settlement price, order a reduction in (6) Implementation deadlines. An contracts and transactions, as determined by positions, extend or shorten the expiration electronic trading facility with a significant date or the trading hours, suspend or curtail price discovery contract is required to a derivatives clearing organization. Electronic comply with Core Principle IV within 90 trading facilities may allow a brief grace trading on the electronic trading facility, calendar days of the date of the period where a qualifying trader may exceed order the transfer of contracts and the margin Commission’s order determining that the speculative limits or an existing exemption for such contracts from one market contract performs a significant price level pending the submission and approval of participant to another, or alter the delivery discovery function if such contract is the appropriate justification. An electronic terms or conditions or, if applicable, should electronic trading facility’s first significant trading facility should consider whether it provide for such actions through its price discovery contract, or within 30 days of wants to restrict exemptions during the last agreements with its third-party provider of the date of the Commission’s order if such several days of trading in a delivery month. clearing services. contract is not the electronic trading facility’s Acceptable procedures for obtaining and (b) Acceptable practices. [Reserved] first significant price discovery contract. For granting exemptions include a requirement CORE PRINCIPLE VI—DAILY the purpose of applying limits on speculative that the electronic trading facility approve a PUBLICATION OF TRADING positions in newly-determined significant specific maximum higher level. INFORMATION. The electronic trading price discovery contracts, the Commission (iii) An acceptable speculative limit facility shall make public daily information will permit a grace period following issuance program should have specific policies for on price, trading volume, and other trading of its order for traders with cleared positions taking regulatory action once a violation of a data to the extent appropriate for significant in such contracts to become compliant with position limit or exemption is detected. The price discovery contracts. applicable position limit rules. Traders who electronic trading facility policies should (a) Guidance. An electronic trading facility, hold cleared positions on a net basis in the consider appropriate actions. with respect to significant price discovery electronic trading facility’s significant price (8) Violation of Commission rules. A contracts, should provide to the public discovery contract must be at or below the violation of position limits for significant information regarding settlement prices, specified position limit level no later than 90 price discovery contracts that have been self- price range, volume, open interest, and other calendar days from the date of the electronic certified by an electronic trading facility is related market information for all applicable trading facility’s implementation of position also a violation of section 4a(e) of the Act. contracts as determined by the Commission limit rules, unless a hedge exemption is CORE PRINCIPLE V—EMERGENCY on a fair, equitable and timely basis. granted by the electronic trading facility. AUTHORITY. The electronic trading facility Provision of information for any applicable This grace period applies to both initial and shall adopt rules to provide for the exercise contract can be through such means as subsequent price discovery contracts. of emergency authority, in consultation or provision of the information to a financial Electronic trading facilities should notify cooperation with the Commission, where information service or by timely placement of traders of this requirement promptly upon necessary and appropriate, including the the information on the electronic trading implementation of such rules. authority to liquidate open positions in facility’s public Web site. (7) Enforcement provisions. The electronic significant price discovery contracts and to (b) Acceptable practices. Compliance with trading facility should have appropriate suspend or curtail trading in a significant § 16.01 of this chapter, which is mandatory, procedures in place to monitor its position price discovery contract. is an acceptable practice that satisfies the limit and accountability provisions and to (a) Guidance. An electronic trading facility requirements of Core Principle VI. address violations. on which significant price discovery CORE PRINCIPLE VII—COMPLIANCE (i) An electronic trading facility with contracts are traded should have clear WITH RULES. The electronic trading facility significant price discovery contracts should procedures and guidelines for decision- shall monitor and enforce compliance with

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the rules of the electronic trading facility, (a) Guidance. (1) The means to address § 41.2 Required records. including the terms and conditions of any conflicts of interest in the decision-making of A designated contract market that contracts to be traded and any limitations on an electronic trading facility on which trades a security index or security access to the electronic trading facility. significant price discovery contracts are futures product shall maintain in (a) Guidance—(1) An electronic trading executed or traded should include methods facility on which significant price discovery to ascertain the presence of conflicts of accordance with the requirements of contracts are executed or traded should have interest and to make decisions in the event § 1.31 of this chapter books and records appropriate arrangements and resources for of such a conflict. In addition, the of all activities related to the trading of effective trade practice surveillance Commission believes that the electronic such products, including: Records programs, with the authority to collect trading facility on which significant price related to any determination under information and documents on both a routine discovery contracts are executed or traded subpart B of this part whether or not a and non-routine basis, including the should provide for appropriate limitations on futures contract on a security index is a examination of books and records kept by its the use or disclosure of material non-public market participants. The arrangements and narrow-based security index or a broad- information gained through the performance based security index. resources should facilitate the direct of official duties by board members, supervision of the market and the analysis of committee members and electronic trading 46. Revise paragraph (a) introductory data collected. Trade practice surveillance facility employees or gained through an text of § 41.12 to read as follows: programs may be carried out by the ownership interest in the electronic trading electronic trading facility itself or through § 41.12 Indexes underlying futures facility or its parent organization(s). delegation or contracting-out to a third party. contracts trading for fewer than 30 days. (2) All electronic trading facilities on If the electronic trading facility on which which significant price discovery contracts (a) An index on which a contract of significant price discovery contracts are are traded bear special responsibility to sale for future delivery is trading on a executed or traded delegates or contracts-out the trade practice surveillance responsibility regulate effectively, impartially, and with designated contract market or foreign to a third party, such third party should have due consideration of the public interest, as board of trade is not a narrow-based the capacity and authority to carry out such provided in section 3 of the Act. Under Core security index under section 1a(25) of programs, and the electronic trading facility Principle VIII, they are also required to the Act (7 U.S.C. 1a(25)) for the first 30 should retain appropriate supervisory minimize conflicts of interest in their days of trading, if: decision-making processes. To comply with authority over the third party. * * * * * (2) An electronic trading facility on which this core principle, electronic trading significant price discovery contracts are facilities on which significant price discovery 47. Revise § 41.13 to read as follows: contracts are traded should be particularly executed or traded should have § 41.13 Futures contracts on security arrangements, resources and authority for vigilant for such conflicts between and among any of their self-regulatory indexes trading on or subject to the rules effective rule enforcement. The Commission of a foreign board of trade. believes that this should include the responsibilities, their commercial interests, authority and ability to discipline and limit and the several interests of their When a contract of sale for future or suspend the activities of a market management, members, owners, market delivery on a security index is traded on participant as well as the authority and participants, other industry participants and or subject to the rules of a foreign board ability to terminate the activities of a market other constituencies. of trade, such index shall not be a participant pursuant to clear and fair (b) Acceptable practices. [Reserved] narrow-based security index if it would CORE PRINCIPLE IX—ANTITRUST standards. The electronic trading facility can not be a narrow-based security index if satisfy this criterion for market participants CONSIDERATIONS. Unless necessary or by expelling or denying such person’s future appropriate to achieve the purposes of this a futures contract on such index were access upon a determination that such a Act, the electronic trading facility, with traded on a designated contract market. person has violated the electronic trading respect to any significant price discovery 48. Revise paragraphs (a)(1), (a)(3) and facility’s rules. contracts, shall endeavor to avoid adopting (b)(4) of § 41.21 to read as follows: (b) Acceptable practices. An acceptable any rules or taking any actions that result in trade practice surveillance program generally any unreasonable restraints of trade or § 41.21 Requirements for underlying would include: imposing any material anticompetitive securities. (1) Maintenance of data reflecting the burden on trading on the electronic trading (a) * * * details of each transaction executed on the facility. (1) The underlying security is electronic trading facility; (a) Guidance. An electronic trading facility, registered pursuant to section 12 of the (2) Electronic analysis of this data with respect to a significant price discovery Securities Exchange Act of 1934; routinely to detect potential trading contract, may at any time request that the violations; Commission consider under the provisions of * * * * * (3) Appropriate and thorough investigative section 15(b) of the Act any of the electronic (3) The underlying security conforms analysis of these and other potential trading trading facility’s rules, which may be trading with the listing standards for the violations brought to the electronic trading protocols or policies, operational rules, or security futures product that the facility’s attention; and terms or conditions of any significant price designated contract market has filed (4) Prompt and effective disciplinary action discovery contract. The Commission intends with the SEC under section 19(b) of the for any violation that is found to have been to apply section 15(b) of the Act to its Securities Exchange Act of 1934. committed. The Commission believes that consideration of issues under this core (b) * * * the latter element should include the principle in a manner consistent with that authority and ability to discipline and limit previously applied to contract markets. (4) The index conforms with the or suspend the activities of a market (b) Acceptable practices. [Reserved] listing standards for the security futures participant pursuant to clear and fair product that the designated contract standards that are available to market PART 41—SECURITY FUTURES market has filed with the SEC under participants. PRODUCTS section 19(b) of the Securities Exchange CORE PRINCIPLE VIII—CONFLICTS OF Act of 1934. INTEREST. The electronic trading facility on 45a. The authority citation for part 41 49. Revise the introductory text and which significant price discovery contracts are executed or traded shall establish and continues to read as follows: paragraph (e) of § 41.22 to read as enforce rules to minimize conflicts of interest Authority: Sections 206, 251 and 252, Pub. follows: in the decision-making process of the L. 106–554, 114 Stat. 2763, 7 U.S.C. 1a, 2, 6f, § 41.22 Required certifications. electronic trading facility and establish a 6j, 7a–2, 12a; 15 U.S.C. 78g(c)(2). process for resolving such conflicts of It shall be unlawful for a designated interest. 45b. Revise § 41.2 to read as follows: contract market to list for trading or

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execution a security futures product chapter, provided however, that the the designated contract market may unless the designated contract market registered entity shall include the raise or lower the position limit for that has provided the Commission with a certifications required by § 41.22 with security future effective no earlier than certification that the specific security its submission under § 40.5 of this the day after it has provided notification futures product or products and the chapter. Notice designated contract to the Commission and to the public designated contract market meet, as markets may not request Commission under the submission requirements of applicable, the following criteria: approval of rules. § 41.24. If the data require imposition of * * * * * 52. Revise paragraphs (a)(1), (a)(2) a reduced position limit for a security (e) If the board of trade is a designated introductory text, (a)(3) introductory future, the designated contract market contract market pursuant to section 5 of text, (a)(3)(i)(A), (a)(3)(i)(B), (a)(3)(iv), may permit any trader holding a the Act, dual trading in these security and (d) of § 41.25 to read as follows: position in compliance with the previous position limit, but in excess of futures products is restricted in § 41.25 Additional conditions for trading accordance with § 41.27; for security futures products. the reduced limit, to maintain such position through the expiration of the * * * * * (a) Common provisions—(1) Reporting security futures contract; provided, that 50. Revise paragraph (a) introductory of data. The designated contract market the designated contract market does not text, paragraph (a)(5), and paragraph (b) shall comply with chapter 16 of this find that the position poses a threat to of § 41.23 to read as follows: title requiring the daily reporting of the orderly expiration of such contract. market data. § 41.23 Listing of security futures (2) Regulatory trading halts. The rules * * * * * products for trading. of a designated contract market that lists (d) The Commission may exempt a (a) Initial listing of products for or trades one or more security futures designated contract market from the trading. To list new security futures products must include the following provisions of paragraphs (a)(2) and (b) of products for trading, a designated provisions: this section, either unconditionally or contract market shall submit to the on specified terms and conditions, if the * * * * * Commission determines that such Commission at its Washington, DC (3) Speculative position limits. The exemption is consistent with the public headquarters, either in electronic or designated contract market shall have interest and the protection of customers. hard-copy form, to be received by the rules in place establishing position An exemption granted pursuant to this Commission no later than the day prior limits or position accountability paragraph shall not operate as an to the initiation of trading, a filing that: procedures for the expiring futures exemption from any Securities and * * * * * contract month. The designated contract Exchange Commission rules. Any (5) If the board of trade is a designated market shall: contract market pursuant to section 5 of (i) * * * exemption that may be required from the Act, it includes a certification that (A) For security futures products such rules must be obtained separately the security futures product complies where the average daily trading volume from the Securities and Exchange with the Act and rules thereunder; and in the underlying security exceeds 20 Commission. million shares, or exceeds 15 million 53. Amend § 41.27 by: * * * * * a. Revising paragraphs (a)(1), (a)(3) shares and there are more than 40 (b) Voluntary submission of security introductory text, (a)(4)(v), (a)(5), (b), (d) million shares of the underlying futures products for Commission introductory text, (d)(1), (d)(4), and (f); security outstanding, the designated approval. A designated contract market and contract market may adopt a net may request that the Commission b. Removing and reserving paragraphs position limit no greater than 22,500 approve any security futures product (c)(2) and (e)(2), to read as follows: under the procedures of § 40.5 of this (100-share) contracts applicable to chapter, provided however, that the positions held during the last five § 41.27 Prohibition of dual trading in registered entity shall include the trading days of an expiring contract security futures products by floor brokers. certification required by § 41.22 with its month; or (a) * * * submission under § 40.5 of this chapter. (B) For security futures products (1) Trading session means hours Notice designated contract markets may where the average daily trading volume during which a designated contract not request Commission approval of in the underlying security exceeds 20 market is scheduled to trade security futures products. million shares and there are more than continuously during a trading day, as 51. Amend § 41.24 by removing 40 million shares of the underlying set forth in its rules, including any paragraph (b), redesignating paragraph security outstanding, the designated related post settlement trading session. (c) as paragraph (b), and revising contract market may adopt a position A designated contract market may have redesignated paragraph (b), to read as accountability rule. Upon request by the more than one trading session during a follows: designated contract market, traders who trading day. hold net positions greater than 22,500 * * * * * § 41.24 Rule amendments to security (100-share) contracts, or such lower (3) Broker association includes two or futures products. level specified by exchange rules, must more designated contract market * * * * * provide information to the exchange members with floor trading privileges of (b) Voluntary submission of rules for and consent to halt increasing their whom at least one is acting as a floor Commission review and approval. A positions when so ordered by the broker who: designated contract market or a exchange. * * * * * registered derivatives clearing * * * * * (4) * * * organization clearing security futures (iv) For purposes of this section, (v) An account for another member products may request that the average daily trading volume shall be present on the floor of a designated Commission approve any rule or calculated monthly, using data for the contract market or an account controlled proposed rule or rule amendment most recent six-month period. If the by such other member. relating to a security futures product data justify a higher or lower (5) Dual trading means the execution under the procedures of § 40.5 of this speculative limit for a security future, of customer orders by a floor broker

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through open outcry during the same error trade because the daily price with the SEC for approval in accordance trading session in which the floor broker fluctuation limit is reached, a trading with section 19(b)(2) of the Securities executes directly or by initiating and halt is imposed by the designated Exchange Act, submit such proposed passing to another member, either contract market, or an emergency is rule change to the Commission as through open outcry or through a declared pursuant to the rules of the follows: trading system that electronically designated contract market, the floor * * * * * matches bids and offers pursuant to a broker must liquidate the position in his predetermined algorithm, a transaction or her personal error account resulting PART 140—ORGANIZATION, for the same security futures product on from that error as soon as practicable FUNCTIONS, AND PROCEDURES OF the same designated contract market for thereafter. THE COMMISSION an account described in paragraphs * * * * * (a)(4)(i) through (v) of this section. 56a. The authority citation for part (4) Market emergencies. To address 140 continues to read as follows: (b) Dual trading prohibition. (1) No emergency market conditions resulting floor broker shall engage in dual trading in a temporary emergency action as Authority: 7 U.S.C. 2 and 12a. in a security futures product on a determined by a designated contract 56b. Amend § 140.72 by designated contract market, except as market. a. Revising the heading; and otherwise provided under paragraphs (e) * * * b. Revising paragraphs (a), (b), (d) and (d), (e), and (f) of this section. (2) [Reserved] (f), to read as follows: (2) A designated contract market (f) Unique or special characteristics of operating an electronic market or agreements, contracts or transactions, or § 140.72 Delegation of authority to disclose confidential information to a electronic trading system that provides of designated contract markets. market participants with a time or place contract market, swap execution facility, Notwithstanding the applicability of a swap data repository, registered futures advantage or the ability to override a dual trading prohibition under association or self-regulatory organization. predetermined algorithm must submit paragraph (b) of this section, dual an appropriate rule proposal to the (a) Pursuant to the authority granted trading may be permitted on a under sections 2(a)(11), 8a(5) and 8a(6) Commission consistent with the designated contract market to address procedures set forth in § 40.5. The of the Act, the Commission hereby unique or special characteristics of delegates, until such time as the proposed rule must prohibit electronic agreements, contracts, or transactions, market participants with a time or place Commission orders otherwise, to the or of the designated contract market as Executive Director, the Deputy advantage or the ability to override a provided herein. Any rule of a predetermined algorithm from trading a Executive Director, the Special Assistant designated contract market that would to the Executive Director, the Director of security futures product for accounts in permit dual trading when it would which these same participants have any the Division of Clearing and otherwise be prohibited, based on a Intermediary Oversight, each Deputy interest during the same trading session unique or special characteristic of that they also trade the same security Director of the Division of Clearing and agreements, contracts, or transactions, Intermediary Oversight, the Chief futures product for other accounts. This or of the designated contract market paragraph, however, is not applicable Accountant, the General Counsel, each must be submitted to the Commission Deputy General Counsel, the Director of with respect to execution priorities or for prior approval under the procedures quantity guarantees granted to market the Division of Market Oversight, each set forth in § 40.5 of this chapter. The Deputy Director of the Division of makers who perform that function, or to rule submission must include a detailed market participants who receive Market Oversight, the Director of the demonstration of why an exception is Market Surveillance Section, the execution priorities based on price warranted. improvement activity, in accordance Director of the Division of Enforcement, 54. Revise paragraph (a)(30) of § 41.43 each Deputy Director of the Division of with the rules governing the designated to read as follows: contract market. Enforcement, each Associate Director of (c) * * * § 41.43 Definitions. the Division of Enforcement, the Chief (2) [Reserved] (a) * * * Counsel of the Division of Enforcement, (d) Specific permitted exceptions. (30) Self-regulatory authority means a each Regional Counsel of the Division of Notwithstanding the applicability of a national securities exchange registered Enforcement, each of the Regional dual trading prohibition under under section 6 of the Exchange Act, a Administrators, each of the Directors of paragraph (b) of this section, dual national securities association registered the Market Surveillance Branches, the trading may be permitted on a under section 15A of the Exchange Act, Chief Economist of the Office of the designated contract market pursuant to or a contract market registered under Chief Economist, the Deputy Chief one or more of the following specific section 5 of the Act or section 5f of the Economist of the Office of the Chief exceptions: Act. Economist, the Director of the Office of (1) Correction of errors. To offset * * * * * International Affairs, and the Deputy trading errors resulting from the 55. Revise paragraph (b) introductory Director of the Office of International execution of customer orders, provided, text of § 41.49 to read as follows: Affairs, the authority to disclose to an that the floor broker must liquidate the official of any contract market, swap position in his or her personal error § 41.49 Filing proposed margin rule execution facility, swap data repository, account resulting from that error changes with the Commission. registered futures association, or self- through open outcry or through a * * * * * regulatory organization as defined in trading system that electronically (b) Filing requirements under the Act. section 3(a)(26) of the Securities matches bids and offers as soon as Any self-regulatory authority that is Exchange Act of 1934, any information practicable, but, except as provided registered with the Commission as a necessary or appropriate to effectuate herein, not later than the close of designated contract market under the purposes of the Act, including, but business on the business day following section 5 of the Act shall, when filing not limited to, the full facts concerning the discovery of error. In the event that a proposed rule change regarding any transaction or market operation, a floor broker is unable to offset the customer margin for security futures including the names of the parties

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thereto. This authority to disclose shall information from the Commission under Counsel’s designee, the authority to be based on a determination that the these provisions shall not disclose such determine to publish, and to publish, in transaction or market operation disrupts information except that disclosure may the Federal Register, requests for public or tends to disrupt any market or is be made in any self-regulatory action or comment on proposed exchange and otherwise harmful or against the best proceeding. self-regulatory organization rule interests of producers, consumers, or 57. Amend § 140.77 by: amendments when publication of the investors or that disclosure is necessary a. Revising the heading; and proposed rule amendment is in the or appropriate to effectuate the purposes b. Revising paragraph (a) to read as public interest and will assist the of the Act. The authority to make such follows: Commission in considering the views of a determination is also delegated by the interested persons. § 140.77 Delegation of authority to Commission to the Commission determine that applications for contract * * * * * employees identified in this section. A market designation, swap execution facility 59. Revise paragraph (d)(2) of § 140.99 Commission employee delegated registration, or swap data repository to read as follows: authority under this section may registration are materially incomplete. exercise that authority on his or her own (a) The Commodity Futures Trading § 140.99 Requests for exemptive, no- action and interpretative letters. initiative or in response to a request by Commission hereby delegates, until an official of a contract market, swap such time as the Commission orders * * * * * execution facility, swap data repository, otherwise, to the Director of the (d) * * * registered futures association or self- Division of Market Oversight or the (2) A request for a Letter relating to regulatory organization. Director’s designees, the authority to the provisions of the Act or the (b) Disclosure under this section shall determine that an application for Commission’s rules, regulations or only be made to a contract market, swap contract market designation, swap orders governing designated contract execution facility, swap data repository, execution facility registration, or swap markets, registered swap execution registered futures association or self- data repository registration is materially facilities, registered swap data regulatory organization official who is incomplete under section 6 of the repositories, exempt commercial named in a list filed with the Commodity Exchange Act and to so markets, exempt boards of trade, the Commission by the chief executive notify the applicant. nature of particular transactions and officer of the contract market, swap whether they are exempt or excluded execution facility, swap data repository, * * * * * from being required to be traded on one registered futures association or self- 58. Revise paragraphs (a) and (b) of of the foregoing entities, foreign trading regulatory organization, which sets forth § 140.96 to read as follows: terminals, hedging exemptions, and the the official’s name, business address § 140.96 Delegation of authority to publish reporting of market positions shall be and telephone number. The chief in the Federal Register. filed with the Director, Division of executive officer shall thereafter notify (a) The Commodity Futures Trading Market Oversight, Commodity Futures the Commission of any deletions or Commission hereby delegates, until Trading Commission, Three Lafayette additions to the list of officials such time as the Commission orders Centre, 1155 21st Street, NW., authorized to receive disclosures under otherwise, to the Director of the Washington, DC 20581. A request for a this section. The original list and any Division of Market Oversight or the Letter relating to all other provisions of supplemental list required by this Director’s designee, with the the Act or Commission rules shall be paragraph shall be filed with the concurrence of the General Counsel or filed with the Director, Division of Secretary of the Commission, and a the General Counsel’s designee, the Clearing and Intermediary Oversight, copy thereof shall also be filed with the authority to publish in the Federal Commodity Futures Trading Regional Coordinator for the region in Register notice of the availability for Commission, Three Lafayette Centre, which the contract market, swap comment of the proposed terms and 1155 21st Street, NW., Washington, DC execution facility, or swap data conditions of applications for contract 20581. The request must be submitted repository is located or in which the market designation, swap execution electronically using the e-mail address registered futures association or self- facility and swap data repository [email protected] (for requests filed regulatory organization has its principal registration, and to determine to with the Division of Market Oversight), office. publish, and to publish, requests for or [email protected] (for requests filed * * * * * public comment on proposed exchange, with the Division of Clearing and (d) For purposes of this section, the swap execution facility, or swap data Intermediary Oversight), as appropriate, term ‘‘official’’ shall mean any officer or repository rules, and rule amendments, and a properly signed paper copy of the member of a committee of a contract when there exists novel or complex request must be provided to the market, swap execution facility, swap issues that require additional time to Division of Market Oversight or the data repository, registered futures analyze, an inadequate explanation by Division of Clearing and Intermediary association or self-regulatory the submitting registered entity, or a Oversight, as appropriate, within ten organization who is specifically charged potential inconsistency with the Act, days for purposes of verification of the with market surveillance or audit or including regulations under the Act. electronic submission. investigative responsibilities, or their (b) The Commodity Futures Trading * * * * * duly authorized representative or agent, Commission hereby delegates, until 60. Amend § 140.735–2 by: who is named on the list filed pursuant such time as the Commission orders to paragraph (b) of this section or any otherwise, to the Director of the a. Redesignating paragraphs (b)(1)(i), supplement thereto. Division of Market Oversight or the (b)(1)(ii), and (b)(1)(iii) as (b)(1)(ii), * * * * * Director’s designee, and to the Director (b)(1)(iv), and (b)(1)(v), respectively; (f) Any contract market, swap of the Division of Clearing and b. Adding paragraphs (b)(1)(i) and execution facility, swap data repository, Intermediary Oversight or the Director’s (b)(1)(iii); and registered futures association or self- designee, with the concurrence of the c. Revising paragraphs (b)(2) and (c), regulatory organization receiving General Counsel or the General to read as follows:

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§ 140.735–2 Prohibited transactions. any person 5 registered with the 463, 88 Stat. 1389 (5 U.S.C. 4a(j)); unless * * * * * Commission (including futures otherwise noted. (b) * * * commission merchants, associated 63b. Revise paragraph (c)(1), (d)(1) (1) * * * persons and agents of futures introductory text, and (d)(1)(vi) of (i) In swaps; commission merchants, floor brokers, § 145.9 to read as follows: commodity trading advisors and * * * * * commodity pool operators, and any § 145.9 Petition for confidential treatment (iii) In retail forex transactions, as that other persons required to be registered of information submitted to the term is defined in § 5.1(m); Commission. in a fashion similar to any of the above * * * * * under the Commodity Exchange Act or * * * * * (2) Effect any purchase or sale of a pursuant to any rule or regulation (c) * * * commodity option, futures contract, or promulgated by the Commission), or (1) Submitter. A ‘‘submitter’’ is any swap involving a security or group of any contract market, swap execution person who submits any information or securities; facility, swap data repository, board of material to the Commission or who * * * * * trade, or other trading facility, or any permits any information or material to (c) Exception for farming, ranching, clearing organization subject to be submitted to the Commission. For and natural resource operations. The regulation or oversight by the purposes of paragraph (d)(1)(ii) of this prohibitions in paragraphs (b)(1)(i) and Commission; 6 section only, ‘‘submitter’’ includes any (ii) of this section shall not apply to a * * * * * person whose information has been submitted to a designated contract transaction in connection with any 62. Revise § 140.735–3 to read as market, derivatives clearing farming, ranching, oil and gas, mineral follows: rights, or other natural resource organization, swap execution facility, operation in which the member or § 140.735–3 Non-governmental swap data repository or registered employee has a financial interest, if he employment and other outside activity. futures association that in turn has or she is not involved in the decision to A Commission member or employee submitted the information to the engage in, and does not have prior shall not accept employment or Commission. knowledge of, the actual futures, compensation from any person, * * * * * commodity option, or swap transaction exchange, swap execution facility, swap (d) Written request for confidential and has previously notified the General data repository or clearinghouse subject treatment. (1) Any submitter may Counsel 2 in writing of the nature of the to regulation by the Commission. For request in writing that the Commission operation, the extent of the member’s or purposes of this section, a person afford confidential treatment under the employee’s interest, the types of subject to regulation by the Commission Freedom of Information Act to any transactions in which the operation may includes but is not limited to a contract information that he or she submits to engage, and the identity of the person or market, swap execution facility, swap the Commission. Except as provided in persons who will make trading data repository or clearinghouse or paragraph (d)(4) of this section, no oral decisions for the operation; 3 member thereof, a registered futures requests for confidential treatment will * * * * * commission merchant, any person be accepted by the Commission. The 61. Revise paragraph (b)(1) of associated with a futures commission submitter shall specify the grounds on § 140.735–2a to read as follows: merchant or with any agent of a futures which confidential treatment is being commission merchant, floor broker, requested but need not provide a § 140.735–2a Prohibited Interests. commodity trading advisor, commodity detailed written justification of the * * * * * pool operator or any person required to request unless required to do so under (b) * * * be registered in a fashion similar to any paragraph (e) of this section. (1) Have a financial interest, through of the above or file reports under the Act Confidential treatment may be requested ownership of securities or otherwise, in or pursuant to any rule or regulation only on the grounds that disclosure: promulgated by the Commission.11 * * * * * 2 As used in this subpart, ‘‘General Counsel’’ refers (vi) Would reveal investigatory to the General Counsel in his or her capacity as PART 145—COMMISSION RECORDS records compiled for law enforcement counselor for the Commission and designated AND INFORMATION purposes when disclosure would agency ethics official for the Commission, and includes his or her designee and the alternate 63a. The authority citation for part interfere with enforcement proceedings designated agency ethics official appointed by the 145 continues to read as follows: or disclose investigative techniques and agency head pursuant to 5 CFR 2638.202. procedures, provided, that the claim 3 Although not required, if they choose to do so, Authority: Pub. L. 99–570, 100 Stat. 3207; may be made only by a designated Pub. L. 89–554, 80 Stat. 383; Pub. L. 90–23, members or employees may use powers of attorney contract market, derivatives clearing or other arrangements in order to meet the notice 81 Stat. 54; Pub. L. 98–502, 88 Stat. 1561– requirements of, and to assure that they have no 1564 (5 U.S.C. 552); Sec. 101(a), Pub. L. 93– organization, swap execution facility, control or knowledge of, futures or options swap data repository or registered transactions permitted under paragraph (c) of this futures association with regard to its section. A member or employee considering such 5 As defined in section 1a(38) of the Commodity arrangements should consult with the Office of Exchange Act and 17 CFR 1.3(u) thereunder, a own investigatory records. General Counsel in advance for approval. Should a ‘‘person’’ includes an individual, association, * * * * * member or employee gain knowledge of an actual partnership, corporation and a trust. 64. Revise paragraphs (a)(6), (a)(8), futures, commodity option, or swap transaction 6 Attention is directed to 18 U.S.C. 208. entered into by an operation described in paragraph 11 Attention is directed to section 2(a)(8) of the and (b)(13) of Appendix A to part 145 (c) of this section that has already taken place and Commodity Exchange Act, which provides, among to read as follows: the market position represented by that transaction other things, that no Commission member or remains open, he or she should promptly report employee shall accept employment or Appendix A To Part 145—Compilation that fact and all other details to the General Counsel compensation from any person, exchange or of Commission Records Available to the and seek advice as to what action, including recusal clearinghouse subject to regulation by the Public from any particular matter that will have a direct Commission, or participate, directly or indirectly, and predictable effect on the financial interest in in any contract market operations or transactions of * * * * * question, may be appropriate. a character subject to regulation by the Commission. (a) * * *

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(6) Rule enforcement and financial reviews (ii) In the case of a customer who does § 155.6 [Removed and Reserved] (public version). not qualify as an ‘‘institutional 68. Remove and reserve § 155.6. * * * * * customer’’ as defined in § 1.3(g) of this (8) Commission rules and regulations, chapter, a futures commission merchant PART 166—CUSTOMER PROTECTION Federal Register notices, interpretative must obtain the customer’s prior RULES letters. consent through a signed * * * * * acknowledgment, which may be 69a. The authority citation for part (b) * * * accomplished in accordance with 155 is revised to read as follows: (13) Publicly available portions of § 1.55(d) of this chapter. Authority: 7 U.S.C. 1a, 2, 6b, 6c, 6d, 6g, applications to become a registered entity (c) * * * 6h, 6k, 6l, 6o, 7, 12a, 21, and 23, as amended including the transmittal letter, application (1) Receives written authorization by Title VII of the Dodd-Frank Wall Street form, proposed rules, proposed bylaws, from a person designated by such other Reform and Consumer Protection Act, Pub. L. corporate documents, any overview or futures commission merchant or 111–203, 124 Stat. 1376 (2010). similar summary provided by the applicant, any documents pertaining to the applicant’s introducing broker with responsibility for the surveillance over such account 69b. Revise paragraph (a) introductory legal status and governance structure, text and paragraph (b) of § 166.2 to read including governance fitness information, pursuant to paragraph (a)(2) of this and any other part of the application not section or § 155.4(a)(2), respectively; as follows: covered by a request for confidential * * * * * § 166.2 Authorization to trade. treatment. 67. Revise paragraphs (a)(1), (b)(2)(ii), * * * * * * * * * * and (c)(2) of § 155.4 to read as follows: (a) With respect to a commodity PART 155—TRADING STANDARDS § 155.4 Trading standards for introducing interest as defined in any paragraph of brokers. the commodity interest definition in 65a. The authority citation for part (a) * * * § 1.3(yy) of this chapter, specifically 155 continues to read as follows: (1) Insure, to the extent possible, that authorized the futures commission Authority: 7 U.S.C. 6b, 6c, 6g, 6j and 12a, each order received from a customer merchant, retail foreign exchange unless otherwise noted. which is executable at or near the dealer, introducing broker or any of 65b. Revise the introductory text of market price is transmitted to the their associated persons to effect the § 155.2 to read as follows: futures commission merchant carrying transaction (a transaction is ‘‘specifically the account of the customer before any authorized’’ if the customer or person § 155.2 Trading standards for floor order in any future or in any commodity designated by the customer to control brokers. option in the same commodity for any the account specifies— Each contract market shall adopt rules proprietary account, any other account * * * * * in which an affiliated person has an which shall, at a minimum, with respect (b) With respect to a commodity to each member of the contract market interest, or any account for which an affiliated person may originate orders interest as defined in paragraph (1) or acting as a floor broker: (2) of the commodity interest definition * * * * * without the prior specific consent of the account owner, if the affiliated person in § 1.3(yy) of this chapter, authorized 66. Revise paragraphs (a)(1), (b)(2)(ii), in writing the futures commission and (c)(1) of § 155.3 to read as follows: has gained knowledge of the customer’s order prior to the transmission to the merchant, introducing broker or any of § 155.3 Trading standards for futures floor of the appropriate contract market their associated persons to effect commission merchants. of the order for a proprietary account, an transactions in commodity interests for (a) * * * account in which the affiliated person the account without the customer’s (1) Insure, to the extent possible, that has an interest, or an account in which specific authorization; Provided, each order received from a customer the affiliated person may originate however, That if any such futures which is executable at or near the orders without the prior specific commission merchant, introducing market price is transmitted to the floor consent of the account owner; and broker or any of their associated persons of the appropriate contract market is also authorized to effect transactions * * * * * in foreign futures or foreign options before any order in any future or in any (b) * * * without the customer’s specific commodity option in the same (2) * * * commodity for any proprietary account, (ii) In the case of a customer who does authorization, such authorization must any other account in which an affiliated not qualify as an ‘‘institutional be expressly documented. person has an interest, or any account customer’’ as defined in § 1.3(g) of this 70. Revise paragraph (a)(2) of § 166.5 for which an affiliated person may chapter, an introducing broker must to read as follows: originate orders without the prior obtain the customer’s prior consent § 166.5 Dispute settlement procedures. specific consent of the account owner, through a signed acknowledgment, if the affiliated person has gained which may be accomplished in (a) * * * knowledge of the customer’s order prior accordance with § 1.55(d) of this (2) The term customer as used in this to the transmission to the floor of the chapter. section includes any person for or on appropriate contract market of the order * * * * * behalf of whom a member of a for a proprietary account, an account in (c) * * * designated contract market, or a which the affiliated person has an (2) Copies of all statements for such participant transacting on or through interest, or an account in which the account and of all written records such designated contract market, effects affiliated person may originate orders prepared by such futures commission a transaction on such contract market, without the prior specific consent of the merchant upon receipt of orders for except another member of or participant account owner; and such account pursuant to § 155.3(c)(2) in such designated contract market. * * * * * are transmitted on a regular basis to the Provided, however, a person who is an (b) * * * introducing broker with which such ‘‘eligible contract participant’’ as defined (2) * * * person is affiliated. in section 1a(18) of the Act shall not be

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deemed to be a customer within the Appendix 1—Commission Voting scope. Specifically, this proposed rulemaking meaning of this section. Summary would update the definitions of futures commission merchant (FCM) and introducing * * * * * On this matter, Chairman Gensler and broker (IB) to fulfill the Dodd-Frank Act’s Issued in Washington, DC on April 27, Commissioners Dunn, Chilton and O’Malia requirement to permit those entities to trade 2011, by the Commission. voted in the affirmative; Commissioner swaps on behalf of their customers. The Sommers voted in the negative. proposal also would add swap execution David A. Stawick, facilities (SEFs) to the list of CFTC-regulated Secretary of the Commission. Appendix 2—Statement of Chairman trading venues. The proposal includes Gary Gensler recordkeeping requirements for FCMs, IBs Appendices to Adaptation of I support the proposed rulemaking to adapt and SEFs to ensure that similar records are Regulations To Incorporate Swaps— existing CFTC regulations to the new kept for swaps as are currently kept for Commission Voting Summary and requirements of the Dodd-Frank Act. The Act futures, among other protections that already Statements of Commissioners expanded the scope of the Commodity exist in the futures markets. The rules for Exchange Act to include swaps. In addition FCMs with regard to allocations of bunched orders for swaps will be consistent with Note: The following appendices will not to rulemakings implementing specific those rules for futures. appear in the Code of Federal Regulations. provisions of the Act, conforming changes across the Commission’s existing regulations [FR Doc. 2011–12270 Filed 6–6–11; 8:45 am] are needed to incorporate that expanded BILLING CODE 6351–01–P

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Part IV

The President

Memorandum of May 31, 2011—Delegation of Authority to Appoint Commissioned Officers of the Ready Reserve Corps of the Public Health Service Proclamation 8688—National Oceans Month, 2011

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Federal Register Presidential Documents Vol. 76, No. 109

Tuesday, June 7, 2011

Title 3— Memorandum of May 31, 2011

The President Delegation of Authority to Appoint Commissioned Officers of the Ready Reserve Corps of the Public Health Service

Memorandum for the Secretary of Health and Human Services

By virtue of the authority vested in me as President by the Constitution and the laws of the United States, including section 301 of title 3, United States Code, I hereby assign to you the functions of the President under section 203 of the Public Health Service Act, as amended by Public Law 111–148, to appoint commissioned officers of the Ready Reserve Corps of the Public Health Service. Commissions issued under this delegation of authority may not be for a term longer than 6 months. Officers appointed pursuant to this delegation may not be appointed to the Ready Reserve Corps of the Public Health Service for a term greater than 6 months other than by the President or to the Regular Corps of the Public Health Service other than by the President with the advice and consent of the Senate. This authority may not be redelegated. You are authorized and directed to publish this memorandum in the Federal Register.

THE WHITE HOUSE, Washington, May 31, 2011

[FR Doc. 2011–14236 Filed 6–6–11; 11:15 am] Billing code 4150–42–P

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Proclamation 8688 of June 2, 2011

National Oceans Month, 2011

By the President of the United States of America

A Proclamation

During National Oceans Month, we celebrate the value of our oceans to American life and recognize the critical role they continue to play in our economic progress, national security, and natural heritage. Waterborne commerce, sustainable commercial fisheries, recreational fishing, boating, tour- ism, and energy production are all able to contribute to job growth and strengthen our economy because of the bounty of our oceans, coasts, and Great Lakes. Last year, I signed an Executive Order directing my Administration to implement our Nation’s first comprehensive National Policy for the Stewardship of the Ocean, Our Coasts, and the Great Lakes. This policy makes more effective use of Federal resources by addressing the most critical issues facing our oceans. It establishes a new approach to bringing together Federal, State, local, and tribal governments and all of the ocean’s users—from recreational and commercial fishermen, boaters, and industry, to environmental groups, scientists, and the public—to better plan for, manage, and sustain the myriad human uses that healthy oceans, coasts, and the Great Lakes support. One year after the devastating BP Deepwater Horizon oil spill in the Gulf of Mexico, we remain committed to the full environmental and economic recovery of the region. My Administration is assessing and mitigating the damage that was caused by this tragedy, and restoring and strengthening the Gulf Coast and its communities. These efforts remind us of the responsibility we all share for our oceans and coasts, and the strong connection between the health of our natural resources and that of our communities and economy. While we embrace our oceans as crucial catalysts for trade, bountiful sources of food, and frontiers for renewable energy, we must also recommit to ensuring their safety and sustainability, and to being vigilant guardians of our coastal communities. NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim June 2011 as National Oceans Month. I call upon Americans to take action to protect, conserve, and restore our oceans, coasts, and Great Lakes.

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IN WITNESS WHEREOF, I have hereunto set my hand this second day of June, in the year of our Lord two thousand eleven, and of the Independence of the United States of America the two hundred and thirty-fifth.

[FR Doc. 2011–14237 Filed 6–6–11; 11:15 am] Billing code 3195–W1–P

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Reader Aids Federal Register Vol. 76, No. 109 Tuesday, June 7, 2011

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING JUNE

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. 431...... 31795 Presidential Documents 2 CFR Proposed Rules: Executive orders and proclamations 741–6000 Proposed Rules: 40...... 31507 The United States Government Manual 741–6000 Ch. XI...... 32330 50...... 32878 Ch. XVIII ...... 31884 Other Services 150...... 31507 Ch. XXIV...... 31884 Electronic and on-line services (voice) 741–6020 12 CFR Privacy Act Compilation 741–6064 3 CFR 202...... 31451 Public Laws Update Service (numbers, dates, etc.) 741–6043 Proclamations: Proposed Rules: TTY for the deaf-and-hard-of-hearing 741–6086 8683...... 32065 Ch. XVII ...... 31884 8684...... 32851 4...... 32332 ELECTRONIC RESEARCH 8685...... 32853 5...... 32332 8686...... 32855 7...... 32332 World Wide Web 8687...... 32857 8...... 32332 Full text of the daily Federal Register, CFR and other publications 8688...... 33119 28...... 32332 is located at: www.fdsys.gov. Administrative Orders: 34...... 32332 Memorandums: Federal Register information and research tools, including Public 14 CFR Inspection List, indexes, and links to GPO Access are located at: Memorandum of May www.ofr.gov. 31, 2011 ...... 33117 25 ...... 31451, 31453, 31454, 31456 E-mail 5 CFR 39 ...... 31457, 31459, 31462, FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 531...... 32859 31465, 31796, 31798, 31800, an open e-mail service that provides subscribers with a digital 532...... 31785 31803 form of the Federal Register Table of Contents. The digital form Proposed Rules: 71...... 31821, 31822 of the Federal Register Table of Contents includes HTML and Ch. I ...... 31886 91...... 31823 PDF links to the full text of each document. 532...... 31885 Proposed Rules: 39...... 31508, 32103 To join or leave, go to http://listserv.access.gpo.gov and select Ch. VII...... 32088 71...... 31510, 32879 Online mailing list archives, FEDREGTOC-L, Join or leave the list Ch. XLV ...... 32330 139...... 32105 (or change settings); then follow the instructions. Ch. XXVI...... 32330 Ch. LIX...... 31884 217...... 31511 PENS (Public Law Electronic Notification Service) is an e-mail Ch. LXV ...... 31884 241...... 31511 service that notifies subscribers of recently enacted laws. Ch. XXXV ...... 31886 298...... 31511 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 382...... 32107 and select Join or leave the list (or change settings); then follow 6 CFR Ch. V...... 31884 the instructions. Proposed Rules: 16 CFR Ch. I ...... 32331 FEDREGTOC-L and PENS are mailing lists only. We cannot 259...... 31467 respond to specific inquiries. 7 CFR Proposed Rules: Reference questions. Send questions and comments about the 309...... 31513 Federal Register system to: [email protected] 51...... 31787 201...... 31790 17 CFR The Federal Register staff cannot interpret specific documents or 457...... 32067 regulations. Proposed Rules: Proposed Rules: 1...... 32880, 33066 Reminders. Effective January 1, 2009, the Reminders, including 36...... 31887 5...... 33066 Rules Going Into Effect and Comments Due Next Week, no longer 205...... 31495 7...... 33066 appear in the Reader Aids section of the Federal Register. This 916...... 31888 8...... 33066 information can be found online at http://www.regulations.gov. 917...... 31888 15...... 33066 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 1205...... 32088 18...... 33066 longer appears in the Federal Register. This information can be 8 CFR 21...... 33066 found online at http://bookstore.gpo.gov/. 22...... 31518 Proposed Rules: 36...... 33066 Ch. I ...... 32331 FEDERAL REGISTER PAGES AND DATE, JUNE 41...... 33066 140...... 33066 9 CFR 31451–31784...... 1 145...... 33066 31785–32064...... 2 Proposed Rules: 155...... 33066 92...... 31499 32065–32312...... 3 166...... 33066 93...... 31499 32313–32850...... 6 190...... 31518 94...... 31499 230...... 31518 32851–33120...... 7 96...... 31499 239...... 31518 98...... 31499 240...... 32880 10 CFR 19 CFR 430...... 31750 122...... 31823

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Proposed Rules: 31 CFR 40 CFR 47 CFR Ch. I ...... 32331 10...... 32286 52 ...... 31856, 31858, 32321 1...... 32866 20 CFR 545...... 31470 180 ...... 31471, 31479, 31485 Proposed Rules: 300...... 32081 27...... 32901 Proposed Rules: 32 CFR Proposed Rules: 73...... 32116 Ch. III ...... 31892 706...... 32865 Ch. VII...... 32330 76...... 32116 21 CFR Proposed Rules: 52 ...... 31898, 31900, 32110, 32113, 32333 48 CFR 5...... 31468 Ch. I ...... 32330 Ch. V...... 32330 86...... 32886 203...... 32840 10...... 31468 300...... 32115 14...... 31468 Ch. VI...... 32330 225...... 32841, 32843 Ch. VII...... 32330 252...... 32840, 32841 19...... 31468 41 CFR 20...... 31468 Ch. XII...... 32330 Proposed Rules: 21...... 31468 Proposed Rules: Ch. 1...... 32133, 32330 33 CFR Ch. 101 ...... 32088 312...... 32863 2...... 32330 Ch. 102 ...... 32088 314...... 31468 1...... 31831 17...... 31886 Ch. 105 ...... 32088 320...... 32863 27...... 31831 21...... 31886 102–34...... 31545 350...... 31468 96...... 31831 52...... 32330 301-11...... 32340 516...... 31468 100...... 32313 54...... 32330 302-2...... 32340 814...... 31468 101...... 31831 203...... 32846 302-3...... 32340 1310...... 31824 107...... 31831 204...... 32846 302-17...... 32340 Proposed Rules: 115...... 31831 252...... 32845, 32846 117...... 31831, 31838 Ch. 5 ...... 32088 Ch. I ...... 32330 42 CFR 573...... 32332 135...... 31831 Ch. 16 ...... 31886 140...... 31831 412...... 32085 Ch. 18 ...... 31884 24 CFR 148...... 31831 434...... 32816 Ch. 24 ...... 31884 438...... 32816 Ch. 61 ...... 32088 Proposed Rules: 150...... 31831 Ch. I ...... 31884 151...... 31831 447...... 32816 Ch. II ...... 31884 160...... 31831 Proposed Rules: 49 CFR Ch. III ...... 31884 161...... 31831 Ch. I ...... 32330 171...... 32867 Ch. IV...... 31884 162...... 31831 Ch. V...... 32330 177...... 32867 Ch. V...... 31884 164...... 31831 5...... 31546 383...... 32327 Ch. VI...... 31884 165 ...... 31839, 31843, 31846, 414...... 31547, 32410 390...... 32327 Ch. VIII...... 31884 31848, 31851, 31853, 32069, 572...... 31860 32071, 32313 44 CFR Ch. IX...... 31884 Proposed Rules: Ch. X...... 31884 166...... 31831 Proposed Rules: Ch. XII...... 32331 Ch. XII...... 31884 167...... 31831 Ch. I ...... 32331 390...... 32906 169...... 31831 67...... 32896 396...... 32906 25 CFR Proposed Rules: 165...... 31895 Proposed Rules: 45 CFR 50 CFR Ch. I ...... 32331 Ch. V...... 32330 Proposed Rules: Ch. II ...... 32330 17...... 31866, 33036 Ch. II ...... 32330 622...... 31874 26 CFR Ch. III ...... 32330 34 CFR 635...... 32086 31...... 32864 Ch. IV...... 32330 648...... 31491, 32873 Ch. II ...... 32073 Proposed Rules: Ch. VIII...... 31886 660...... 32876 1 ...... 31543, 32880, 32882 222...... 31855 Ch. X...... 32330 679...... 31881 31...... 32885 Ch. XIII...... 32330 36 CFR Proposed Rules: 301...... 31543 17 ...... 31686, 31903, 31906, 46 CFR Proposed Rules: 31920, 32911 29 CFR Ch. III ...... 32330 45...... 32323 223...... 31556 Proposed Rules: Proposed Rules: 224...... 31556 1602...... 31892 37 CFR Ch. I ...... 32331 226...... 32026 2550...... 31544 201...... 32316 Ch. III ...... 32331 665...... 32929

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Superintendent of Documents, California, as the ‘‘Specialist U.S. Government Printing Jake Robert Velloza Post LIST OF PUBLIC LAWS Office, Washington, DC 20402 Office’’. (May 31, 2011; 125 Public Laws Electronic (phone, 202–512–1808). The Stat. 217) Notification Service This is a continuing list of text will also be made (PENS) public bills from the current available on the Internet from H.R. 1893/P.L. 112–16 session of Congress which GPO’s Federal Digital System have become Federal laws. It (FDsys) at http://www.gpo.gov/ Airport and Airway Extension PENS is a free electronic mail may be used in conjunction notification service of newly fdsys. Some laws may not yet Act of 2011, Part II (May 31, with ‘‘P L U S’’ (Public Laws be available. enacted public laws. To Update Service) on 202–741– 2011; 125 Stat. 218) subscribe, go to http:// 6043. This list is also S. 990/P.L. 112–14 listserv.gsa.gov/archives/ S. 1082/P.L. 112–17 available online at http:// PATRIOT Sunsets Extension publaws-l.html www.archives.gov/federal- Act of 2011 (May 26, 2011; Small Business Additional Note: This service is strictly register/laws. 125 Stat. 216) Temporary Extension Act of for E-mail notification of new The text of laws is not H.R. 793/P.L. 112–15 2011 (June 1, 2011; 125 Stat. laws. The text of laws is not published in the Federal To designate the facility of the 221) available through this service. Register but may be ordered United States Postal Service PENS cannot respond to in ‘‘slip law’’ (individual located at 12781 Sir Francis Last List June 2, 2011 specific inquiries sent to this pamphlet) form from the Drake Boulevard in Inverness, address.

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